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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals are adjusted to account for the fact that each parent's entries may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

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CompanyCurrent ParentPrimary Offense Type sort iconYearAgencyPenalty Amount
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesbenefit plan administrator violation2016private lawsuit-federal$33,000,000
Old Second Bancorp, Inc.Old Second Bancorpbenefit plan administrator violation2013private lawsuit-federal$7,500,000
Prudential Insurance Company Of AmericaPrudential Financialbenefit plan administrator violation2019private lawsuit-federal$9,000,000
Wilmington Trust N.A.M&T Bankbenefit plan administrator violation2017private lawsuit-federal$29,773,250
Edward D. Jones & Co., L.P.Jones Financialbenefit plan administrator violation2019private lawsuit-federal$3,175,000
Wilmington Trust, N.A.M&T Bankbenefit plan administrator violation2020EBSA$88,000,000
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2020EBSA$50,001
Wells Fargo & CompanyWells Fargobenefit plan administrator violation2020private lawsuit-federal$79,000,000
JPMorgan ChaseJPMorgan Chasebenefit plan administrator violation2019private lawsuit-federal$75,000,000
Towers PerrinWillis Towers Watsonbenefit plan administrator violation2011private lawsuit-federal$9,200,000
Fidelity Management Trust CompanyFidelity Investmentsbenefit plan administrator violation2007private lawsuit-federal$10,850,000
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2021EBSA$50,000
TIAA-CREF Individual & Institutional Services, LLCTIAAbenefit plan administrator violation2021NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $97,000,000
Transamerica CorporationAegonbenefit plan administrator violation2021private lawsuit-federal$5,400,000
BlackRock Institutional Trust Company, N.A.BlackRockbenefit plan administrator violation2021private lawsuit-federal$9,650,000
John Hancock Life Insurance CompanyManulife Financialbenefit plan administrator violation2021private lawsuit-federal$14,000,000
Franklin Resources, Inc.Franklin Resourcesbenefit plan administrator violation2019private lawsuit-federal$13,850,000
FMR LLCFidelity Investmentsbenefit plan administrator violation2021EBSA$10,001
Wilmington Trust, N.A.M&T Bankbenefit plan administrator violation2021private lawsuit-federal$5,500,000
Wells Fargo and CompanyWells Fargobenefit plan administrator violation2022EBSA$145,000,000
Wells Fargo & Co.Wells Fargobenefit plan administrator violation2022private lawsuit-federal$32,500,000
T. Rowe Price Group, Inc.T. Rowe Pricebenefit plan administrator violation2022private lawsuit-federal$7,000,000
Stonex Group Inc.StoneX Groupbenefit plan administrator violation2023EBSA$10,001
Principal Life Insurance CompanyPrincipal Financialbenefit plan administrator violation2023EBSA$10,001
Midland Credit Management, Inc.Encore Capital Groupbenefit plan administrator violation2023EBSA$10,001
JPMorgan Chase Bank N.A.JPMorgan Chasebankruptcy professional violation2015DOJ_UTP$50,000,000
Citibank N.A.Citigroupbankruptcy professional violation2018DOJ_UTP$5,000,000
Wells Fargo Bank N.A.Wells Fargobankruptcy professional violation2015DOJ_UTP$81,600,000
Capital One Bank (USA) N.A.Capital One Financialbankruptcy professional violation2011DOJ_UTP$2,350,000
Hudson City Savings BankM&T Bankbanking violation2015CFPB$32,750,000
National City Bank and its successor PNC BankPNC Financial Servicesbanking violation2013CFPB$35,000,000
U.S. BankU.S. Bancorpbanking violation2013CFPB$3,200,000
WEX Bank and Higher One, Inc.WEX Inc.banking violation2015FDIC$34,980,000
Comenity Bank and Comenity Capital BankBread Financial Holdingsbanking violation2015FDIC$63,950,000
Citizens BankCitizens Financial Groupbanking violation2015FDIC$8,800,000
Banamex USACitigroupbanking violation2015FDIC$140,000,000
Sallie Mae BankSLM Corp.banking violation2014FDIC$93,300,000
Navient Solutions, Inc.Navientbanking violation2014FDIC$33,300,000
American Express Centurion BankAmerican Expressbanking violation2013FDIC$3,600,000
Citizens BankCitizens Financial Groupbanking violation2013FDIC$6,400,000
American Express Centurion BankAmerican Expressbanking violation2012FDIC$3,900,000
1st Financial Bank USA1st Financial Bank USAbanking violation2010FDIC$10,140,000
