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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,816,534,046
Number of Records: 7,081
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$83,354,221,356271
JPMorgan Chase$36,129,269,434222
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
Goldman Sachs$16,599,475,84889
NatWest Group PLC$13,515,546,85731
Credit Suisse$10,932,400,12651
Morgan Stanley$10,167,765,234190

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 TypeYearAgencyPenalty Amount sort icon
Barclays Capital Inc.Barclaysinvestor protection violation2016NY-AG$35,000,000
UBS Financial Services, Inc. and UBS Securities LLCUBStoxic securities abuses2008MA-AG$35,000,000
Wells Fargo & CompanyWells Fargowage and hour violation2020private lawsuit-federal$35,000,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargoinvestor protection violation2020SEC$35,000,000
AIGAmerican International Groupinsurance violation2014NY-DFS$35,000,000
Industrial Bank of KoreaIndustrial Bank of Koreaanti-money-laundering deficiencies2020NY-DFS$35,000,000
Morgan StanleyMorgan Stanleyinvestor 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. $35,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020SEC$35,000,000
Discover Bank et al.Discover Financial Servicesconsumer protection violation2020CFPB$35,000,000
NatWest Markets PlcNatWest Group PLCfraud2021DOJ_CRIMINAL$35,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2022SEC$35,000,000
WEX Bank and Higher One, Inc.WEX Inc.banking violation2015FDIC$34,980,000
Wells FargoWells Fargoconsumer protection violation2015CFPB$34,800,000
Wells Fargo Bank, National AssociationWells Fargobanking violation2011OCC$34,500,000
Legg Mason Inc.Franklin ResourcesForeign Corrupt Practices Act2018SEC$34,500,000
GE Capital Retail Bank and CareCreditSynchrony Financialconsumer protection violation2013CFPB$34,100,000
Allstate Insurance Co.Allstateinsurance violation2005CA-INS$34,000,000
Wells FargoWells Fargomortgage abuses2010CA-AG$33,868,615
Navient Solutions, Inc.Navientbanking violation2014FDIC$33,300,000
Woodforest National BankWoodforest National Bankbanking violation2010OCC$33,000,000
Royal Bank of Scotland PLCNatWest Group PLCeconomic sanction violation2013OFAC$33,000,000
Bank of America CorporationBank of Americainvestor protection violation2009SEC$33,000,000
Smith BarneyMorgan Stanleyemployment discrimination2008private lawsuit-federal$33,000,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesbenefit plan administrator violation2016private lawsuit-federal$33,000,000
INGVoya Financialinvestor protection violation2006MULTI-AG$33,000,000
MUFG Bank Ltd.Mitsubishi UFJ Financial Groupbanking violation2019NY-DFS$33,000,000
Unitrin Inc.Kemperinsurance violation2002MULTI-FIN$33,000,000
Hudson City Savings BankM&T Bankbanking violation2015CFPB$32,750,000
Prudential Financial Inc.Prudential Financialinvestor protection violation2019SEC$32,600,000
Evergreen Investment Management CompanyWells Fargoinvestor protection violation2007SEC$32,500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003SEC$32,500,000
HSBC Bank USA, National AssociationHSBCbanking violation2017OCC$32,500,000
MetLife SecuritiesMetLifeemployment discrimination2017private lawsuit-federal$32,500,000
Wells Fargo & Co.Wells Fargobenefit plan administrator violation2022private lawsuit-federal$32,500,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2014FINRA$32,400,000
State Street CorporationState Street Corp.fraud2017DOJ_CRIMINAL$32,300,000
First National Bank of OmahaFirst National of Nebraskaconsumer protection violation2016CFPB$32,250,000
Bank of America CorporationBank of Americaprivacy violation2014private lawsuit-federal$32,083,905
Wells Fargo AdvisorsWells Fargoemployment discrimination2011private lawsuit-federal$32,000,000
Fidelity National Title Insurance CompanyFidelity National Financialconsumer protection violation2002CA-AG$31,148,320
Deutsche Bank (Suisse) SADeutsche Banktax violations2015DOJ_TAX$31,026,000
American Express Financial AdvisorsAmeriprise Financialemployment discrimination2002private lawsuit-federal$31,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2010MULTI-AG$31,000,000
Massachusetts Mutual Life Insurance Co.Massachusetts Mutual Life Insurancebenefit plan administrator violation2016private lawsuit-federal$30,900,000
Wells Fargo Bank, N.A.Wells Fargoprivacy violation2017private lawsuit-federal$30,446,022
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2011SEC$30,400,000
Bank Hapoalim B.M.Bank Hapoalimanti-money-laundering deficiencies2020DOJ_CRIMINAL$30,063,317
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2015OCC$30,000,000
