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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$331,558,339,161
Number of Records: 
6,166
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$82,764,013,078219
JPMorgan Chase$35,819,302,225162
Citigroup$25,454,366,764125
Wells Fargo$21,358,750,745184
Deutsche Bank$18,286,625,30261
UBS$16,792,860,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,473,904,00028
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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
1st Financial Bank U.S.A. 1st Financial Bank USA banking violation 2005 WI-AG $43,142
1st Financial Bank USA 1st Financial Bank USA banking violation 2010 FDIC $10,140,000
1ST FINANCIAL BANK USA 1st Financial Bank USA banking violation 2009 FDIC (*) $140,000
21st Century Centennial Insurance Co. Zurich Insurance insurance violation 2016 DE-INS $27,500
21st Century Centennial Insurance Company Zurich Insurance insurance violation 2014 NY-DFS $9,000
21st Century Centennial Insurance Company Zurich Insurance insurance violation 2015 NY-DFS $36,500
21st Century Insurance Co. and 21st Century Casualty Co. Zurich Insurance insurance violation 2007 CA-INS $50,000
21st Century National Insurance Company Zurich Insurance insurance violation 2010 NJ-DBI $10,000
21st Century National Insurance Company Zurich Insurance insurance violation 2015 NY-DFS $25,000
21st Century Pacific Insurance Company Zurich Insurance insurance violation 2012 OR-FIN $20,000
A.G. Edwards Wells Fargo wage and hour violation 2009 private lawsuit-federal $12,000,000
A.G. Edwards Wells Fargo wage and hour violation 2007 private lawsuit-federal $20,000,000
A.G. Edwards & Sons Inc. Wells Fargo investor protection violation 2003 NE-DBF $20,000
A.G. Edwards & Sons Inc. Wells Fargo investor protection violation 2007 SC-SEC $575,000
A.G. Edwards & Sons Inc. Wells Fargo investor protection violation 2008 TX-SEC $5,000
A.G. Edwards & Sons, Inc. Wells Fargo data submission deficiencies 2003 CFTC $45,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2007 SEC $3,860,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2006 SEC $125,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2008 NJ-AG $387,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2011 MO-SEC $765,993
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2017 MO-SEC $25,672
A.G. Edwards and Sons Inc. Wells Fargo economic sanction violation 2008 OFAC $122,358
ABN AMRO ABN AMRO economic sanction violation 2005 NY-DFS $20,000,000
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V. ABN AMRO economic sanction violation 2010 DOJ_CRIMINAL $500,000,000
ABN AMRO Bank, Inc ABN AMRO economic sanction violation 2004 OFAC $25,847
ABN AMRO Bank, N.V. ABN AMRO economic sanction violation 2006 OFAC $40,000,000
ABN AMRO Bank, N.V. ABN AMRO investor protection violation 2013 SEC $5,547,408
ABN AMRO Clearing Chicago LLC ABN AMRO investor protection violation 2013 CFTC $1,000,000
ABN AMRO Clearing Chicago LLC ABN AMRO investor protection violation 2018 CFTC $160,000
ABN AMRO Clearing Chicago LLC ABN AMRO investor protection violation 2020 SEC $586,000
ABN AMRO Incorporated ABN AMRO investor protection violation 2001 SEC $200,000
ABN AMRO Mortgage Group ABN AMRO mortgage abuses 2006 HUD $41,000,000
ACADIA INSURANCE COMPANY ET AL W.R. Berkley insurance violation 2018 VA-INS $91,793
Acadia Insurance Company et al. W.R. Berkley insurance violation 2019 VA-INS $9,341
Accident Fund General Insurance Co. AF Group insurance violation 2018 MO-INS $5,000
Accident Fund General Insurance Company AF Group insurance violation 2014 TX-INS $28,000
Accident Fund General Insurance Company AF Group insurance violation 2018 TX-INS $75,000
Accident Fund General Insurance Company AF Group insurance violation 2018 TX-INS $6,400
Accident Fund Insurance Co. of America AF Group insurance violation 2011 TX-INS $8,000
Accident Fund Insurance Company of America AF Group insurance violation 2012 AZ-INS $5,000
Accident Fund Insurance Company of America AF Group insurance violation 2018 MO-INS $5,000
Accident Fund Insurance Company of America AF Group insurance violation 2014 TX-INS $19,000
Accident Fund Insurance Company of America AF Group insurance violation 2017 TX-INS $20,000
Accident Fund Insurance Company of America AF Group insurance violation 2018 TX-INS $13,500
Accident Fund Insurance Company of America AF Group insurance violation 2018 TX-INS $19,800
Accident Fund National Insurance Co. AF Group insurance violation 2018 MO-INS $5,000
