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
E*Trade Group, Inc. Morgan Stanley benefit plan administrator violation 2008 EBSA $50,001
FRED ALGER & COMPANY, INCORPORATED Alger Associates benefit plan administrator violation 2007 EBSA $50,001
FIRST FINANCIAL BANCORP First Financial Bancorp. benefit plan administrator violation 2007 EBSA $50,001
FRED ALGER & COMPANY, INCORPORATED Alger Associates benefit plan administrator violation 2006 EBSA $10,001
HORACE MANN SERVICE CORPORATION Horace Mann Educators Corp. benefit plan administrator violation 2006 EBSA $10,001
LAVA TRADING INC. Citigroup benefit plan administrator violation 2006 EBSA $50,001
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLAN American International Group benefit plan administrator violation 2005 EBSA $50,001
Wachovia National Bank, N.A. Wells Fargo benefit plan administrator violation 2000 EBSA $30,000,000
Harris N.A. Bank of Montreal benefit plan administrator violation 2007 EBSA $274,600
Bank of Hawaii Bank of Hawaii benefit plan administrator violation 2009 EBSA $2,500,000
First Hawaiian Bank BNP Paribas benefit plan administrator violation 2009 EBSA $2,500,000
Independent Bank Independent Bank Corp. (Michigan) benefit plan administrator violation 2011 EBSA $95,700
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America benefit plan administrator violation 2011 EBSA $170,854
Morgan Keegan and Co. Inc. Raymond James Financial benefit plan administrator violation 2012 EBSA $633,715
ING Life Insurance and Annuity Co. Voya Financial benefit plan administrator violation 2013 EBSA $5,200,000
Western Asset Management Company Franklin Resources benefit plan administrator violation 2014 EBSA $21,000,000
Bank of New York Mellon Bank of New York Mellon benefit plan administrator violation 2015 EBSA $84,000,000
Invesco Trust Company Invesco benefit plan administrator violation 2016 EBSA $10,270,000
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2018 EBSA $10,001
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2019 EBSA $10,001
Wilmington Trust, N.A. M&T Bank benefit plan administrator violation 2020 EBSA $88,000,000
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2020 EBSA $50,001
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2020 EBSA $50,001
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2020 EBSA $50,001
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2021 EBSA $50,000
Vanguard Group Vanguard Group employment discrimination 2010 EEOC $300,000
Branch Banking and Trust (BB&T) Truist Financial employment discrimination 2010 EEOC $24,000
Mercury Air Centers Inc. Macquarie employment discrimination 2010 EEOC $600,000
Bank of the West BNP Paribas employment discrimination 2011 EEOC $48,000
United Insurance Company of America Kemper employment discrimination 2012 EEOC $37,500
Vitol, Inc. Vitol employment discrimination 2012 EEOC $62,500
BMO Harris Bank Bank of Montreal employment discrimination 2013 EEOC $400,000
Regions Financial Corporation Regions Financial employment discrimination 2013 EEOC $95,000
JPMorgan Chase JPMorgan Chase employment discrimination 2014 EEOC $1,450,000
BOK Financial Corporation dba the Bank of Albuquerque BOK Financial employment discrimination 2014 EEOC $230,000
SunTrust Bank Truist Financial employment discrimination 2014 EEOC $300,000
Wells Fargo Bank, N.A. Wells Fargo employment discrimination 2014 EEOC $290,000
Wells Fargo & Company Wells Fargo employment discrimination 2014 EEOC $295,000
Bank of America Bank of America employment discrimination 2014 EEOC $110,000
Bank of America Bank of America employment discrimination 2016 EEOC $30,000
Farmers Insurance Exchange Farmers Insurance Exchange employment discrimination 2016 EEOC $225,000
Allstate Insurance Company Allstate employment discrimination 2009 EEOC $4,500,000
Merrill Lynch Bank of America employment discrimination 2008 EEOC $1,550,000
Vanguard Group, Inc. Vanguard Group employment discrimination 2008 EEOC $500,000
JPMorgan Chase & Co. JPMorgan Chase employment discrimination 2006 EEOC $2,200,000
Morgan Stanley Morgan Stanley employment discrimination 2004 EEOC $54,000,000
Salomon Smith Barney Morgan Stanley employment discrimination 2001 EEOC $635,000
