Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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 Parent CompaniesTotal Penalty $Number of Records
Bank of America$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Primary Offense Type Year Agencysort icon Penalty Amount
Mid-Century Insurance Co. Zurich Insurance insurance violation 2011 CO-INS $255,500
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2011 CO-INS $81,400
Mid-Century Insurance Co. Zurich Insurance insurance violation 2011 CO-INS $66,000
Aviva Life and Annuity Co. Athene Holding insurance violation 2011 CO-INS $25,300
Bristol West Insurance Co. Zurich Insurance insurance violation 2011 CO-INS $161,500
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2012 CO-INS $218,000
United American Insurance Co. Globe Life Inc. insurance violation 2012 CO-INS $86,500
Transamerica Life Insurance Co. Aegon insurance violation 2012 CO-INS $6,270
John Alden Life Insurance Co. Assurant insurance violation 2012 CO-INS $86,500
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2012 CO-INS $70,400
North River Insurance Co. Fairfax Financial Holdings insurance violation 2012 CO-INS $62,700
United States Fire Insurance Co. Fairfax Financial Holdings insurance violation 2012 CO-INS $111,500
First American Title Insurance Co. First American Financial insurance violation 2013 CO-INS $177,500
Globe Life and Accident Insurance Co. Globe Life Inc. insurance violation 2014 CO-INS $12,100
National Western Life Insurance Co. National Western Life insurance violation 2014 CO-INS $11,500
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2015 CO-INS $140,500
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2015 CO-INS $66,000
Auto Owners Insurance Co. Auto-Owners Insurance insurance violation 2017 CO-INS $25,875
National Western Life Insurance Co. National Western Life insurance violation 2019 CO-INS $34,500
Companion Life Insurance Co. BlueCross BlueShield of South Carolina insurance violation 2019 CO-INS $147,775
Permanent General Assurance Corp. American Family Insurance insurance violation 2019 CO-INS $56,494
Permanent General Assurance Corporation of Ohio American Family Insurance insurance violation 2019 CO-INS $50,974
ACE Cash Express, Inc. ACE Cash Express consumer protection violation 2002 CO-AG $1,300,000
CashCall, Inc., WS Funding, LLC, and Delbert Services Corporation CashCall Inc. consumer protection violation 2016 CO-AG $7,384,005
Countrywide Financial Corp. Bank of America mortgage abuses 2009 CO-AG $6,000,000
Lender Processing Services, Inc. Fidelity National Financial mortgage abuses 2012 CO-AG $1,800,000
Western Sky Financial, LLC et al. CashCall Inc. consumer protection violation 2014 CO-AG $565,000
Santander Consumer USA, Inc. Banco Santander consumer protection violation 2021 CO-AG $3,065,000
United States Fire Insurance Co. Fairfax Financial Holdings consumer protection violation 2021 CO-AG $50,000
Torchmark Corporation Globe Life Inc. Medicare Parts C and D Enforcement Action 2014 CMS $40,000
Torchmark Corporation Globe Life Inc. Medicare Parts C and D Enforcement Action 2013 CMS $150,000
Blue Shield of California Promise Health Plan California Physicians' Service Medicare Parts C and D Enforcement Action 2020 CMS $148,506
Citigroup Citigroup interest rate benchmark manipulation 2016 CFTC $175,000,000
Citibank Citigroup interest rate benchmark manipulation 2016 CFTC $250,000,000
JPMorgan Chase JPMorgan Chase data submission deficiencies 2016 CFTC $225,000
Credit Suisse Credit Suisse investor protection violation 2016 CFTC $665,000
JPMorgan Chase Bank JPMorgan Chase data submission deficiencies 2015 CFTC $100,000,000
BNP Paribas Securities BNP Paribas investor protection violation 2015 CFTC $140,000
Deutsche Bank AG Deutsche Bank data submission deficiencies 2015 CFTC $2,500,000
Morgan Stanley Morgan Stanley investor protection violation 2015 CFTC $300,000
Barclays Barclays interest rate benchmark manipulation 2015 CFTC $400,000,000
Barclays Barclays interest rate benchmark manipulation 2015 CFTC $115,000,000
Deutsche Bank Deutsche Bank interest rate benchmark manipulation 2015 CFTC $800,000,000
Deutsche Bank Securities Deutsche Bank accounting fraud or deficiencies 2014 CFTC $3,000,000
Royal Bank of Canada Royal Bank of Canada investor protection violation 2014 CFTC $35,000,000
Citibank Citigroup interest rate benchmark manipulation 2014 CFTC $310,000,000
HSBC Bank HSBC interest rate benchmark manipulation 2014 CFTC $275,000,000
JPMorgan Chase Bank JPMorgan Chase interest rate benchmark manipulation 2014 CFTC $310,000,000
