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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
Societe GeneraleSociete Generaleeconomic sanction violation2011OFAC$111,259
Societe GeneraleSociete Generaleeconomic sanction violation2018NY-MANDA$162,800,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2020private lawsuit-federal$5,125,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2018private lawsuit-federal$18,000,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2022private lawsuit-federal$12,500,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2020private lawsuit-federal$975,000
Societe GeneraleSociete Generaleinvestor protection violation2023CFTC$75,000,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2023private lawsuit-federal$105,000,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2023private lawsuit-federal$30,000,000
Societe Generale Financial CorporationSociete Generalebanking violation2020CA-DFPI$10,250
Societe Generale International LimitedSociete Generaleinvestor protection violation2019CFTC$2,500,000
Societe Generale Private Banking (Lugano-Svizzera)Societe Generaletax violations2015DOJ_TAX$1,363,000
Societe Generale Private Banking (Suisse) SASociete Generaletax violations2015DOJ_TAX$17,807,000
Societe Generale S.A.Societe Generaletoxic securities abuses2017USAO$50,000,000
Societe Generale S.A.Societe Generaleprice-fixing or anti-competitive practices2018CFTC$475,000,000
Societe Generale S.A.Societe GeneraleForeign Corrupt Practices Act2018DOJ_CRIMINAL$860,000,000
Societe Generale S.A.Societe Generaleeconomic sanction violation2018FED$81,300,000
Societe Generale S.A.Societe Generaleeconomic sanction violation2018USAO$717,200,000
Societe Generale S.A.Societe Generaleeconomic sanction violation2018OFAC$53,966,916
Societe Generale S.A.Societe Generaleinvestor protection violation2021CFTC$1,500,000
Societe Generale SASociete Generaleeconomic sanction violation2018NY-DFS$420,000,000
Societe Generale, S.A.Societe Generaleprice-fixing or anti-competitive practices2016private lawsuit-federal$25,412,500
Solium Financial ServicesMorgan Stanleyinvestor protection violation2021DC-DISB$9,879
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020AK-DBS$10,527
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020AL-SEC$18,874
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2019AR-SEC$5,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CA-DFPI$52,047
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CT-SEC$51,136
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020GA-SEC$22,104
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020IN-SEC$15,575
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020MO-SEC$9,130
Solium Financial Services LLCMorgan Stanleyconsumer protection violation2019NE-DBF$14,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020NH-BSR$90,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020OK-SEC$9,968
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020OR-FIN$10,599
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020TN-SEC$12,994
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2019VA-SEC$10,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020VT-FIN$6,900
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020WA-FIN$33,753
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020FL-OFR$79,045
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020PA-BKG$52,372
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020SD-SEC$5,750
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020TX-SEC$46,073
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CO-SEC$69,338
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020IL-SEC$11,385
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020KY-FIN$5,465
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020MS-SEC$6,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020MT-FIN$14,700
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020NM-SEC$6,500
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020RI-FIN$6,500
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020SC-SEC$28,007
Solium Financial Services, LLCMorgan Stanleyinvestor protection violation2020IA-INS$10,147
Solium Financial Services, LLCMorgan Stanleyinvestor protection violation2020ME-SEC$5,000
Sorrento Pacific Financial, LLCAtria Wealth Solutionsinvestor protection violation2019SEC$49,162
Southwest Securities Inc.Hilltop Holdingsinvestor protection violation2000FINRA$500,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2005SEC$10,000,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2010SEC$470,147
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2012IL-SEC$7,500
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2011FINRA$650,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2011FINRA$500,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2004FINRA$36,971
Sovereign Bank N.A.Banco Santanderbanking violation2013OCC$16,086,180
Spear, Leeds & KelloggGoldman Sachsinvestor protection violation2001FINRA$10,000
Spear, Leeds & Kellogg Specialists LLCGoldman Sachsinvestor protection violation2004SEC$45,272,478
Spear, Leeds & Kellogg, L.PGoldman Sachsinvestor protection violation2005FINRA$1,000,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsinvestor protection violation2003SEC$450,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsinvestor protection violation2004FINRA$75,000
Spencer Press of MaineChatham Asset Managementemployment discrimination2004private lawsuit-federal$480,552
SPENCER PRESS OF MAINE INC.Chatham Asset Managementworkplace safety or health violation2005OSHA$35,000
SPENCER PRESS OF MAINE, INC.Chatham Asset Managementworkplace safety or health violation2001OSHA$10,500
Springstone Financial, LLCLendingClub Corp.consumer protection violation2015CFPB$700,000
St Paul Travelers Companies Inc.Travelersbenefit plan administrator violation2007private lawsuit-federal$4,450,000
St. Paul Fire & Marine Insurance Co.Travelersinsurance violation2007FL-OFR$23,750
St. Paul Fire & Marine Insurance Co.Travelersinsurance violation2006KS-INS$5,000
St. Paul Fire & Marine Insurance Co.Travelersinsurance violation2005WI-INS$20,000
St. Paul TravelersTravelersprice-fixing or anti-competitive practices2006MULTI-AG$77,000,000
St. Paul Travelers Companies Inc.Travelersinvestor protection violation2005NM-AG$67,500,000
Standard Chartered BankStandard Charteredeconomic sanction violation2012DOJ_CRIMINAL$227,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2012OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $132,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2019DOJ_CRIMINAL$292,210,160
Standard Chartered BankStandard Charteredeconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $657,040,033
Standard Chartered BankStandard Charteredeconomic sanction violation2019NY-MANDA$292,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $113,500,000
Standard Chartered BankStandard Charteredanti-money-laundering deficiencies2012NY-DFS$340,000,000
Standard Chartered BankStandard Charteredanti-money-laundering deficiencies2014NY-DFS$300,000,000
Standard Chartered BankStandard Charteredprice-fixing or anti-competitive practices2019NY-DFS$40,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2019NY-DFS$180,000,000
Standard Chartered BankStandard Charteredprice-fixing or anti-competitive practices2018private lawsuit-federal$17,200,000
Standard Chartered BankStandard Charteredprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Standard Chartered BankStandard Charteredprice-fixing or anti-competitive practices2020private lawsuit-federal$1,720,000
Standard Chartered Bank (Switzerland) SA, en liquidationStandard Charteredtax violations2015DOJ_TAX$6,337,000
STANDARD CHARTERED PLCStandard Charteredbanking violation2012FED$100,000,000
Standard Chartered plcStandard Charteredbanking violation2019FED$164,000,000
Standard Fire Insurance Co.Travelersinsurance violation2018KS-INS$7,500
Standard Fire Insurance Co.Travelersinsurance violation2015MO-INS$89,000
Standard Fire Insurance Co.Travelersinsurance violation2021TX-INS$7,500
Standard Fire Insurance Co. et al.Travelersinsurance violation2016MD-INS$7,500
Standard Fire Insurance CompanyTravelersinsurance violation2018OR-FIN$71,200
Standard Fire Insurance CompanyTravelersinsurance violation2000SC-INS$10,000
Standard Fire Insurance CompanyTravelersinsurance violation2010TX-INS$8,000
Standard Fire Insurance CompanyTravelersinsurance violation2013TX-INS$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.