Josephthal & Co. Oppenheimer Holdings employment discrimination 2000 EEOC $330,000
Brown & Brown Brown & Brown employment discrimination 2017 EEOC $100,000
Asurion, LLC Asurion employment discrimination 2019 EEOC $50,000
Wilmington Trust Corporation M&T Bank employment discrimination 2018 EEOC $700,000
Zenith Insurance Co. Fairfax Financial Holdings employment discrimination 2006 EEOC $180,000
Indiana Insurance Co. Liberty Mutual Insurance employment discrimination 2004 EEOC $178,065
Fifth Third Bank Fifth Third Bancorp employment discrimination 2004 EEOC $225,000
Wilmington Trust Co. M&T Bank employment discrimination 2004 EEOC $70,000
Wells Fargo Financial Texas, Inc. Wells Fargo employment discrimination 2003 EEOC $110,000
M&T Bank M&T Bank employment discrimination 2020 EEOC $100,000
Jackson National Life Insurance Company Prudential PLC employment discrimination 2020 EEOC $20,500,000
American Security Insurance Company Assurant employment discrimination 2020 EEOC $49,000
Chemoil Corporation Glencore environmental violation 2016 EPA $27,000,000
MORGAN STANLEY Morgan Stanley environmental violation 2014 EPA $10,000
IMPERIAL SUGAR COMPANY Louis Dreyfus environmental violation 2009 EPA $5,240
IAC GREENVILLE, LLC Invesco environmental violation 2013 EPA $16,870
LOUIS DREYFUS AGRICULTURAL INDUSTRIES, LLC. Louis Dreyfus environmental violation 2010 EPA $77,628
INTERNATIONAL AUTOMOTIVE COMPONENTS A/K/A LEAR COR Invesco environmental violation 2012 EPA $35,000
Peter Cremer North America Cremer environmental violation 2013 EPA $98,000
International Matex Tank Terminals Macquarie environmental violation 2006 EPA $157,500
The Gas Company LLC (dba Hawaii Gas) Macquarie environmental violation 2014 EPA $155,000
Vitol S.A., Inc. Vitol environmental violation 2005 EPA $41,600
Morgan Stanley Capital Group Inc. Morgan Stanley environmental violation 2009 EPA $405,000
Trafigura AG Trafigura environmental violation 2012 EPA $73,465
Lansing Trade Group LLC Lansing Trade Group environmental violation 2012 EPA $5,586
Lansing Trade Group LLC Lansing Trade Group environmental violation 2013 EPA $122,819
Glencore Ltd. Glencore environmental violation 2013 EPA $98,954
Lansing Trade Group, LLC Lansing Trade Group environmental violation 2014 EPA $11,164
Vitol Inc. Vitol environmental violation 2014 EPA $30,394
CHEMOIL CORPORATION Glencore environmental violation 2016 EPA (*) $27,000,000
Trafigura AG Trafigura environmental violation 2015 EPA $21,450
Vitol, Inc. Vitol environmental violation 2015 EPA $14,047
Lansing Trade Group LLC Lansing Trade Group environmental violation 2016 EPA $5,296
Vitol, Inc. Vitol environmental violation 2016 EPA $17,934
Vitol Inc. Vitol environmental violation 2016 EPA $9,814
Morgan Stanley Capital Group, Inc. Morgan Stanley environmental violation 2017 EPA $1,119,000
Vitol Vitol environmental violation 2017 EPA $35,000
VITOL SA, INC Vitol environmental violation 2002 EPA $95,000
HSBC North America HSBC environmental violation 2010 EPA $36,083
JP Morgan Chase Bank, N.A. JPMorgan Chase environmental violation 2017 EPA $230,392
Morgan Stanley Capital Group, Inc. Morgan Stanley environmental violation 2002 EPA $7,500
ASI SERVICES Progressive aviation safety violation 2015 FAA $17,000
ASI SERVICES Progressive aviation safety violation 2015 FAA $27,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2007 FAA $7,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2005 FAA $5,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2005 FAA $90,000
NEOVIA LOGISTICS Goldman Sachs aviation safety violation 2016 FAA $35,000
NEOVIA LOGISTICS Goldman Sachs aviation safety violation 2015 FAA $5,000
TIAA-CREF TIAA aviation safety violation 2015 FAA $7,500
Neovia Logistics Services Goldman Sachs aviation safety violation 2015 FAA $116,250
Morgan Stanley & Co. LLC Morgan Stanley toxic securities abuses 2016 FDIC $62,950,000
WEX Bank and Higher One, Inc. WEX Inc. banking violation 2015 FDIC $34,980,000
Citizens Bank Citizens Financial Group banking violation 2015 FDIC $8,800,000
Banamex USA Citigroup banking violation 2015 FDIC $140,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)