Accident Fund National Insurance Company AF Group insurance violation 2018 TX-INS $19,100
Accident Fund National Insurance Company AF Group insurance violation 2019 TX-INS $5,000
Ace America's Cash Express ACE Cash Express wage and hour violation 2004 CA-LCO $75,000
Ace America's Cash Express, Inc. ACE Cash Express wage and hour violation 2004 WHD $26,295
Ace American Insurance Co. Chubb Limited insurance violation 2003 FL-OFR $6,000
Ace American Insurance Co. Chubb Limited insurance violation 2007 FL-OFR $56,000
Ace American Insurance Co. Chubb Limited insurance violation 2016 MO-INS $47,500
Ace American Insurance Co. Chubb Limited insurance violation 2009 UT-INS $141,500
Ace American Insurance Co. Chubb Limited insurance violation 2020 TX-INS $19,500
ACE American Insurance Co. et al. Chubb Limited insurance violation 2013 ME-INS $30,550
ACE American Insurance Company Chubb Limited insurance violation 2007 OR-FIN $15,000
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
Ace American Insurance Company Chubb Limited insurance violation 2008 TX-INS $37,500
Ace American Insurance Company Chubb Limited insurance violation 2010 TX-INS $74,000
Ace American Insurance Company Chubb Limited insurance violation 2010 TX-INS $147,000
Ace American Insurance Company Chubb Limited insurance violation 2011 TX-INS $48,000
Ace American Insurance Company Chubb Limited insurance violation 2011 TX-INS $40,000
Ace American Insurance Company Chubb Limited insurance violation 2012 TX-INS $8,500
Ace American Insurance Company Chubb Limited insurance violation 2014 TX-INS $44,079
Ace American Insurance Company Chubb Limited insurance violation 2014 TX-INS $45,000
ACE American Insurance Company Chubb Limited insurance violation 2015 TX-INS $250,000
Ace American Insurance Company Chubb Limited insurance violation 2015 TX-INS $6,000
Ace American Insurance Company Chubb Limited insurance violation 2015 TX-INS $16,000
Ace American Insurance Company Chubb Limited insurance violation 2015 TX-INS $9,900
Ace American Insurance Company Chubb Limited insurance violation 2015 TX-INS $15,000
Ace American Insurance Company Chubb Limited insurance violation 2017 TX-INS $5,255
Ace American Insurance Company Chubb Limited insurance violation 2018 TX-INS $22,000
Ace American Insurance Company Chubb Limited insurance violation 2018 TX-INS $7,500
Ace American Insurance Company Chubb Limited insurance violation 2018 TX-INS $9,000
Ace American Insurance Company Chubb Limited insurance violation 2019 TX-INS $18,000
Ace American Insurance Company Chubb Limited insurance violation 2019 TX-INS $5,000
Ace American Insurance Company Chubb Limited insurance violation 2011 WA-INS $50,000
Ace American Insurance Company Chubb Limited insurance violation 2020 WA-INS $750,000
ACE American Insurance Company ET AL. Chubb Limited False Claims Act and related 2010 NY-AG $70,000,000
Ace American Insurance Company et al. Chubb Limited insurance violation 2008 TX-INS $50,000
ACE AMERICAN INSURANCE COMPANY ET AL. Chubb Limited insurance violation 2020 WA-INS $50,000
ACE American Reinsurance Company Chubb Limited insurance violation 2006 OR-FIN $8,300
ACE Cash Express ACE Cash Express consumer protection violation 2014 CFPB $15,000,000
Ace Cash Express ACE Cash Express consumer protection violation 2009 OH-BKG $7,050
Ace Cash Express Inc. ACE Cash Express consumer protection violation 2002 MD-FIN $164,000
ACE Cash Express Inc. ACE Cash Express consumer protection violation 2017 PA-BKG $80,000
Ace Cash Express, Inc. ACE Cash Express wage and hour violation 2012 WHD $18,852
Ace Cash Express, Inc. ACE Cash Express wage and hour violation 2005 WHD $12,796
ACE Cash Express, Inc. ACE Cash Express consumer protection violation 2002 CO-AG $1,300,000
ACE Cash Express, Inc. ACE Cash Express payday lending violation 2010 CA-DFPI $118,400
ACE Cash Express, Inc. ACE Cash Express payday lending violation 2015 CA-DFPI $22,500
ACE Cash Express, Inc. ACE Cash Express consumer protection violation 2016 FL-OFR $28,000
ACE Cash Express, Inc. ACE Cash Express consumer protection violation 2015 MD-FIN $353,286
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2009 NE-DBF $15,550
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2010 NE-DBF $11,950
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2010 NE-DBF $8,550
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2010 NE-DBF $6,550
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2012 NE-DBF $5,400
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2012 NE-DBF $7,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)