Violation Tracker Agency Summary Page
Agency Name:
Multistate Attorneys General Case
Penalty Total since 2000:
$111,395,268,927
Number of Records:
680
Note:
The penalty total above and the parent totals below include some cases in which both a state and a federal agency were involved and issued separate announcements of the outcome. The individual penalty records below marked by an asterisk are ones for which Violation Tracker contains a separate federal entry.
| Top 10 Parent Companies | Total Penalty $ | Number of Records |
|---|---|---|
| Bank of America | $26,114,848,408 | 10 |
| UBS | $11,393,380,000 | 5 |
| Citigroup | $8,235,591,577 | 7 |
| JPMorgan Chase | $6,208,338,661 | 10 |
| BP | $4,910,000,000 | 2 |
| American Electric Power | $4,687,500,000 | 3 |
| Morgan Stanley | $4,060,100,000 | 4 |
| Goldman Sachs | $3,690,833,333 | 3 |
| Deutsche Bank | $3,648,333,333 | 3 |
| Wells Fargo | $1,872,683,716 | 8 |
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.
| Company | Parent | Parent Major Industry |
Primary Offense Type |
Year | Penalty Amount |
|---|---|---|---|---|---|
| Deutsche Bank | Deutsche Bank | financial services | investor protection violation | 2002 | $80,000,000 |
| Deutsche Bank Securities, Inc. and Deutsche Bank AG | Deutsche Bank | financial services | investor protection violation | 2008 | $3,348,333,333 |
| Goldman Sachs | Goldman Sachs | financial services | investor protection violation | 2002 | (*) $110,000,000 |
| Goldman Sachs Group, Inc. | Goldman Sachs | financial services | investor protection violation | 2008 | $3,355,833,333 |
| ING | Voya Financial | financial services | investor protection violation | 2006 | $33,000,000 |
| Invesco Funds Group | Invesco | financial services | investor protection violation | 2004 | (*) $325,000,000 |
| J.P. Morgan Chase & Co. | JPMorgan Chase | financial services | investor protection violation | 2002 | (*) $80,000,000 |
| Janus Capital Management | Janus Henderson | financial services | investor protection violation | 2004 | $225,000,000 |
| JP Morgan Chase & Co. | JPMorgan Chase | financial services | investor protection violation | 2008 | $3,525,000,000 |
| JPMorgan Chase | JPMorgan Chase | financial services | investor protection violation | 2015 | $150,000,000 |
| Lehman Brothers Inc. | Lehman Brothers | financial services | investor protection violation | 2002 | (*) $80,000,000 |
| LPL Financial LLC | LPL Financial | financial services | investor protection violation | 2019 | $25,848,000 |
| Marsh and McLennan | Marsh & McLennan | financial services | investor protection violation | 2009 | $400,000,000 |
| Merrill Lynch & Co. | Bank of America | financial services | investor protection violation | 2008 | $3,458,333,333 |
| Merrill Lynch & Co. Inc. | Bank of America | financial services | investor protection violation | 2002 | (*) $100,000,000 |
| Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2008 | $3,535,000,000 |
| Morgan Stanley | Morgan Stanley | financial services | investor protection violation | 2002 | (*) $125,000,000 |
| Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2010 | $31,000,000 |
| Pershing Square Capital Management | investor protection violation | 2017 | $145,000,000 | ||
| Prudential Equity Group | Prudential Financial | financial services | investor protection violation | 2006 | (*) $270,000,000 |
| RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2008 | $859,800,000 |
| Salomon Smith Barney Inc. | Morgan Stanley | financial services | investor protection violation | 2002 | (*) $400,000,000 |
| Standard and Poor's Financial Services LLC | S&P Global | information technology | investor protection violation | 2015 | $19,000,000 |
| Strong Capital Management Co. | Wells Fargo | financial services | investor protection violation | 2004 | (*) $115,000,000 |
| TD Ameritrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2009 | $456,000,000 |
| The Hartford Financial Services Group | Hartford Financial Services | financial services | investor protection violation | 2006 | $20,000,000 |
| UBS Financial Services, Inc | UBS | financial services | investor protection violation | 2013 | $4,580,000 |
| UBS Securities LLC and UBS Financial Services, Inc. | UBS | financial services | investor protection violation | 2008 | $11,150,000,000 |