Bank of America, National AssociationBank of Americabanking violation2015OCC$30,000,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$30,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2018CFTC$30,000,000
Countrywide FinancialBank of Americawage and hour violation2005private lawsuit-state$30,000,000
Wachovia National Bank, N.A.Wells Fargobenefit plan administrator violation2000EBSA$30,000,000
Bank of America, N.A.Bank of Americainterest rate benchmark manipulation2018CFTC$30,000,000
Liberty Mutual Retirement Benefit PlanLiberty Mutual Insurancebenefit plan administrator violation2018private lawsuit-federal$30,000,000
AffinionJPMorgan Chaseconsumer protection violation2013MULTI-AG$30,000,000
Credit Suisse SecuritiesCredit Suisseinvestor protection violation2016NY-AG$30,000,000
Citibank, N.A.Citigroupbanking violation2019OCC$30,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2013MA-SEC$30,000,000
Wilmington Trust N.A.M&T Bankbenefit plan administrator violation2017private lawsuit-federal$29,773,250
Credit Suisse Group AGCredit SuisseForeign Corrupt Practices Act2018SEC$29,700,000
Walter Investment Management Corp.Ditech Holding CorporationFalse Claims Act and related2015DOJ_CIVIL$29,630,000
Jardine Lloyd Thompson Group Holdings Ltd.Marsh & McLennanForeign Corrupt Practices Act2022DOJ_CRIMINAL$29,081,951
U.S. Bank National AssociationU.S. Bancorpmortgage abuses2020DOJ_UTP$29,000,000
CitiFinancial Servicing and CitiMortgage, Inc.Citigroupconsumer protection violation2017CFPB$28,800,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2005MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $28,750,000
Navy Federal Credit UnionNavy Federal Credit Unionconsumer protection violation2016CFPB$28,500,000
Option One Mortgage CorporationOcwen Financialtoxic securities abuses2012SEC$28,200,000
Morgan Stanley Mortgage Capital HoldingsMorgan Stanleytoxic securities abuses2011NV-AG$28,200,000
Bear Stearns Companies, LLCJPMorgan Chasemortgage abuses2008FTC$28,000,000
TCF National BankHuntington Bancsharesconsumer protection violation2018CFPB$28,000,000
Bank of New York MellonBank of New York Melloninvestor protection violation2013FL-AG$28,000,000
PHH Mortgage CorporationOcwen Financialmortgage abuses2016NY-DFS$28,000,000
Wells Fargo Bank, N.A.Wells Fargoprivacy violation2021private lawsuit-federal$28,000,000
Coutts & Co Ltd.NatWest Group PLCtax violations2019DOJ_TAX$27,900,000
Wells FargoWells Fargowage and hour violation2018private lawsuit-state$27,500,000
National City MortgagePNC Financial Serviceswage and hour violation2008private lawsuit-federal$27,500,000
Ameriprise Financial, Inc.Ameriprise Financialbenefit plan administrator violation2015private lawsuit-federal$27,500,000
Credit Acceptance CorporationCredit Acceptance Corp.consumer protection violation2021MA-AG$27,200,000
Chemoil CorporationGlencoreenvironmental violation2016EPA$27,000,000
Banco Bilbao Vizcaya Argentaria, S.A.Banco Bilbao Vizcaya Argentariabanking violation2016FED$27,000,000
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.consumer protection violation2005IL-AG$27,000,000
Bank of LouisvilleTruist Financialinvestor protection violation2002KY-INS$27,000,000
CHEMOIL CORPORATIONGlencoreenvironmental violation2016EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $27,000,000
HSBC SecuritiesHSBCmortgage abuses2018MA-AG$26,800,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2016MULTI-AG$26,750,000
UBS Financial Services Inc. of Puerto RicoUBSinvestor protection violation2012SEC$26,600,000
Merrill LynchBank of Americainvestor protection violation2010MULTI-FIN$26,563,094
Nomura Securities International Inc.Nomurainvestor protection violation2019SEC$26,400,000
John Hancock Life & Health Insurance CompanyManulife Financialinsurance violation2022NY-DFS$26,300,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020NH-BSR$26,250,000
PaineWebber IncorporatedUBSinvestor protection violation2000SEC$26,200,000
Banc of America Securities LLCBank of Americafraud2007SEC$26,000,000
LPL Financial LLCLPL Financialinvestor protection violation2018MULTI-FIN$26,000,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2012IL-SEC$25,930,000
LPL Financial LLCLPL Financialinvestor protection violation2019MULTI-AG$25,848,000
Wells Fargo Bank, N.A.Wells Fargowage and hour violation2020private lawsuit-federal$25,696,122
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2001NJ-DBI$25,100,000
PayPal Inc.PayPal Holdingsconsumer protection violation2015CFPB$25,000,000
Bank of America, National AssociationBank of Americabanking violation2014OCC$25,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2006DOJ_CRIMINAL$25,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.