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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Fifth Third BankFifth Third Bancorpwage and hour violation2017private lawsuit-federal$1,111,388
Fifth Third BankFifth Third Bancorpwage and hour violation2015private lawsuit-federal$3,250,000
Fifth Third BankFifth Third Bancorpwage and hour violation2014private lawsuit-federal$4,000,000
Fifth Third BankFifth Third Bancorpemployment discrimination2004EEOC$225,000
Fifth Third BankFifth Third Bancorpprivacy violation2022private lawsuit-federal$50,000,000
Fifth Third BankFifth Third Bancorpconsumer protection violation2021private lawsuit-federal$5,200,000
Fifth Third BankFifth Third Bancorpconsumer protection violation2011private lawsuit-federal$9,500,000
Fifth Third BankFifth Third Bancorpwage and hour violation2014MI-LEO$5,535
Fifth Third BancorpFifth Third Bancorpaccounting fraud or deficiencies2013SEC$6,500,000
Fifth Third BancorpFifth Third Bancorptoxic securities abuses2015USAO$85,000,000
Fifth Third BancorpFifth Third Bancorpwage and hour violation2007WHD$9,038
Fifth Third BancorpFifth Third Bancorpbenefit plan administrator violation2016private lawsuit-federal$6,000,000
Fifth Third BancorpFifth Third Bancorpconsumer protection violation2015private lawsuit-federal$1,801,384
Fidelity National Title Insurance Company & Chicago Title Insurance CompanyFidelity National Financialinsurance violation2014UT-INS$222,500
Fidelity National Title Insurance CompanyFidelity National Financialkickbacks and bribery2007HUD$68,635
Fidelity National Title Insurance CompanyFidelity National Financialconsumer protection violation2002CA-AG$31,148,320
Fidelity National Title Insurance CompanyFidelity National Financialinsurance violation2007OR-FIN$10,000
Fidelity National Title Insurance CompanyFidelity National Financialinsurance violation2019TX-INS$90,000
Fidelity National Title Insurance CompanyFidelity National Financialinsurance violation2012WA-INS$100,000
FIDELITY NATIONAL TITLE INSURANCE COMPANYFidelity National Financialinsurance violation2021MO-INS$45,900
Fidelity National Title Insurance Co. et al.Fidelity National Financialinsurance violation2005CA-INS$13,300,000
Fidelity National Title Insurance Co. et al.Fidelity National Financialinsurance violation2013CA-INS$1,425,000
Fidelity National Title Insurance Co. et al.Fidelity National Financialinsurance violation2012MO-INS$237,500
Fidelity National Title Insurance Co. et al.Fidelity National Financialinsurance violation2010TX-INS$25,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2011CA-INS$185,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2001CO-INS$17,250
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2014CO-INS$48,400
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2019DE-INS$20,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2018MD-INS$10,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2010MO-INS$73,113
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2020MD-INS$64,600
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2020MO-INS$45,900
Fidelity National Title Company, LLCFidelity National Financialinsurance violation2014IN-INS$30,000
Fidelity National Title Company of Washington IncFidelity National Financialinsurance violation2022WA-INS$5,000
Fidelity National Title Company of OregonFidelity National Financialinsurance violation2006OR-FIN$6,000
Fidelity National Title Co.Fidelity National Financialinsurance violation2009CA-INS$365,000
Fidelity National Title Co.Fidelity National Financialconsumer protection violation2010WA-FIN$23,500
Fidelity National Financial, Inc.Fidelity National Financialkickbacks and bribery2011HUD$4,500,000
Fidelity National Financial, Inc.Fidelity National Financialwage and hour violation2005WHD$778,391
Fidelity National Financial, Inc.Fidelity National Financialconsumer protection violation2013CA-MULTI$873,588
FIDELITY NATIONAL FINANCIAL, INC.Fidelity National Financialworkplace safety or health violation2015OSHA$5,605
Fidelity National Financial, IncFidelity National Financialwage and hour violation2008WHD$27,858
Fidelity National Financial, IncFidelity National Financialwage and hour violation2008WHD$17,845
Fidelity National Financial, IncFidelity National Financialwage and hour violation2004WHD$7,945
Fidelity Management Trust CompanyFidelity Investmentsbenefit plan administrator violation2007private lawsuit-federal$10,850,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors CorporationFidelity Investmentsinvestor protection violation2007FINRA$400,000
FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS, INCFidelity Investmentsworkplace safety or health violation2011OSHA$7,000
Fidelity InvestmentsFidelity Investmentskickbacks and bribery2008SEC$8,000,000
