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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$388,802,802,308
Number of Records: 7,734
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$87,294,650,890329
JPMorgan Chase$39,688,888,209277
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$14,264,317,61841
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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2021PA-BKG$232,200
ABN AMRO Mortgage GroupABN AMROmortgage abuses2006HUD$41,000,000
ABN AMRO IncorporatedABN AMROinvestor protection violation2001SEC$200,000
ABN AMRO IncorporatedABN AMROinvestor protection violation2005FINRA$220,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2013CFTC$1,000,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2018CFTC$160,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2020SEC$586,000
ABN AMRO Bank, N.V.ABN AMROeconomic sanction violation2006OFAC$40,000,000
ABN AMRO Bank, N.V.ABN AMROinvestor protection violation2013SEC$5,547,408
ABN AMRO Bank, IncABN AMROeconomic sanction violation2004OFAC$25,847
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V.ABN AMROeconomic sanction violation2010DOJ_CRIMINAL$500,000,000
ABN AMROABN AMROeconomic sanction violation2005NY-DFS$20,000,000
A.G. Edwards and Sons Inc.Wells Fargoeconomic sanction violation2008OFAC$122,358
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2003CFTC$45,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2007SEC$3,860,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2006SEC$125,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2008NJ-AG$387,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2011MO-SEC$765,993
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2017MO-SEC$25,672
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2000FINRA$5,890,000
A.G. Edwards & Sons Inc.Wells Fargoinvestor protection violation2003NE-DBF$20,000
A.G. Edwards & Sons Inc.Wells Fargoinvestor protection violation2007SC-SEC$575,000
A.G. Edwards & Sons Inc.Wells Fargoinvestor protection violation2008TX-SEC$5,000
A.G. EdwardsWells Fargowage and hour violation2009private lawsuit-federal$12,000,000
A.G. EdwardsWells Fargowage and hour violation2007private lawsuit-federal$20,000,000
21st Century National Insurance CompanyZurich Insuranceinsurance violation2010NJ-DBI$10,000
21st Century National Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$25,000
21st Century Insurance Co. and 21st Century Casualty Co.Zurich Insuranceinsurance violation2007CA-INS$50,000
21st Century Centennial Insurance CompanyZurich Insuranceinsurance violation2014NY-DFS$9,000
21st Century Centennial Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$36,500
21st Century Centennial Insurance Co.Zurich Insuranceinsurance violation2016DE-INS$27,500
1st Financial Bank USA1st Financial Bank USAbanking violation2010FDIC$10,140,000
1ST FINANCIAL BANK USA1st Financial Bank USAbanking violation2009FDIC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $140,000
1st Financial Bank U.S.A.1st Financial Bank USAbanking violation2005WI-AG$43,142
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.