Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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
Transamerica Financial Advisors, Inc. Aegon investor protection violation 2019 SEC $6,023,072
Comerica Securities, Inc. Comerica investor protection violation 2019 SEC $186,377
Santander Securities LLC Banco Santander investor protection violation 2019 SEC $270,539
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. Oppenheimer Holdings investor protection violation 2019 SEC $3,528,377
LPL Financial LLC LPL Financial investor protection violation 2019 SEC $9,333,516
TIAA-CREF Individual & Institutional Services, LLC TIAA investor protection violation 2019 SEC $2,395,722
Raymond James Financial Services Advisors, Inc. Raymond James Financial investor protection violation 2019 SEC $6,877,048
ProEquities, Inc. Dai-ichi Life investor protection violation 2019 SEC $1,852,383
Santander Consumer USA Holdings Inc. Banco Santander investor protection violation 2018 SEC $1,500,000
UBS Financial Services Inc. UBS investor protection violation 2018 SEC $5,000,000
Deutsche Bank Trust Company Americas Deutsche Bank investor protection violation 2019 SEC $500,000
BMO Capital Markets Corporation Bank of Montreal investor protection violation 2019 SEC $3,946,000
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2019 SEC $647,000
Deutsche Bank AG Deutsche Bank Foreign Corrupt Practices Act 2019 SEC $16,178,850
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China investor protection violation 2019 SEC $42,700,000
Nomura Securities International Inc. Nomura investor protection violation 2019 SEC $26,400,000
State Street Bank and Trust Company State Street Corp. investor protection violation 2019 SEC $88,780,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2019 SEC $8,100,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2019 SEC $1,545,758
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc. Hilltop Holdings investor protection violation 2019 SEC $810,785
Wedbush Securities Inc. Wedbush Securities investor protection violation 2019 SEC $1,852,540
Virtu Americas LLC Virtu Financial investor protection violation 2019 SEC $1,500,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. Bank of Montreal investor protection violation 2019 SEC $37,980,000
Barclays PLC Barclays Foreign Corrupt Practices Act 2019 SEC $6,308,726
GFI Securities LLC BGC Partners investor protection violation 2019 SEC $4,300,000
Raymond James & Associates, Inc. et al. Raymond James Financial investor protection violation 2019 SEC $15,000,000
Morgan Stanley Smith Barney, LLC Morgan Stanley investor protection violation 2019 SEC $225,000
Stifel, Nicolaus & Co., Inc. Stifel Financial investor protection violation 2019 SEC $2,700,000
BMO Capital Markets Corp. Bank of Montreal investor protection violation 2019 SEC $1,950,000
Prudential Financial Inc. Prudential Financial investor protection violation 2019 SEC $32,600,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network Wells Fargo investor protection violation 2020 SEC $35,000,000
Wells Fargo & Co. Wells Fargo investor protection violation 2020 SEC (*) $500,000,000
ABN AMRO Clearing Chicago LLC ABN AMRO investor protection violation 2020 SEC $586,000
MetLife, Inc. MetLife investor protection violation 2019 SEC $10,000,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2020 SEC $1,822,438
U.S. Bancorp Investments, Inc. U.S. Bancorp investor protection violation 2020 SEC $15,992,441
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2020 SEC $5,000,000
RBC Capital Markets LLC Royal Bank of Canada investor protection violation 2020 SEC $3,889,007
Merrill Lynch, Pierce and Fenner & Smith, Incorporated Bank of America investor protection violation 2020 SEC $325,376
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2020 SEC $3,200,000
HSBC Securities (USA) Inc. HSBC investor protection violation 2020 SEC $725,000
Northern Trust Hedge Fund Services LLC Northern Trust investor protection violation 2020 SEC $167,629
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2020 SEC $11,500,000
World Acceptance Corporation World Acceptance Corporation Foreign Corrupt Practices Act 2020 SEC $21,700,000
VALIC Financial Advisors Inc. American International Group investor protection violation 2020 SEC $39,900,000
UBS Financial Services Inc. UBS investor protection violation 2020 SEC $10,000,000
Franklin Advisers and Inc. Franklin Resources investor protection violation 2020 SEC $250,000
Franklin Templeton Investments Corp. Franklin Resources investor protection violation 2020 SEC $75,000
BNP Paribas Securities Corp. BNP Paribas investor protection violation 2020 SEC $250,000