| UBS Warburg LLC | UBS | financial services | investor protection violation | 2002 | (*) $80,000,000 |
| Valeant Pharmaceuticals International, Inc. | Bausch Health | pharmaceuticals | investor protection violation | 2017 | $145,000,000 |
| Wachovia Capital Markets LLC | Wells Fargo | financial services | investor protection violation | 2006 | $25,000,000 |
| Wachovia Securities | Wells Fargo | financial services | investor protection violation | 2008 | $60,000,000 |
| WellCare Health Plans Inc. | Centene | healthcare services | investor protection violation | 2010 | $200,000,000 |
| AbbVie Inc. | AbbVie | pharmaceuticals | kickbacks and bribery | 2018 | (*) $1,800,000 |
| Ameritox Ltd. | kickbacks and bribery | 2010 | $814,000 | ||
| BioScrip, Inc. | Option Care Health | healthcare services | kickbacks and bribery | 2014 | (*) $3,310,000 |
| Caremark | CVS Health | retailing | kickbacks and bribery | 2008 | $41,000,000 |
| DaVita Healthcare Partners | DaVita HealthCare Partners | healthcare services | kickbacks and bribery | 2015 | $22,356,143 |
| GlaxoSmithKline, LLC | GlaxoSmithKline | pharmaceuticals | kickbacks and bribery | 2014 | $105,000,000 |
| Kos Pharmaceuticals | AbbVie | pharmaceuticals | kickbacks and bribery | 2010 | (*) $4,454,432 |
| Medtronic | Medtronic | medical equipment and supplies | kickbacks and bribery | 2014 | (*) $362,362 |
| Medtronic | Medtronic | medical equipment and supplies | kickbacks and bribery | 2014 | $327,000 |
| Novartis Pharmaceuticals Corporation | Novartis | pharmaceuticals | kickbacks and bribery | 2015 | (*) $83,129,754 |
| Omnicare | CVS Health | retailing | kickbacks and bribery | 2014 | (*) $4,190,000 |
| Omnicare Inc. | CVS Health | retailing | kickbacks and bribery | 2016 | (*) $28,125,000 |
| Pfizer, Inc. | Pfizer | pharmaceuticals | kickbacks and bribery | 2009 | (*) $331,485,170 |
| PharMerica Corp. | KKR & Co. | private equity (including portfolio companies) | kickbacks and bribery | 2015 | (*) $2,500,000 |
| Salix Pharmaceuticals Inc. | Bausch Health | pharmaceuticals | kickbacks and bribery | 2016 | (*) $7,470,000 |
| Sanofi US Services, Inc. | Sanofi | pharmaceuticals | kickbacks and bribery | 2013 | $617,000 |
| Schering-Plough Corporation | Merck | pharmaceuticals | kickbacks and bribery | 2004 | (*) $292,969,482 |
| Tenet Healthcare Corporation | Tenet Healthcare | healthcare services | kickbacks and bribery | 2016 | (*) $123,772,464 |
| U.S. Bioservices Corporation | AmerisourceBergen | wholesalers | kickbacks and bribery | 2017 | (*) $13,400,000 |
| Victory Pharma | kickbacks and bribery | 2013 | $12,200,000 | ||
| Practice Fusion, Inc. | Allscripts Healthcare Solutions | information technology | kickbacks and bribery | 2020 | (*) $118,600,000 |
| ResMed Corp. | ResMed Inc. | medical equipment and supplies | kickbacks and bribery | 2020 | (*) $4,470,000 |
| Novartis Pharmaceuticals Corp. | Novartis | pharmaceuticals | kickbacks and bribery | 2020 | $103,000,000 |
| Pacira Pharmaceuticals, Inc. | Pacira BioSciences | pharmaceuticals | kickbacks and bribery | 2020 | (*) $3,500,000 |
| Ally Financial | Ally Financial | financial services | mortgage abuses | 2012 | (*) $109,628,425 |
| Bank of America | Bank of America | financial services | mortgage abuses | 2012 | (*) $2,382,415,075 |
| Bank of America Corporation | Bank of America | financial services | mortgage abuses | 2014 | (*) $943,000,000 |
| Citigroup | Citigroup | financial services | mortgage abuses | 2012 | (*) $413,041,577 |
| Countrywide Financial Corporation | Bank of America | financial services | mortgage abuses | 2010 | $3,004,100,000 |
| Countrywide Home Loans | Bank of America | financial services | mortgage abuses | 2008 | $8,680,000,000 |
| First Alliance Mortgage Company | mortgage abuses | 2002 | $60,000,000 | ||
| Household Finance Corp. | HSBC | financial services | mortgage abuses | 2002 | $484,000,000 |
| HSBC | HSBC | financial services | mortgage abuses | 2016 | (*) $59,500,000 |
| JPMorgan Chase | JPMorgan Chase | financial services | mortgage abuses | 2012 | (*) $1,121,188,661 |
| Lender Processing Services, Inc. | Fidelity National Financial | financial services | mortgage abuses | 2013 | $120,000,000 |
