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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
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$14,370,701,61843
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 TypeYearAgency sort iconPenalty Amount
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2006IL-SEC$250,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2007IL-SEC$40,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008IL-SEC$1,449,384
ING Financial Partners, Inc.Voya Financialinvestor protection violation2008IL-SEC$4,677,326
LPL Financial Corp.LPL Financialinvestor protection violation2010IL-SEC$300,000
MetLife Securities, Inc.MetLifeinvestor protection violation2010IL-SEC$135,000
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.investor protection violation2011IL-SEC$8,567,364
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2011IL-SEC$80,224
LPL Financial, LLCLPL Financialinvestor protection violation2011IL-SEC$250,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2012IL-SEC$25,930,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2012IL-SEC$7,500
LPL Financial, LLCLPL Financialinvestor protection violation2014IL-SEC$2,000,000
LPL Financial, LLCLPL Financialinvestor protection violation2014IL-SEC$815,218
Pruco Securities, LLCPrudential Financialinvestor protection violation2017IL-SEC$900,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2017IL-SEC$270,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020IL-SEC$11,385
Thrivent Investment Management Inc.Thrivent Financialinvestor protection violation2020IL-SEC$400,000
Indiana Insurance Co.Liberty Mutual Insuranceinsurance violation2010IL-INS$25,000
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2011IL-INS$50,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2011IL-INS$15,000
Sentinel Insurance Company Ltd.Hartford Financial Servicesinsurance violation2011IL-INS$9,000
BUCKEYE PIPE LINE & WEST SHORE PIPE LINEIFM Investorsenvironmental violation2014IL-ENV$125,000
RR DONNELLEY & SONSChatham Asset Managementenvironmental violation2013IL-ENV$5,000
BUCKEYE PIPELINEIFM Investorsenvironmental violation2009IL-ENV$82,845
BUCKEYE PARTNERSIFM Investorsenvironmental violation2009IL-ENV$354,540
Buckeye Pipe Line Company, L.P. and West Shore Pipe Line ComanyIFM Investorsenvironmental violation2021IL-ENV$8,700,000
GUARANTEED RATE INCGuaranteed Rate Inc.wage and hour violation2015IL-DOL$7,291
US BANKU.S. Bancorpwage and hour violation2014IL-DOL$131,922
RR DonnelleyChatham Asset Managementwage and hour violation2020IL-DOL$30,000
Nuveen Services LLCTIAAwage and hour violation2018IL-DOL$27,983
FIRST MIDWEST BANKOld National Bancorpwage and hour violation2018IL-DOL$15,000
ZURICH AMERICAN INS COZurich Insurancewage and hour violation2018IL-DOL$13,865
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$9,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$9,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$7,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$7,000
WELLS FARGO BANK NAWells Fargowage and hour violation2022IL-DOL$18,049
PNC BANK N APNC Financial Serviceswage and hour violation2022IL-DOL$7,600
WELLS FARGO BANK NAWells Fargowage and hour violation2022IL-DOL$18,049
BANK OF AMERICA CORPBank of Americawage and hour violation2022IL-DOL$9,660
Allstate InsuranceAllstatewage and hour violation2021IL-DOL$12,000
RR DonnelleyChatham Asset Managementwage and hour violation2021IL-DOL$174,720
RR DonnelleyChatham Asset Managementwage and hour violation2021IL-DOL$174,600
AllstateAllstatewage and hour violation2021IL-DOL$85,000
AllstateAllstatewage and hour violation2021IL-DOL$75,000
AllstateAllstatewage and hour violation2021IL-DOL$73,000
AllstateAllstatewage and hour violation2021IL-DOL$10,000
GUARANTEED RATE INCGuaranteed Rate Inc.wage and hour violation2021IL-DOL$5,335
FIFTH THIRD SECURITIES INCFifth Third Bancorpwage and hour violation2021IL-DOL$12,000
GMAC Mortgage, LLCAlly Financialconsumer protection violation2010IL-BKG$50,000
Countrywide Home Loans, Inc.Bank of Americaconsumer protection violation2010IL-BKG$54,000