SG Americas Securities LLC Societe Generale investor protection violation 2020 SEC $1,550,000
AmTrust Financial Services Inc. AmTrust Financial Services investor protection violation 2020 SEC $10,300,000
Goldman Sachs Group Inc. Goldman Sachs Foreign Corrupt Practices Act 2020 SEC (*) $1,006,000,000
Morgan Stanley & Co. LLC Morgan Stanley investor protection violation 2020 SEC $5,000,000
Transamerica Asset Management, Inc. Aegon investor protection violation 2020 SEC $5,946,782
BGC Partners, Inc. BGC Partners investor protection violation 2020 SEC $1,400,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2020 SEC $35,000,000
Fulton Financial Corporation Fulton Financial investor protection violation 2020 SEC $1,500,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2020 SEC $600,000
Deutsche Bank AG Deutsche Bank Foreign Corrupt Practices Act 2021 SEC $43,000,000
Pruco Securities, LLC Prudential Financial investor protection violation 2020 SEC $18,252,341
Voya Financial Advisors, Inc. Voya Financial investor protection violation 2020 SEC $22,919,155
Regions Bank Regions Financial environmental violation 2017 TN-ENV $20,750
Selective Insurance Company of South Carolina Selective Insurance Group insurance violation 2014 TN-INS $10,000
Broadspire Services Inc. Crawford & Co. insurance violation 2016 TN-INS $10,000
Ameritas Life Insurance Corp. Ameritas Mutual Holding Company insurance violation 2020 TN-INS $30,000
MONY Securities Corporation Equitable Holdings investor protection violation 2003 TN-SEC $10,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2016 TN-SEC $30,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 TN-SEC $12,994
Allstate Allstate consumer protection violation 2003 TX-AG $3,440,000
American Heritage Life Insurance Co. Allstate consumer protection violation 2007 TX-AG $1,700,000
American National Insurance Co. American National Insurance consumer protection violation 2007 TX-AG $6,500,000
EZCORP, Inc. EZCORP Inc. privacy violation 2008 TX-AG $600,000
Farmers Insurance Group Zurich Insurance consumer protection violation 2003 TX-AG $2,400,000
PayPal Inc. PayPal Holdings privacy violation 2016 TX-AG $175,000
Protective Life Insurance Co. Dai-ichi Life consumer protection violation 2007 TX-AG $1,570,000
Resource Life Insurance Co. CNO Financial consumer protection violation 2010 TX-AG $2,600,000
State Farm State Farm Insurance consumer protection violation 2000 TX-AG $3,100,000
State Farm Mutual Automobile Insurance Co. State Farm Insurance consumer protection violation 2005 TX-AG $10,000,000
Universal Underwriters Life Insurance Co. Zurich Insurance consumer protection violation 2008 TX-AG $2,400,000
Sherwin Alumina Company, LLC Glencore environmental violation 2015 TX-ENV $58,500
JP Morgan Chase JPMorgan Chase environmental violation 2011 TX-ENV $6,555
CAPITAL ONE NATIONAL ASSOCIATION Capital One Financial environmental violation 2010 TX-ENV $8,400
Sherwin Alumina, L.P. Glencore environmental violation 2008 TX-ENV $23,200
Sherwin Alumina, L.P. Glencore environmental violation 2007 TX-ENV $20,488
Bank Of America NA Bank of America environmental violation 2005 TX-ENV $12,480
Sherwin Alumina, L.P. Glencore environmental violation 2003 TX-ENV $6,300
Imperial Sugar Company Louis Dreyfus environmental violation 2003 TX-ENV $6,800
Bannockburn Global Forex, LLC First Financial Bancorp. consumer protection violation 2016 TX-FIN $23,608
Mid-Century Insurance Co. of Texas Zurich Insurance insurance violation 2000 TX-INS $11,000,000
Farmers Insurance Group Zurich Insurance insurance violation 2002 TX-INS $15,000,000
Allstate Texas Lloyd's Allstate insurance violation 2008 TX-INS $71,300,000
Hartford Casualty Insurance Company et al. Hartford Financial Services insurance violation 2008 TX-INS $21,000
Sentry Insurance Sentry Insurance insurance violation 2008 TX-INS $5,000
Hartford Fire Insurance Company Hartford Financial Services insurance violation 2008 TX-INS $6,000
Ace American Insurance Company Chubb Limited insurance violation 2008 TX-INS $17,500
Ace American Insurance Company Chubb Limited insurance violation 2008 TX-INS $14,875
Indemnity Insurance Company of North America Chubb Limited insurance violation 2008 TX-INS $18,000
Old Republic Insurance Company Old Republic International insurance violation 2008 TX-INS $18,000
Virginia Surety Company, Inc. Assurant insurance violation 2008 TX-INS $7,000
Ace American Insurance Company et al. Chubb Limited insurance violation 2008 TX-INS $50,000
Ace American Insurance Company Chubb Limited insurance violation 2008 TX-INS $37,500
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)