Fidelity InvestmentsFidelity Investmentswage and hour violation2019private lawsuit-federal$1,200,000
Fidelity Distributors Corp. et al.Fidelity Investmentsinvestor protection violation2007FINRA$3,750,000
Fidelity Brokerage Services, LLCFidelity Investmentsinvestor protection violation2004SEC$1,000,000
Fidelity Brokerage Services, Inc. dba Fidelity InvestmentsFidelity Investmentseconomic sanction violation2005OFAC$63,853
Fidelity Brokerage Services LLCFidelity Investmentsinvestor protection violation2011IN-SEC$7,500
Fidelity Brokerage Services LLCFidelity Investmentsinvestor protection violation2015FINRA$1,030,000
Fidelity Brokerage Services LLCFidelity Investmentsinvestor protection violation2023MA-SEC$750,000
Fidelity and Guaranty Insurance CompanyFidelity National Financialinsurance violation2009TX-INS$9,000
Fidelity and Guaranty Insurance CompanyFidelity National Financialinsurance violation2014TX-INS$11,744
Fidelity and Guaranty Insurance CompanyFidelity National Financialinsurance violation2016TX-INS$12,000
Fidelity and Guaranty Insurance Co.Fidelity National Financialinsurance violation2016MO-INS$115,250
Fidelity & Guaranty Life Insurance CompanyFidelity National Financialinsurance violation2012WA-INS$7,500
Fidelity & Guaranty Life Insurance CompanyFidelity National Financialinsurance violation2014WA-INS$10,000
Fidelity & Guaranty Life Insurance CompanyFidelity National Financialinsurance violation2018WA-INS$5,000
Fidelity & Guaranty Life Insurance Co.Fidelity National Financialinsurance violation2014MD-INS$8,000
Fidelity & Guaranty Life Insurance Co.Fidelity National Financialconsumer protection violation2014private lawsuit-state$6,250,000
FIDELITY & GUARANTY LIFE INSURANCEFidelity National Financialinsurance violation2002VA-INS$15,000
FIDELITY & GUARANTY LIFE INSURANCEFidelity National Financialinsurance violation2003VA-INS$20,000
Fidelity & Guaranty Insurance CompanyFidelity National Financialinsurance violation2001MA-INS$21,037
Fidelity & Guaranty Insurance CompanyFidelity National Financialinsurance violation2010TX-INS$50,000
Ferris, Baker Watts, Inc.Royal Bank of Canadainvestor protection violation2009SEC$800,656
Ferris, Baker Watts LLCRoyal Bank of Canadainvestor protection violation2010FINRA$690,000
Federated Investors, Inc.Federated Hermesinvestor protection violation2005SEC$72,000,000
Federated Investors, Inc.Federated Hermesinvestor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Federal National Mortgage Association (Fannie Mae)Fannie Maeaccounting fraud or deficiencies2006SEC$400,000,000
Federal Insurance CompanyChubb Limitedinsurance violation2013TX-INS$36,000
Federal Insurance CompanyChubb Limitedinsurance violation2013TX-INS$6,000
Federal Insurance CompanyChubb Limitedinsurance violation2014TX-INS$37,597
Federal Insurance CompanyChubb Limitedinsurance violation2016TX-INS$16,000
Federal Insurance CompanyChubb Limitedinsurance violation2017TX-INS$22,500
Federal Insurance CompanyChubb Limitedinsurance violation2018TX-INS$7,000
FEDERAL INSURANCE COMPANYChubb Limitedinsurance violation2017VA-INS$6,261
Federal Insurance CompanyChubb Limitedinsurance violation2017WA-INS$30,000
FEDERAL INSURANCE CO., ET AL.Chubb Limitedinsurance violation2004VA-INS$65,000
FEDERAL INSURANCE CO.,Chubb Limitedinsurance violation2015VA-INS$132,761
Federal Insurance Co. et al.Chubb Limitedinsurance violation2003CA-INS$403,652
Federal Insurance Co. et al.Chubb Limitedinsurance violation2011MD-INS$25,000
Federal Insurance Co. et al.Chubb Limitedinsurance violation2011MD-INS$15,000
Federal Insurance Co. et al.Chubb Limitedinsurance violation2015MD-INS$25,000
Federal Insurance Co. et al.Chubb Limitedinsurance violation2016MD-INS$12,000
Federal Insurance Co.Chubb Limitedinsurance violation2005CO-INS$16,000
Federal Insurance Co.Chubb Limitedinsurance violation2008MO-INS$5,900
Federal Insurance Co.Chubb Limitedinsurance violation2016MO-INS$84,500
Federal Insurance Co.Chubb Limitedinsurance violation2018MT-FIN$20,000
Federal Insurance Co.Chubb Limitedinsurance violation2011TX-INS$17,500
Federal Insurance Co.Chubb Limitedinsurance violation2020SD-INS$25,000
Federal Insurance Co.Chubb Limitedinsurance violation2021TX-INS$19,000
Federal Home Loan Mortgage Corporation (Freddie Mac)Freddie Mac (Federal Home Loan Mortgage Corporation)investor protection violation2007SEC$50,000,000
Federal Home Loan Mortgage Corp.Freddie Mac (Federal Home Loan Mortgage Corporation)environmental violation2012VA-ENV$55,802
FCStone, LLC and Commodity Operations Inc.StoneX Groupinvestor protection violation2012CFTC$260,000
FCStone, LLCStoneX Groupinvestor protection violation2015CFTC$140,000
FCStone LLCStoneX Groupinvestor protection violation2013CFTC$1,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.