Royal Bank of Scotland plc NatWest Group PLC interest rate benchmark manipulation 2014 CFTC $290,000,000
UBS AG UBS interest rate benchmark manipulation 2014 CFTC $290,000,000
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2014 CFTC $280,000
Merrill Lynch Bank of America investor protection violation 2014 CFTC $1,200,000
JPMorgan Securities JPMorgan Chase data submission deficiencies 2014 CFTC $650,000
Lloyds Banking Group plc Lloyds Banking Group interest rate benchmark manipulation 2014 CFTC $105,000,000
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2014 CFTC $490,000
Morgan Stanley Capital Group Morgan Stanley investor protection violation 2014 CFTC $200,000
Rabobank Rabobank interest rate benchmark manipulation 2013 CFTC $475,000,000
JPMorgan Chase JPMorgan Chase investor protection violation 2013 CFTC $100,000,000
ABN AMRO Clearing Chicago LLC ABN AMRO investor protection violation 2013 CFTC $1,000,000
Royal Bank of Scotland plc NatWest Group PLC interest rate benchmark manipulation 2013 CFTC $325,000,000
Mizuho Securities USA Inc. Mizuho Financial data submission deficiencies 2013 CFTC $175,000
UBS AG UBS interest rate benchmark manipulation 2012 CFTC $700,000,000
Goldman Sachs Goldman Sachs investor protection violation 2012 CFTC $1,500,000
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2012 CFTC $200,000
JPMorgan Chase Bank JPMorgan Chase investor protection violation 2012 CFTC $600,000
Citigroup Citigroup investor protection violation 2012 CFTC $525,000
Barclays PLC Barclays interest rate benchmark manipulation 2012 CFTC $200,000,000
Morgan Stanley Morgan Stanley investor protection violation 2012 CFTC $5,000,000
JPMorgan Chase Bank JPMorgan Chase accounting fraud or deficiencies 2012 CFTC $20,000,000
Goldman Sachs Execution & Clearing LP Goldman Sachs investor protection violation 2012 CFTC $7,000,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2012 CFTC $140,000
BlackRock Institutional Trust Company NA BlackRock investor protection violation 2012 CFTC $250,000
Merrill Lynch Bank of America investor protection violation 2011 CFTC $350,000
Morgan Stanley Capital Group Morgan Stanley data submission deficiencies 2010 CFTC $14,000,000
UBS Securities UBS data submission deficiencies 2010 CFTC $200,000
Barclays Capital Inc. Barclays investor protection violation 2016 CFTC $800,000
Barclays Bank PLC Barclays investor protection violation 2016 CFTC $560,000
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. BC Capital Group investor protection violation 2016 CFTC $490,246,741
INTL FCStone Markets, LLC StoneX Group investor protection violation 2015 CFTC $200,000
FCStone, LLC StoneX Group investor protection violation 2015 CFTC $140,000
ICE Futures U.S. Inc. IntercontinentalExchange Group investor protection violation 2015 CFTC $3,000,000
U.S. Bank National Association U.S. Bancorp investor protection violation 2015 CFTC $18,000,000
MF Global Holdings Ltd. MF Global investor protection violation 2014 CFTC $1,312,000,000
Hunter Wise Hunter Wise Commodities investor protection violation 2014 CFTC $108,000,000
Global Futures & Forex, Ltd. GAIN Capital Holdings investor protection violation 2014 CFTC $200,000
Macquarie Futures USA LLC Macquarie investor protection violation 2013 CFTC $150,000
FCStone LLC StoneX Group investor protection violation 2013 CFTC $1,500,000
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2013 CFTC $225,000
Cantor Fitzgerald Cantor Fitzgerald investor protection violation 2012 CFTC $700,000
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2012 CFTC $700,000
FCStone, LLC and Commodity Operations Inc. StoneX Group investor protection violation 2012 CFTC $260,000
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2011 CFTC $100,000
Vitol Inc. and Vitol Capital Management Ltd. Vitol investor protection violation 2010 CFTC $6,000,000
Noble Americas Corp. Vitol investor protection violation 2010 CFTC $130,000
UBS AG UBS investor protection violation 2010 CFTC $130,000
Scotia Capital Inc. Scotiabank investor protection violation 2010 CFTC $250,000
MF Global Inc. MF Global investor protection violation 2009 CFTC $10,000,000
Citigroup Private Bank GP, Inc. Citigroup data submission deficiencies 2009 CFTC $100,000
J.P. Morgan Futures, Inc. JPMorgan Chase data submission deficiencies 2009 CFTC $300,000
UBS Fund Advisor, LLC UBS data submission deficiencies 2009 CFTC $50,000
BNP Paribas Commodity Futures, Ltd. BNP Paribas data submission deficiencies 2008 CFTC $25,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)