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)
Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
BMO Financial Bank of Montreal wage and hour violation 2015 private lawsuit-federal $3,900,000
BMO Capital Markets GKST Inc. Piper Sandler investor protection violation 2015 SEC $250,000
BMO Capital Markets Corporation Bank of Montreal investor protection violation 2019 SEC $3,946,000
BMO Capital Markets Corp. Bank of Montreal investor protection violation 2019 SEC $1,950,000
BMO Capital Markets Corp. Bank of Montreal investor protection violation 2008 FINRA $150,000
Blue Shield of California Promise Health Plan California Physicians' Service Medicare Parts C and D Enforcement Action 2020 CMS $148,506
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2012 CA-MHC $50,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2013 CA-MHC $120,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2013 CA-MHC $5,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2014 CA-MHC $75,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2014 CA-MHC $9,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2016 CA-MHC $5,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2017 CA-MHC $7,500
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2017 CA-MHC $20,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2019 CA-MHC $65,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2019 CA-MHC $10,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2019 CA-MHC $150,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2019 CA-MHC $20,000
Blue Shield of California Life & Health Insurance Co. California Physicians' Service insurance violation 2009 CA-INS $285,000
Blue Shield of California California Physicians' Service insurance violation 2008 CA-MHC $5,000,000
Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $900,000
Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $350,000
BlackRock Institutional Trust Company NA BlackRock investor protection violation 2012 CFTC $250,000
BlackRock Institutional Trust Company BlackRock investor protection violation 2014 SEC $1,675,350
BlackRock Inc. BlackRock investor protection violation 2017 SEC $340,000
Blackrock Fund Advisors BlackRock investor protection violation 2017 SEC $1,500,000
BlackRock Advisors LLC BlackRock investor protection violation 2015 SEC $12,000,000
BGC Partners, Inc. BGC Partners investor protection violation 2020 SEC $1,400,000
BGC Financial, LP BGC Partners investor protection violation 2019 CFTC $15,000,000
BGC Financial, L.P. BGC Partners investor protection violation 2019 CFTC $3,000,000
BGC Financial LP BGC Partners foreign exchange market manipulation 2019 NY-AG $7,500,000
Berthel, Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2007 NE-DBF $5,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2003 ND-SEC $12,303
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2004 ND-SEC $20,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2006 ND-SEC $8,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2007 MO-SEC $230,469
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2011 MO-SEC $5,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2013 MO-SEC $80,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2014 FINRA $775,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2021 SEC $389,425
Berthel Fisher & Company Financial Services, Inc Berthel Fisher investor protection violation 2019 NH-BSR $415,407
Berthel Fisher & Company Berthel Fisher investor protection violation 2003 MN-FIN $10,000
Berkshire Life Insurance Company of America Guardian Life Insurance insurance violation 2019 CT-INS $7,500
Berkley National Insurance Company W.R. Berkley insurance violation 2016 TX-INS $8,000
Berkley National Insurance Company W.R. Berkley insurance violation 2018 WA-INS $10,000
Bear, Stearns & Co., Inc. JPMorgan Chase investor protection violation 2006 SEC $1,500,000
Bear, Stearns & Co., Inc. JPMorgan Chase investor protection violation 2006 SEC $250,000,000
Bear, Stearns & Co., Inc. JPMorgan Chase investor protection violation 2005 IL-SEC $10,000
Bear, Stearns & Co., Inc. JPMorgan Chase investor protection violation 2008 FINRA $150,000
Bear, Stearns & Co. Inc. JPMorgan Chase investor protection violation 2003 SEC $80,000,000
Bear, Stearns & Co. Inc. JPMorgan Chase investor protection violation 2003 MULTI-FIN (*) $25,000,000
