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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $395,716,574,217
Number of Records: 8,032
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$87,345,969,499334
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,653,169,231270
Citigroup$27,110,711,792184
Deutsche Bank$20,015,467,563100
Goldman Sachs$17,924,491,249116
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,924,502,443207
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
United Community Banks, Inc.United Community Banks Inc.benefit plan administrator violation2013private lawsuit-federal$3,500,000
United Casualty Insurance Company of AmericaKemperinsurance violation2005FL-OFR$17,500
United Casualty Insurance Company of AmericaKemperinsurance violation2019MD-INS$54,900
United Casualty Insurance Co.Kemperinsurance violation2018CA-INS$22,500
United Bank For Africa PLCUnited Bank for Africa plcbanking violation2007OCC$500,000
United Bank for Africa PLCUnited Bank for Africa plcobstruction of justice2007USAO$5,334,331
United Bank for AfricaUnited Bank for Africa plcanti-money-laundering deficiencies2008FINCEN$15,000,000
United American Insurance CompanyGlobe Life Inc.wage and hour violation2012WHD$19,791
United American Insurance Co.Globe Life Inc.consumer protection violation2003CT-AG$45,000
United American Insurance Co.Globe Life Inc.insurance violation2012CO-INS$86,500
United American Insurance Co.Globe Life Inc.insurance violation2013MD-INS$5,200
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2002VA-INS$10,000
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2003VA-INS$15,000
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2005VA-INS$5,000
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2007VA-INS$15,000
Union Security Life Insurance Company of New YorkAssurantinsurance violation2021NY-DFS$20,000
Union Security Life Insurance CoAssurantconsumer protection violation2000MA-AG$1,000,000
UNION SECURITY LIFE INSURANCEAssurantinsurance violation2007VA-INS$27,000
Union Security Insurance CompanyAssurantconsumer protection violation2007MA-AG$28,000
Union Security Insurance CompanyAssurantinsurance violation2015SD-INS$7,500
Union Security Insurance CompanyAssurantinsurance violation2016SD-INS$35,000
Union Security Insurance Co.Assurantinsurance violation2013AZ-DIFI$40,000
Union Savings Bank and Guardian Savings BankUnion Savings Bankdiscriminatory practices (non-employment)2016DOJ_RIGHTS$9,000,000
Union Bank of California, N.A.U.S. Bancorpanti-money-laundering deficiencies2007DOJ_CRIMINAL$21,600,000
Union Bank of California, N.A.U.S. Bancorpanti-money-laundering deficiencies2007FINCEN$10,000,000
Union Bank of CaliforniaU.S. Bancorpeconomic sanction violation2005OFAC$5,500
Union Bank of CAU.S. Bancorpeconomic sanction violation2003OFAC$14,913
Union Bank of CAU.S. Bancorpeconomic sanction violation2003OFAC$12,000
Union Bank N.A.U.S. Bancorpconsumer protection violation2012private lawsuit-federal$35,000,000
Union BankU.S. Bancorpwage and hour violation2012private lawsuit-federal$3,500,000
Union Bancaire Privee, UBP SAUnion Bancaire Priveetax violations2020DOJ_TAX$14,000,000
Union Bancaire PriveeUnion Bancaire Priveetax violations2016DOJ_TAX$187,000,000
Unigard Insurance Co.QBE Insuranceinsurance violation2010AZ-DIFI$16,000
Unigard Insurance Co.QBE Insuranceinsurance violation2016MT-FIN$25,000
Unigard Insurance Co.QBE Insuranceinsurance violation2016MT-FIN$15,000
UniCredit, S.p.A.UniCreditbanking violation2019FED$158,000,000
UniCredit S.p.A.UniCrediteconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,316,322
UniCredit GroupUniCrediteconomic sanction violation2019DOJ_CRIMINAL$413,536,632
UniCredit GroupUniCrediteconomic sanction violation2019NY-DFS$405,000,000
UniCredit Bank Austria AGUniCrediteconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $20,326,340
UniCredit Bank Austria AGUniCrediteconomic sanction violation2019NY-MANDA$20,000,000
UniCredit Bank AGUniCrediteconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $553,380,759
UniCredit Bank AGUniCrediteconomic sanction violation2019NY-MANDA$316,000,000
UMPQUA BANKUmpqua Holdingsbanking violation2008FDIC$90,240
Umpqua BankUmpqua Holdingswage and hour violation2015WA-DLI$15,350