Quicken Loans, Inc.Rocket Companies Inc.consumer protection violation2011IL-BKG$75,000
PHH Mortgage Corp.Ocwen Financialmortgage abuses2012IL-BKG$150,000
Allied Home Mortgage Corp.Americus Mortgageconsumer protection violation2012IL-BKG$7,500
GMAC Mortgage, LLC dba DitechAlly Financialconsumer protection violation2013IL-BKG$15,000
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.consumer protection violation2005IL-AG$27,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2016IL-AG$22,500,000
OppenheimerFunds, Inc.Invescoinvestor protection violation2009IL-AG$77,230,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2018IL-AG$20,000,000
Wells FargoWells Fargotoxic securities abuses2018IL-AG$17,250,000
World Group Securities, Inc.Aegoninvestor protection violation2004ID-SEC$15,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006ID-SEC$415,000
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2008ID-INS$10,000
Bristol West Insurance Co.Zurich Insuranceinsurance violation2008ID-INS$5,330
Globe Life and Accident Insurance Co.Globe Life Inc.insurance violation2008ID-INS$26,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2009ID-INS$5,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2010ID-INS$15,000
Progressive Northwestern Insurance Co. and Progressive Direct Insurance Co.Progressiveinsurance violation2010ID-INS$32,000
Time Insurance Co.Haven Holdingsinsurance violation2014ID-INS$5,000
American Family Assurance Company of ColumbusAflacinsurance violation2014ID-INS$30,000
Nationwide Life Insurance Co.Nationwideinsurance violation2015ID-INS$5,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2015ID-INS$5,000
Transamerica Life Insurance Co.Aegoninsurance violation2017ID-INS$5,000
Arch Insurance Co.Arch Capitalinsurance violation2019ID-INS$5,000
The Hartford et al.Hartford Financial Servicesinsurance violation2022ID-INS$360,000
ACE American Insurance Co.Chubb Limitedinsurance violation2022ID-INS$156,000
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2011ID-FIN$155,000
NavientNavientconsumer protection violation2022ID-AG$3,972,316
Conseco Life Insurance Co.CNO Financialinsurance violation2007IA-INS$750,000
Nationwide Insurance Company of America et al.Nationwideinsurance violation2011IA-INS$52,000
Travelers Casualty & Surety Company of America et al.Travelersinsurance violation2011IA-INS$5,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2014IA-INS$10,000
Solium Financial Services, LLCMorgan Stanleyinvestor protection violation2020IA-INS$10,147
CashCall Inc.CashCall Inc.consumer protection violation2014IA-AG$1,500,000
Progressive Insurance Company of OhioProgressiveconsumer protection violation2001IA-AG$127,500
First Tennessee BankFirst Horizon Nationaldiscriminatory practices (non-employment)2016HUD$1,900,000
Associated Bank, N.A.Associated Banc-Corpdiscriminatory practices (non-employment)2015HUD$200,000,000
Wells Fargo Home MortgageWells Fargodiscriminatory practices (non-employment)2014HUD$5,000,000
Midland States BancorpMidland States Bancorpdiscriminatory practices (non-employment)2014HUD$15,950,000
U.S. Bank National AssociationU.S. Bancorpdiscriminatory practices (non-employment)2014HUD$11,489
Freedom Mortgage CorporationFreedom Mortgagediscriminatory practices (non-employment)2014HUD$104,000
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2013HUD$45,000
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2013HUD$22,449
SunTrust Mortgage, Inc.Truist Financialdiscriminatory practices (non-employment)2013HUD$36,000
PNC MortgagePNC Financial Servicesdiscriminatory practices (non-employment)2013HUD$15,000
U.S. Bank National AssociationU.S. Bancorpdiscriminatory practices (non-employment)2013HUD$12,000
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2013HUD$7,500
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2012HUD$161,180
Home Loan Center, Inc.LendingTreediscriminatory practices (non-employment)2012HUD$15,000
Prospect Mortgage, LLCHomebridge Financial Serviceskickbacks and bribery2011HUD$3,100,000
Fidelity National Financial, Inc.Fidelity National Financialkickbacks and bribery2011HUD$4,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.