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
Lincoln Financial Securities Corporation Lincoln National investor protection violation 2010 TX-SEC $40,000
BNY Mellon Capital Markets LLC Bank of New York Mellon investor protection violation 2011 TX-SEC $500,000
TD Ameritrade Inc. Charles Schwab Corp. investor protection violation 2015 TX-SEC $400,000
LPL Financial LLC LPL Financial investor protection violation 2016 TX-SEC $95,000
Scottrade Inc. Charles Schwab Corp. investor protection violation 2016 TX-SEC $100,000
Charles Schwab & Co. Inc. Charles Schwab Corp. investor protection violation 2016 TX-SEC $125,000
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2020 TX-SEC $600,000
LendingClub Corporation LendingClub Corp. investor protection violation 2020 TX-SEC $400,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 TX-SEC $46,073
Fifth Third Bancorp Fifth Third Bancorp toxic securities abuses 2015 USAO $85,000,000
Bank of New York Mellon Bank of New York Mellon banking violation 2015 USAO $714,000,000
HSBC HSBC mortgage abuses 2014 USAO $10,000,000
JPMorgan Chase Bank JPMorgan Chase anti-money-laundering deficiencies 2014 USAO $1,700,000,000
SAC Capital SAC Capital insider trading 2013 USAO $1,800,000,000
Lebanese Canadian Bank Lebanese Canadian Bank anti-money-laundering deficiencies 2013 USAO $102,000,000
Deutsche Bank AG Deutsche Bank toxic securities abuses 2012 USAO $202,300,000
Flagstar Bank Flagstar Bancorp mortgage abuses 2012 USAO $132,800,000
Citimortgage Inc. Citigroup mortgage abuses 2012 USAO $158,300,000
Deutsche Bank AG Deutsche Bank tax violations 2010 USAO $553,633,153
JPMorgan Chase JPMorgan Chase discriminatory practices (non-employment) 2017 USAO $53,000,000
RBS Securities Inc. NatWest Group PLC toxic securities abuses 2017 USAO $44,000,000
ZB N.A. (fka Zions First National Bank) Zions Bancorporation consumer protection violation 2017 USAO $3,600,000
Bank of America Bank of America investor protection violation 2017 USAO $2,500,000
Allied Home Mortgage Americus Mortgage fraud 2017 USAO $296,298,325
Prospect Mortgage Company LLC Homebridge Financial Services mortgage abuses 2017 USAO $4,157,000
HSBC Bank USA N.A. HSBC False Claims Act and related 2017 USAO $2,118,861
Societe Generale S.A. Societe Generale toxic securities abuses 2017 USAO $50,000,000
Deutsche Bank Deutsche Bank tax violations 2017 USAO $95,000,000
PNC Bank N.A. PNC Financial Services False Claims Act and related 2016 USAO $9,500,000
Ally Financial Inc. Ally Financial toxic securities abuses 2016 USAO $52,000,000
Credit Agricole Corporate and Investment Bank (CACIB) Credit Agricole economic sanction violation 2015 USAO $156,000,000
M&T Bank M&T Bank anti-money-laundering deficiencies 2014 USAO $560,000
Ambac Financial Group et al. Ambac Financial toxic securities abuses 2013 USAO $101,900,000
Metropolitan Life Insurance Company MetLife kickbacks and bribery 2010 USAO $13,500,000
Wachovia Bank N.A. Wells Fargo anti-money-laundering deficiencies 2010 USAO $50,000,000
Omega Advisors Omega Advisors Foreign Corrupt Practices Act 2007 USAO $500,000
The Bank of New York Bank of New York Mellon anti-money-laundering deficiencies 2005 USAO $38,000,000
Riggs Bank PNC Financial Services anti-money-laundering deficiencies 2005 USAO $16,000,000
AmSouth Bancorporation Regions Financial fraud 2004 USAO $40,000,000
Credit Lyonnais Credit Agricole fraud 2003 USAO $100,000,000
Republic New York Securities HSBC fraud 2001 USAO $569,000,000
U.S. Bancorp U.S. Bancorp anti-money-laundering deficiencies 2018 USAO $453,000,000
Barclays Capital, Inc. Barclays toxic securities abuses 2018 USAO $2,000,000,000
Rabobank N.A. Rabobank anti-money-laundering deficiencies 2018 USAO $500,000
Societe Generale S.A. Societe Generale economic sanction violation 2018 USAO $717,200,000
BMO Harris Bank, N.A. Bank of Montreal fraud 2018 USAO $10,000,000
HSBC HSBC toxic securities abuses 2018 USAO $765,000,000
Philadelphia Indemnity Insurance Company Tokio Marine False Claims Act and related 2018 USAO $30,508
LendingClub Corporation LendingClub Corp. banking violation 2018 USAO $2,000,000
Unum Group Unum kickbacks and bribery 2008 USAO $5,550,000
Mellon Bank N.A. Bank of New York Mellon False Claims Act and related 2006 USAO $18,130,405
Wells Fargo Bank Wells Fargo False Claims Act and related 2008 USAO $4,046,786