Synovus BankSynovus Financialbanking violation2013FDIC$135,050
German American BancorpGerman American Bancorpbanking violation2013FDIC$70,000
Great Western BankFirst Interstate Bancsystembanking violation2013FDIC$40,810
TCF National BankHuntington Bancsharesbanking violation2016OCC$56,500
HSBC Bank USA, National AssociationHSBCbanking violation2016OCC$35,000,000
Santander Bank, National AssociationBanco Santanderbanking violation2016OCC$3,400,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2016OCC$10,000,000
Sun National BankOceanFirst Financialbanking violation2016OCC$25,000
EverbankTIAAbanking violation2016OCC$1,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2016OCC$48,000,000
Citizens Bank, National AssociationCitizens Financial Groupbanking violation2015OCC$2,000,000
First Financial Bank, National AssociationFirst Financial Bancorp.banking violation2015OCC$11,700
RBS Citizens, National AssociationCitizens Financial Groupbanking violation2015OCC$10,000,000
Citibank, N.A.Citigroupbanking violation2015OCC$35,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2015OCC$30,000,000
Bank of America, National AssociationBank of Americabanking violation2015OCC$1,104,530
First National Bank of PennsylvaniaF.N.B. Corporationbanking violation2015OCC$180,720
Wells Fargo Bank, National AssociationWells Fargobanking violation2015OCC$4,000,000
Bank of America, National AssociationBank of Americabanking violation2015OCC$30,000,000
Santander Bank, National AssociationBanco Santanderbanking violation2015OCC$6,000,000
Keybank National AssociationKeyCorpbanking violation2015OCC$5,005
Bank of America, National AssociationBank of Americabanking violation2014OCC$250,000,000
Citibank, National AssociationCitigroupbanking violation2014OCC$350,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2014OCC$350,000,000
Capital One, National AssociationCapital One Financialbanking violation2014OCC$4,000,000
PNC Bank, National AssociationPNC Financial Servicesbanking violation2014OCC$2,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2014OCC$51,900,000
Associated Bank, National AssociationAssociated Banc-Corpbanking violation2014OCC$500,000
Bank of America, National AssociationBank of Americabanking violation2014OCC$25,000,000
Old National BankOld National Bancorpbanking violation2014OCC$500,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2014OCC$350,000,000
American Express Bank, FSBAmerican Expressbanking violation2013OCC$7,500,000
Mutual of Omaha BankFirst Citizens BancSharesbanking violation2013OCC$51,765
TD Bank, National AssociationToronto-Dominion Bankbanking violation2013OCC$37,500,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2013OCC$60,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2013OCC$300,000,000
Swineford National BankFulton Financialbanking violation2013OCC$33,880
EverbankTIAAbanking violation2013OCC$37,000,000
RBS Citizens, National AssociationCitizens Financial Groupbanking violation2013OCC$7,500,000
Seacoast National BankSeacoast Banking Corporation of Floridabanking violation2013OCC$26,950
TCF National BankHuntington Bancsharesbanking violation2013OCC$10,000,000
HSBC Bank USA, National AssociationHSBCbanking violation2013OCC$249,000,000
Bank of AmericaBank of Americabanking violation2013OCC$2,886,578,478
CitibankCitigroupbanking violation2013OCC$793,492,868
JPMorgan ChaseJPMorgan Chasebanking violation2013OCC$1,958,450,341
MetLife BankMetLifebanking violation2013OCC$78,536,455
PNC Bank N.A.PNC Financial Servicesbanking violation2013OCC$180,526,382
Sovereign Bank N.A.Banco Santanderbanking violation2013OCC$16,086,180
U.S. BankU.S. Bancorpbanking violation2013OCC$208,156,501
Wells FargoWells Fargobanking violation2013OCC$1,991,141,181
HSBC Bank USA, N.A.HSBCbanking violation2012OCC$500,000,000
American Express Bank, FSBAmerican Expressbanking violation2012OCC$6,500,000
Capital One Bank (USA), National AssociationCapital One Financialbanking violation2012OCC$35,000,000
Trustmark National BankTrustmarkbanking violation2012OCC$6,250
The Park National BankPark National Corp.banking violation2011OCC$30,415
Wells Fargo Bank, National AssociationWells Fargobanking violation2011OCC$34,500,000
First Niagara Bank, National AssociationKeyCorpbanking violation2011OCC$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.