Bear, Stearns & Co. Inc. JPMorgan Chase investor protection violation 2004 FINRA $4,950,000
Bear, Stearns & Co. Inc. JPMorgan Chase investor protection violation 2004 FINRA $280,469
Bear Stearns Companies, LLC JPMorgan Chase mortgage abuses 2008 FTC $28,000,000
Bear Stearns Companies, Inc. JPMorgan Chase benefit plan administrator violation 2012 private lawsuit-federal $10,000,000
Bear Stearns Companies Inc. JPMorgan Chase wage and hour violation 2003 WHD $358,974
Bear Stearns & Co. LLC JPMorgan Chase investor protection violation 2002 MULTI-AG (*) $80,000,000
Bear Stearns JPMorgan Chase wage and hour violation 2010 private lawsuit-federal $675,000
Bear Stearns JPMorgan Chase investor protection violation 2012 MI-AG $275,000,000
BCS Insurance Company BCS Financial Corporation insurance violation 2016 NY-DFS $100,000
BCS Insurance Company BCS Financial Corporation insurance violation 2017 MULTI-FIN $1,000,000
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. BC Capital Group investor protection violation 2016 CFTC $490,246,741
BBVA Suiza S.A. Banco Bilbao Vizcaya Argentaria tax violations 2015 DOJ_TAX $10,390,000
BB&T Securities, LLC Truist Financial investor protection violation 2016 SEC $200,000
BB&T Securities, LLC Truist Financial investor protection violation 2015 SEC $200,000
BB&T Securities, LLC Truist Financial investor protection violation 2018 SEC $100,000
BB&T Securities, LLC Truist Financial investor protection violation 2019 SEC $376,059
BB&T Securities Truist Financial investor protection violation 2019 SEC $5,709,753
BB&T Leasing Corporation Truist Financial consumer protection violation 2006 MULTI-AG $6,000,000
BB&T Leasing Company Truist Financial consumer protection violation 2005 NY-AG $159,097
BB&T Equipment Finance LLC Truist Financial consumer protection violation 2021 CA-DFPI $75,000
BB&T Corporation Truist Financial benefit plan administrator violation 2019 private lawsuit-federal $24,000,000
BB&T Truist Financial economic sanction violation 2007 OFAC $10,000
BB&T Truist Financial wage and hour violation 2011 WHD $43,662
BB&T Truist Financial wage and hour violation 2018 private lawsuit-federal $72,336
Barclays PLC Barclays foreign exchange market manipulation 2015 DOJ_CRIMINAL $710,000,000
Barclays PLC Barclays interest rate benchmark manipulation 2012 CFTC $200,000,000
Barclays PLC Barclays foreign exchange market manipulation 2018 DOJ_CRIMINAL $12,896,011
Barclays PLC Barclays Foreign Corrupt Practices Act 2019 SEC $6,308,726
Barclays plc Barclays economic sanction violation 2010 NY-MANDA (*) $149,000,000
Barclays Capital, Inc. Barclays toxic securities abuses 2018 USAO $2,000,000,000
Barclays Capital, Inc. Barclays investor protection violation 2015 FINRA $13,750,000
Barclays Capital Inc. Barclays investor protection violation 2016 SEC $35,000,000
Barclays Capital Inc. Barclays investor protection violation 2014 SEC $15,000,000
Barclays Capital Inc. Barclays toxic securities abuses 2015 NCUA $325,000,000
Barclays Capital Inc. Barclays investor protection violation 2016 CFTC $800,000
Barclays Capital Inc. Barclays wage and hour violation 2009 WHD $9,707
Barclays Capital Inc. Barclays investor protection violation 2017 SEC $12,710,040
Barclays Capital Inc. Barclays investor protection violation 2016 SEC $500,000
Barclays Capital Inc. Barclays investor protection violation 2016 NY-AG $35,000,000
Barclays Capital Inc. Barclays toxic securities abuses 2016 VA-AG $9,000,000
Barclays Capital Inc. Barclays investor protection violation 2016 FINRA $1,300,000
Barclays Capital Inc. Barclays investor protection violation 2014 FINRA $5,000,000
Barclays Capital Inc. Barclays investor protection violation 2014 FINRA $1,000,000
Barclays Capital Inc. Barclays investor protection violation 2013 FINRA $3,750,000
Barclays Capital Inc. Barclays investor protection violation 2011 FINRA $3,000,000
Barclays Capital Barclays investor protection violation 2017 SEC $97,037,659
BARCLAYS BANK PLC Barclays foreign exchange market manipulation 2015 FED $342,000,000
Barclays Bank PLC Barclays interest rate benchmark manipulation 2012 DOJ_CRIMINAL $160,000,000
Barclays Bank PLC Barclays economic sanction violation 2010 DOJ_CRIMINAL $298,000,000
Barclays Bank PLC Barclays toxic securities abuses 2014 FHFA $280,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)