Watson Wyatt & Company Willis Towers Watson False Claims Act and related 2005 USAO $689,828
Travelers Insurance Company Travelers False Claims Act and related 2004 USAO $10,900,000
HSBC Private Bank (Suisse) SA HSBC tax violations 2019 USAO $192,350,000
Industrial Bank of Korea Industrial Bank of Korea anti-money-laundering deficiencies 2020 USAO $51,000,000
State Street Corporation State Street Corp. fraud 2021 USAO $115,000,000
Ace American Insurance Co. Chubb Limited insurance violation 2009 UT-INS $141,500
Allianz Life Insurance Company of North America Allianz insurance violation 2011 UT-INS $50,000
Allianz Life Insurance Company of North America Allianz insurance violation 2011 UT-INS $29,500
Lincoln National life Insurance Company Lincoln National insurance violation 2011 UT-INS $6,000
Genworth Life and Annuity Insurance Company Genworth Financial insurance violation 2011 UT-INS $6,000
Sentry Insurance A Mutual Company Sentry Insurance insurance violation 2011 UT-INS $6,000
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2012 UT-INS $15,000
United Insurance Company Kemper insurance violation 2012 UT-INS $5,500
Globe Life and Accident Insurance Company Globe Life Inc. insurance violation 2013 UT-INS $10,000
First American Title Insurance Company: First American Financial insurance violation 2014 UT-INS $73,000
Transamerica Life Insurance Company Aegon insurance violation 2014 UT-INS $45,000
First American Title Insurance Company First American Financial insurance violation 2016 UT-INS $6,500
Liberty Mutual General Insurance Company Liberty Mutual Insurance insurance violation 2016 UT-INS $5,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2016 UT-INS $172,250
Liberty Mutual General Insurance Company Liberty Mutual Insurance insurance violation 2016 UT-INS $10,000
Liberty Mutual Insurance Liberty Mutual Insurance insurance violation 2017 UT-INS $5,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2017 UT-INS $67,500
Catlin Insurance Company Inc. AXA insurance violation 2018 UT-INS $100,000
Lawyers Title Company Fidelity National Financial insurance violation 2018 UT-INS $93,500
Allstate Indemnity Company Allstate insurance violation 2018 UT-INS $5,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2018 UT-INS $39,400
LM General Insurance Company Liberty Mutual Insurance insurance violation 2019 UT-INS $70,000
Ace American Insurance Company Chubb Limited insurance violation 2021 UT-INS $41,500
Barclays Capital Inc. Barclays toxic securities abuses 2016 VA-AG $9,000,000
CashCall, Inc. CashCall Inc. consumer protection violation 2017 VA-AG $15,335,000
Citigroup Global Markets Inc. Citigroup toxic securities abuses 2016 VA-AG $4,750,000
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America toxic securities abuses 2016 VA-AG $19,500,000
Credit Suisse Securities (USA) LLC Credit Suisse toxic securities abuses 2016 VA-AG $1,200,000
Deutsche Bank Securities Inc. Deutsche Bank toxic securities abuses 2016 VA-AG $5,621,897
Goldman, Sachs & Co. Goldman Sachs toxic securities abuses 2016 VA-AG $2,900,000
HSBC Securities (USA) Inc. HSBC toxic securities abuses 2016 VA-AG $2,500,000
Morgan Stanley & Co. LLC Morgan Stanley toxic securities abuses 2016 VA-AG $6,900,000
RBS Securities Inc. NatWest Group PLC toxic securities abuses 2016 VA-AG $10,000,000
UBS Securities LLC UBS toxic securities abuses 2016 VA-AG $850,000
Navy Federal Credit Union Navy Federal Credit Union environmental violation 2017 VA-ENV $7,426
Wheelabrator Portsmouth Inc. Macquarie environmental violation 2016 VA-ENV $7,669
Bank of America, National Association Bank of America environmental violation 2013 VA-ENV $27,625
Federal Home Loan Mortgage Corp. Freddie Mac (Federal Home Loan Mortgage Corporation) environmental violation 2012 VA-ENV $55,802
ALLIED CASH ADVANCE VIRGINIA CNG Financial consumer protection violation 2008 VA-FIN $38,000
ALLIED HOME MORTGAGE CAPITAL Americus Mortgage consumer protection violation 2008 VA-FIN $5,000
ALLIED HOME MORTGAGE CAPITAL Americus Mortgage consumer protection violation 2010 VA-FIN $25,000
ACE CASH EXPRESS, INC. ACE Cash Express consumer protection violation 2010 VA-FIN $150,000
FREEDOM MORTGAGE CORPORATION Freedom Mortgage consumer protection violation 2016 VA-FIN $17,000
ACE CASH EXPRESS, INC. ACE Cash Express consumer protection violation 2016 VA-FIN $45,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)