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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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CompanyCurrent ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
Bank of AmericaBank of Americawage and hour violation2024private lawsuit-federal$1,890,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2024USAO$153,431,223
Nelnet, Inc.Nelnetconsumer protection violation2024MA-AG$1,800,000
AllianzAllianzdiscriminatory practices (non-employment)2024WA-AG$1,500,000
Vitol Inc.Vitolenergy market violation2024FERC$2,225,000
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinabanking violation2024FED$2,400,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2024SEC$18,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2024SEC$83,000,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2024private lawsuit-federal$81,700,000
Wells Fargo Bank N.A.Wells Fargowage and hour violation2024private lawsuit-federal$16,600,000
Prosper Marketplace, Inc.Prosper Marketplaceconsumer protection violation2024CO-AG$10,000
First National Bank of PennsylvaniaF.N.B. Corporationmortgage abuses2024NC-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $13,500,000
AllianzAllianzdiscriminatory practices (non-employment)2024WA-AG$1,500,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2024FINRA$1,600,000
First National Bank of PennsylvaniaF.N.B. Corporationdiscriminatory practices (non-employment)2024DOJ_RIGHTS$13,500,000
City National BankRoyal Bank of Canadabanking violation2024OCC$65,000,000
TIAA-CREF Individual & Institutional Services LLCTIAAinvestor protection violation2024SEC$2,200,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualinvestor protection violation2024SEC$16,500,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2024SEC$12,000,000
Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2024SEC$8,500,000
U.S. Bancorp Investments Inc.U.S. Bancorpinvestor protection violation2024SEC$8,000,000
Aon Investments USA Inc.Aoninvestor protection violation2024SEC$1,542,187
LendingTree LLCLendingTreeprivacy violation2024private lawsuit-federal$875,000
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinabanking violation2024NY-DFS$30,000,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2024MA-SEC$7,500,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2024MT-FIN$2,000,000
Edward D. Jones & Co., LPJones Financialinvestor protection violation2024PA-BKG$300,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2024NY-DFS$150,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2024OR-FIN$100,000
STATE FARM FIRE & CASUALTY COMPANY et al.State Farm Insuranceinsurance violation2024WA-INS$100,000
NEW YORK LIFE INSURANCE COMPANYNew York Life Insuranceinsurance violation2024WA-INS$46,328
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2024TX-INS$24,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2024TX-INS$17,000
Ace American Insurance CompanyChubb Limitedinsurance violation2024TX-INS$17,000
MUFG BANK, LTD.U.S. Bancorpbanking violation2024CT-BKG$10,000
James B. Nutter & CompanyJames B. Nutter & Companyconsumer protection violation2024NC-BKG$10,000
T.H.E. Insurance CompanyAXAinsurance violation2024TX-INS$10,000
Liberty Mutual Personal Insurance CompanyLiberty Mutual Insuranceinsurance violation2024MD-INS$8,500
AIU Insurance CompanyAmerican International Groupinsurance violation2024TX-INS$8,000
Ace American Insurance CompanyChubb Limitedinsurance violation2024TX-INS$6,200
Northwestern Mutual Investment Services LLCNorthwestern Mutualinvestor protection violation2024ME-SEC$5,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2024MD-INS$5,000
Allstate Indemnity CompanyAllstateinsurance violation2024MD-INS$5,000
Acadia Insurance CompanyW.R. Berkleyinsurance violation2024TX-INS$5,000
AMERITAS LIFE INSURANCE CORPAmeritas Mutual Holding Companyinsurance violation2024WA-INS$5,000
STANDARD INSURANCE COMPANYMeiji Yasuda Life Insuranceinsurance violation2024WA-INS$5,000
SUN LIFE ASSURANCE COMPANY OF CANADASun Life Financialinsurance violation2024WA-INS$5,000
Gunvor S.A.Gunvor GroupForeign Corrupt Practices Act2024DOJ_CRIMINAL$661,698,515
Allianz Asset Management of AmericaAllianzbenefit plan administrator violation2024private lawsuit-federal$7,500,000