Umpqua BankUmpqua Holdingsemployment screening violation2019private lawsuit-federal$325,000
Umpqua BankUmpqua Holdingsbanking violation2021FDIC$1,800,000
UMB Bank, NAUMB Financial Corp.banking violation2017OCC$1,500,000
UMB Bank N.A. Investment Banking DivisionUMB Financial Corp.investor protection violation2015SEC$420,000
UBS, Inc.UBSwage and hour violation2013WHD$90,902
UBS Willow Management LLC and UBS Fund Advisor LLCUBSinvestor protection violation2015SEC$17,500,000
UBS Warburg LLCUBSinvestor protection violation2003SEC$80,000,000
UBS Warburg LLCUBSinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
UBS Warburg and UBS PaineWebberUBSinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
UBS Securities, LLCUBSinvestor protection violation2008FINRA$200,000
UBS Securities, L.L.C.UBSinvestor protection violation2004FINRA$10,000
UBS Securities LLC and UBS Financial Services, Inc.UBSinvestor protection violation2008MULTI-AG$11,150,000,000
UBS Securities LLC and UBS Financial Services, IncUBSinvestor protection violation2011NJ-AG$3,790,487
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor protection violation2022SEC$125,000,000
UBS Securities LLCUBSinvestor protection violation2015SEC$14,400,000
UBS Securities LLCUBSinvestor protection violation2011SEC$8,000,000
UBS Securities LLCUBSinvestor protection violation2005SEC$700,000
UBS Securities LLCUBStoxic securities abuses2018NY-AG$230,000,000
UBS Securities LLCUBStoxic securities abuses2016VA-AG$850,000
UBS Securities LLCUBSinvestor protection violation2010AK-DBS$733,465
UBS Securities LLCUBSinvestor protection violation2010TX-SEC$6,640,432
UBS Securities LLCUBSinvestor protection violation2011FINRA$12,000,000
UBS Securities LLCUBSinvestor protection violation2022FINRA$2,500,000
UBS Securities LLCUBSprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
UBS Securities LLCUBSconsumer protection violation2015private lawsuit-federal$78,333,333
UBS Securities Japan Co. Ltd.UBSprice-fixing or anti-competitive practices2012DOJ_ANTITRUST$500,000,000
UBS SecuritiesUBStoxic securities abuses2013SEC$50,000,000
UBS SecuritiesUBSinvestor protection violation2010CFTC$200,000
UBS SecuritiesUBSinvestor protection violation2009FINRA$268,000
UBS PaineWebber, Inc.UBSinvestor protection violation2003SEC$500,000
UBS O'Connor, LLCUBSinvestor protection violation2013SEC$5,297,716
UBS International Inc.UBSinvestor protection violation2005FINRA$10,000
UBS Inc.UBSlabor relations violation2010NLRB$26,351
UBS Group AGUBSprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
UBS Group AGUBSbanking violation2023FED$268,500,000
UBS Global Asset ManagementUBSinvestor protection violation2012SEC$300,000
UBS Global Asset ManagementUBSbenefit plan administrator violation2006private lawsuit-federal$5,493,000
UBS Fund Advisor, LLCUBSinvestor protection violation2009CFTC$50,000
UBS Financial Services, Inc. and UBS Securities LLCUBStoxic securities abuses2008MA-AG$35,000,000
UBS Financial Services, Inc.UBSwage and hour violation2007WHD$27,152
UBS Financial Services, Inc.UBSinvestor protection violation2017SEC$3,500,000
UBS Financial Services, Inc.UBSinvestor protection violation2013DE-AG$70,077
UBS Financial Services, Inc.UBSinvestor protection violation2007NY-AG$23,300,000
UBS Financial Services, Inc.UBSinvestor protection violation2013AK-DBS$64,661
UBS Financial Services, Inc.UBSinvestor protection violation2007MO-SEC$697,210
UBS Financial Services, Inc.UBSinvestor protection violation2009MO-SEC$170,175
UBS Financial Services, Inc.UBSinvestor protection violation2006MT-FIN$4,503,166
UBS FINANCIAL SERVICES, INC.UBSinvestor protection violation2007VA-SEC$100,000
UBS FINANCIAL SERVICES, INC.UBSinvestor protection violation2010VA-SEC$625,000
UBS Financial Services, Inc.UBSinvestor protection violation2011FINRA$10,750,000
UBS Financial Services, Inc.UBSinvestor protection violation2009FINRA$100,000
UBS Financial Services, Inc.UBSinvestor protection violation2008FINRA$1,000,000
UBS Financial Services, Inc.UBSinvestor protection violation2007FINRA$370,000
UBS Financial Services, IncUBSinvestor protection violation2013MULTI-AG$4,580,000
UBS Financial Services Incorporated of Puerto RicoUBSinvestor protection violation2015FINRA$18,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.