| Ocwen Financial Services | Ocwen Financial | financial services | mortgage abuses | 2013 | (*) $127,300,000 |
| PHH Mortgage Corp. | Ocwen Financial | financial services | mortgage abuses | 2018 | $45,000,000 |
| SunTrust Mortgage Inc. | Truist Financial | financial services | mortgage abuses | 2014 | (*) $40,000,000 |
| Wells Fargo | Wells Fargo | financial services | mortgage abuses | 2012 | (*) $1,005,233,716 |
| Ford Motor Company | Ford Motor | motor vehicles | motor vehicle safety violation | 2002 | $51,500,000 |
| General Motors Company | General Motors | motor vehicles | motor vehicle safety violation | 2017 | $120,000,000 |
| Toyota Motor Company | Toyota | motor vehicles | motor vehicle safety violation | 2013 | $29,000,000 |
| Abbott Laboratories | AbbVie | pharmaceuticals | off-label or unapproved promotion of medical products | 2012 | (*) $339,148,643 |
| Allergan Inc. | AbbVie | pharmaceuticals | off-label or unapproved promotion of medical products | 2010 | (*) $14,750,000 |
| Amgen Inc. | Amgen | pharmaceuticals | off-label or unapproved promotion of medical products | 2012 | (*) $612,000,000 |
| Amgen Inc. | Amgen | pharmaceuticals | off-label or unapproved promotion of medical products | 2015 | $71,000,000 |
| AstraZeneca Pharmaceuticals | AstraZeneca | pharmaceuticals | off-label or unapproved promotion of medical products | 2011 | $68,500,000 |
| AstraZeneca Pharmaceuticals LP | AstraZeneca | pharmaceuticals | off-label or unapproved promotion of medical products | 2010 | (*) $218,092,993 |
| Boehringer Ingelheim Pharmaceuticals, Inc. | Boehringer Ingelheim | pharmaceuticals | off-label or unapproved promotion of medical products | 2017 | $13,500,000 |
| Boehringer-Ingelheim Pharmaceuticals, Inc. | Boehringer Ingelheim | pharmaceuticals | off-label or unapproved promotion of medical products | 2012 | (*) $95,000,000 |
| Bristol-Myers Squibb | Bristol-Myers Squibb | pharmaceuticals | off-label or unapproved promotion of medical products | 2016 | $19,500,000 |
| CareFusion | Becton Dickinson | medical equipment and supplies | off-label or unapproved promotion of medical products | 2014 | (*) $40,100,000 |
| Celgene Corp. | Bristol-Myers Squibb | pharmaceuticals | off-label or unapproved promotion of medical products | 2017 | (*) $20,700,000 |
| Cephalon Inc. | Teva Pharmaceutical Industries | pharmaceuticals | off-label or unapproved promotion of medical products | 2008 | (*) $116,000,000 |
| Eisai Inc. | Eisai | pharmaceuticals | off-label or unapproved promotion of medical products | 2010 | (*) $4,658,249 |
| Elan Corp. | Perrigo | pharmaceuticals | off-label or unapproved promotion of medical products | 2010 | (*) $43,399,040 |
| Eli Lilly and Company | Eli Lilly | pharmaceuticals | off-label or unapproved promotion of medical products | 2009 | (*) $361,828,456 |
| Eli Lilly and Company | Eli Lilly | pharmaceuticals | off-label or unapproved promotion of medical products | 2008 | $62,000,000 |
| Endo Health Solution | Endo International | pharmaceuticals | off-label or unapproved promotion of medical products | 2014 | (*) $173,000,000 |
| Genentech Inc. | Roche | pharmaceuticals | off-label or unapproved promotion of medical products | 2000 | $19,000,000 |
| GlaxoSmithKline | GlaxoSmithKline | pharmaceuticals | off-label or unapproved promotion of medical products | 2012 | (*) $477,792,391 |
| Healthpoint Ltd. | off-label or unapproved promotion of medical products | 2013 | (*) $28,000,000 | ||
| Inspire Pharmaceuticals | Merck | pharmaceuticals | off-label or unapproved promotion of medical products | 2015 | (*) $6,000,000 |
| InterMune Inc. | Roche | pharmaceuticals | off-label or unapproved promotion of medical products | 2006 | (*) $6,700,000 |
| ISTA Pharmaceuticals, Inc. | Bausch Health | pharmaceuticals | off-label or unapproved promotion of medical products | 2013 | (*) $390,253 |
| Janssen Pharmaceuticals, Inc. | Johnson & Johnson | pharmaceuticals | off-label or unapproved promotion of medical products | 2012 | $181,000,000 |
| Johnson & Johnson | Johnson & Johnson | pharmaceuticals | off-label or unapproved promotion of medical products | 2013 | (*) $541,000,000 |
| Medicis Pharmaceutical Corporation | Bausch Health | pharmaceuticals | off-label or unapproved promotion of medical products | 2007 | (*) $4,000,000 |
