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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,660,984,318
Number of Records: 7,055
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$83,124,221,356268
JPMorgan Chase$36,129,269,434222
Citigroup$25,540,655,365157
Wells Fargo$22,081,446,244228
Deutsche Bank$18,341,457,30276
UBS$16,880,243,334103
Goldman Sachs$16,399,475,84887
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,154,369,73321
Credit Suisse$10,732,400,12649

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
Freedom MortgageFreedom Mortgagewage and hour violation2012private lawsuit-federal$1,600,000
UBSUBSwage and hour violation2012private lawsuit-federal$1,400,000
SunTrust MortgageTruist Financialwage and hour violation2012private lawsuit-federal$2,400,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2012private lawsuit-federal$1,195,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2012private lawsuit-federal$9,000,000
Associated Banc-CorpAssociated Banc-Corpwage and hour violation2012private lawsuit-federal$1,275,000
Prudential InsurancePrudential Financialwage and hour violation2011private lawsuit-federal$1,016,500
Washington Mutual BankJPMorgan Chasewage and hour violation2011private lawsuit-federal$463,000
Hartford Fire InsuranceHartford Financial Serviceswage and hour violation2011private lawsuit-federal$1,200,000
Ameriprise FinancialAmeriprise Financialwage and hour violation2011private lawsuit-federal$185,000
MetLifeMetLifewage and hour violation2011private lawsuit-federal$2,000,000
American General Finance Management CorporationOneMain Holdingswage and hour violation2011private lawsuit-federal$1,700,000
Oppenheimer & Co.Oppenheimer Holdingswage and hour violation2011private lawsuit-federal$2,375,901
Wells FargoWells Fargowage and hour violation2011private lawsuit-federal$6,660,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2011private lawsuit-federal$42,000,000
AonAonwage and hour violation2011private lawsuit-state$10,500,000
Wells Fargo BankWells Fargowage and hour violation2011private lawsuit-federal$100,000
MetLifeMetLifewage and hour violation2011private lawsuit-federal$2,350,000
Arthur J. GallagherArthur J. Gallagher & Co.wage and hour violation2011private lawsuit-federal$3,900,000
Wells FargoWells Fargowage and hour violation2011private lawsuit-federal$6,720,000
Wells FargoWells Fargowage and hour violation2011private lawsuit-federal$6,900,000
Citigroup Global MarketsCitigroupwage and hour violation2011private lawsuit-federal$394,220
Combined Insurance Company of AmericaChubb Limitedwage and hour violation2010private lawsuit-federal$6,000,000
Wachovia Financial ServicesWells Fargowage and hour violation2010private lawsuit-federal$450,000
Bear StearnsJPMorgan Chasewage and hour violation2010private lawsuit-federal$675,000
Bank of AmericaBank of Americawage and hour violation2010private lawsuit-state$16,650,000
Farmers Insurance ExchangeFarmers Insurance Exchangewage and hour violation2010private lawsuit-federal$8,000,000
Wells FargoWells Fargowage and hour violation2010private lawsuit-federal$20,000,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2010private lawsuit-federal$2,492,729
H&R BlockH&R Blockwage and hour violation2010private lawsuit-federal$1,400,000
Merrill LynchBank of Americawage and hour violation2010private lawsuit-federal$43,500,000
TD BankToronto-Dominion Bankwage and hour violation2010private lawsuit-federal$375,000
Bank of AmericaBank of Americawage and hour violation2010private lawsuit-federal$661,392
Washington Mutual BankJPMorgan Chasewage and hour violation2009private lawsuit-federal$38,000,000
Wachovia SecuritiesWells Fargowage and hour violation2009private lawsuit-federal$39,000,000
Prudential FinancialPrudential Financialwage and hour violation2009private lawsuit-federal$11,000,000
TD AmeritradeCharles Schwab Corp.wage and hour violation2009private lawsuit-federal$2,500,000
AXA FinancialEquitable Holdingswage and hour violation2009private lawsuit-federal$6,500,000
A.G. EdwardsWells Fargowage and hour violation2009private lawsuit-federal$12,000,000
MetLifeMetLifewage and hour violation2009private lawsuit-federal$7,400,000
Janney Montgomery ScottPenn Mutualwage and hour violation2009private lawsuit-federal$2,880,000
Morgan StanleyMorgan Stanleywage and hour violation2009private lawsuit-federal$50,000,000
HSBC Auto FinanceHSBCwage and hour violation2009private lawsuit-federal$420,000
Banco PopularPopular Inc.wage and hour violation2009private lawsuit-federal$1,050,000
Champion Mortgage and KeyBankKeyCorpwage and hour violation2009private lawsuit-federal$1,200,000
Home Loan Center Inc.LendingTreewage and hour violation2009private lawsuit-federal$2,500,000
Hewitt AssociatesAonwage and hour violation2009private lawsuit-federal$4,900,000
National City MortgagePNC Financial Serviceswage and hour violation2008private lawsuit-federal$27,500,000
Edward D. Jones & Co.Jones Financialwage and hour violation2008private lawsuit-federal$21,000,000