State Farm Life Insurance Co.State Farm Insuranceconsumer protection violation2024private lawsuit-federal$65,000,000
Banner BankBanner Corp.wage and hour violation2024private lawsuit-federal$15,000,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupinvestor protection violation2024CFTC$500,000
U.S. Bank, N.A.U.S. Bancorpinvestor protection violation2024CFTC$6,000,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsinvestor protection violation2024CFTC$1,000,000
JPMorgan Chase & Co.JPMorgan Chasebanking violation2024FED$98,200,000
Trafigura Beheer B.V. TrafiguraForeign Corrupt Practices Act2024DOJ_CRIMINAL$126,998,297
JPMorgan Chase Bank, N.A.JPMorgan Chasebanking violation2024OCC$250,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2024private lawsuit-federal$8,000,000
Nationstar Mortgage LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2024private lawsuit-federal$3,587,214
Rocket Mortgage, LLCRocket Companies Inc.discriminatory practices (non-employment)2024HUD$95,000
City National BankRoyal Bank of Canadadiscriminatory practices (non-employment)2023DOJ_RIGHTS$31,000,000
Coinbase Inc.Coinbase Global Inc.anti-money-laundering deficiencies2023NY-DFS$100,000,000
TitleMax and TMX FinanceTMX Financeconsumer protection violation2023CFPB$15,000,000
Marsh USA Inc.Marsh & McLennaninsurance violation2023AK-INS$55,000
Metlife Pet Insurance Services LLC fka Petfirst Healthcare LLCMetLifeinsurance violation2023NY-DFS$129,000
Freddie MacFreddie Mac (Federal Home Loan Mortgage Corporation)lead violation2023RI-AG$460,000
Everest National Insurance CompanyEverest Re Groupinsurance violation2023TX-INS$22,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$22,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$69,750
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$34,500
XL Specialty Insurance CompanyAXAinsurance violation2023TX-INS$22,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$60,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$97,200
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2023TX-INS$29,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2023TX-INS$8,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023UT-INS$79,000
ESURANCE INSURANCE COMPANYAllstateinsurance violation2023WA-INS$5,000
Park National BankPark National Corp.discriminatory practices (non-employment)2023DOJ_RIGHTS$9,000,000
Wells FargoWells FargoAmericans with Disabilities Act2023USAO$10,000
KeyBanc Capital Markets Inc.KeyCorpinvestor protection violation2023SEC$397,135
Ocwen Loan Servicing, LLCOcwen Financialconsumer protection violation2023CA-DFPI$5,988,704
Wells Fargo & Co.Wells Fargobanking violation2023FED$67,762,500
Wells Fargo & Co.Wells Fargoeconomic sanction violation2023OFAC$30,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2023SEC$9,660,000
Chatham Asset Management LLCChatham Asset Managementinvestor protection violation2023SEC$18,800,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2023MULTI-FIN$10,200,000
Mizuho Capital Markets LLCMizuho Financialinvestor protection violation2023CFTC$6,847,182
Goldman SachsGoldman Sachsinvestor protection violation2023CFTC$15,000,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2023CFTC$45,000,000
HSBC Bank PLCHSBCinvestor protection violation2023CFTC$30,000,000
Bank of Nova ScotiaScotiabankinvestor protection violation2023CFTC$15,000,000
Citizens BankCitizens Financial Groupconsumer protection violation2023CFPB$9,000,000
Asurion LLCAsurionemployment discrimination2023DOJ_RIGHTS$13,395
HSBC Securities (USA) Inc.HSBCinvestor protection violation2023SEC$15,000,000
Scotia Capital (USA) Inc.Scotiabankinvestor protection violation2023SEC$7,500,000
UBSUBSbanking violation2023TX-AG$850,000
Robinhood Financial LLCRobinhood Marketsprivacy violation2023private lawsuit-federal$20,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2023private lawsuit-federal$17,750,000
TP ICAP PLCTP ICAP PLCprice-fixing or anti-competitive practices2023private lawsuit-federal$2,375,000
State Farm Life Insurance CompanyState Farm Insuranceconsumer protection violation2023private lawsuit-federal$325,000,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2023private lawsuit-federal$2,250,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.