UBS as successor to Piper JaffrayUBSwage and hour violation2008private lawsuit-federal$5,500,000
E-TradeMorgan Stanleywage and hour violation2008private lawsuit-federal$900,000
CitigroupCitigroupwage and hour violation2008private lawsuit-federal$98,000,000
Edward D. Jones & Co.Jones Financialwage and hour violation2008private lawsuit-federal$19,000,000
USAAUSAAwage and hour violation2008private lawsuit-federal$738,423
A.G. EdwardsWells Fargowage and hour violation2007private lawsuit-federal$20,000,000
E-Loan Inc.Popular Inc.wage and hour violation2007private lawsuit-federal$13,600,000
UBSUBSwage and hour violation2007private lawsuit-federal$44,000,000
Bank of AmericaBank of Americawage and hour violation2007private lawsuit-state$2,500,000
UBSUBSwage and hour violation2007private lawsuit-federal$45,000,000
Wells FargoWells Fargowage and hour violation2007private lawsuit-federal$12,800,000
CitigroupCitigroupwage and hour violation2006private lawsuit-federal$3,550,000
Morgan StanleyMorgan Stanleywage and hour violation2006private lawsuit-federal$42,500,000
Bank of AmericaBank of Americawage and hour violation2006private lawsuit-federal$9,000,000
Merrill LynchBank of Americawage and hour violation2006private lawsuit-federal$37,000,000
Liberty MutualLiberty Mutual Insurancewage and hour violation2005private lawsuit-federal$6,400,000
Allstate InsuranceAllstatewage and hour violation2005private lawsuit-state$120,000,000
Countrywide FinancialBank of Americawage and hour violation2005private lawsuit-state$30,000,000
State FarmState Farm Insurancewage and hour violation2005private lawsuit-state$135,000,000
ProgressiveProgressivewage and hour violation2004private lawsuit-federal$5,400,000
Bank of AmericaBank of Americawage and hour violation2003private lawsuit-state$4,100,000
DitechDitech Holding Corporationwage and hour violation2002private lawsuit-federal$6,150,000
Coast National InsuranceZurich Insurancewage and hour violation2002private lawsuit-state$18,000,000
Bank of AmericaBank of Americawage and hour violation2001private lawsuit-state$22,000,000
Farmers Insurance ExchangeFarmers Insurance Exchangewage and hour violation2001private lawsuit-state$90,009,208
Wilmington Finance Inc.OneMain Holdingswage and hour violation2008private lawsuit-federal$2,925,000
American Express Financial AdvisorsAmeriprise Financialemployment discrimination2002private lawsuit-federal$31,000,000
Merrill LynchBank of Americaemployment discrimination2013private lawsuit-federal$38,225,000
Merrill LynchBank of Americaemployment discrimination2013private lawsuit-federal$160,000,000
Banc of America Investment ServicesBank of Americaemployment discrimination2009private lawsuit-federal$7,200,000
Combined Insurance Company of AmericaChubb Limitedemployment discrimination2005private lawsuit-federal$8,500,000
Cincinnati Insurance CompanyCincinnati Financialemployment discrimination2006private lawsuit-federal$537,500
Farmers Insurance ExchangeFarmers Insurance Exchangeemployment discrimination2016private lawsuit-federal$6,140,000
JPMorgan ChaseJPMorgan Chaseemployment discrimination2018private lawsuit-federal$24,000,000
MetLife SecuritiesMetLifeemployment discrimination2017private lawsuit-federal$32,500,000
Metropolitan LifeMetLifeemployment discrimination2003private lawsuit-federal$10,000,000
Smith BarneyMorgan Stanleyemployment discrimination2008private lawsuit-federal$33,000,000
Morgan StanleyMorgan Stanleyemployment discrimination2007private lawsuit-federal$46,000,000
Morgan StanleyMorgan Stanleyemployment discrimination2008private lawsuit-federal$750,000
Morgan StanleyMorgan Stanleyemployment discrimination2008private lawsuit-federal$16,000,000
New York Life InsuranceNew York Life Insuranceemployment discrimination2006private lawsuit-federal$6,000,000
Norddeutsche Landesbank GirozentraleNorddeutsche Landesbankemployment discrimination2008private lawsuit-federal$2,618,600
R.R. Donnelley & SonsChatham Asset Managementemployment discrimination2003private lawsuit-federal$15,000,000
Spencer Press of MaineChatham Asset Managementemployment discrimination2004private lawsuit-federal$480,552
R.R. Donnelley & SonsChatham Asset Managementemployment discrimination2004private lawsuit-federal$15,000,000
Wells Fargo AdvisorsWells Fargoemployment discrimination2011private lawsuit-federal$32,000,000
Wells Fargo AdvisorsWells Fargoemployment discrimination2017private lawsuit-federal$35,500,000
Willis GroupWillis Towers Watsonemployment discrimination2011private lawsuit-federal$11,595,038
Willis GroupWillis Towers Watsonemployment discrimination2008private lawsuit-federal$12,757,949
Liberty Mutual InsuranceLiberty Mutual Insuranceemployment discrimination2000private lawsuit-state$348,111
Ocwen FinancialOcwen Financialemployment discrimination2005private lawsuit-state$2,000,000
Wells Fargo Advisors, LLCWells Fargowage and hour violation2018private lawsuit-federal$9,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.