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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
First Republic Investment Management, Inc.JPMorgan Chaseinvestor protection violation2022SEC$1,825,953
First Tennessee BankFirst Horizon Nationaldiscriminatory practices (non-employment)2016HUD$1,900,000
First Tennessee Bank N.A.First Horizon NationalFalse Claims Act and related2015DOJ_CIVIL$212,500,000
First Tennessee Bank NAFirst Horizon Nationalprice-fixing or anti-competitive practices2020private lawsuit-federal$14,500,000
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2009OCC$100,000
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2007OCC$125,000
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2005OCC$180,000
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2017OCC$1,000,000
First Union BankWells Fargoeconomic sanction violation2004OFAC$18,740
First Union BankWells Fargolabor relations violation2000NLRB$9,116
First Union Brokerage Services, Inc.Wells Fargoinvestor protection violation2001FINRA$32,500
First Union Securities, Inc.Wells Fargoinvestor protection violation2000SEC$408,931
First Union Securities, Inc.Wells Fargoinvestor protection violation2000FINRA$350,000
First Unum Life Insurance CompanyUnuminsurance violation2022NY-DFS$1,100,000
First Unum Life Insurance Company of America and Paul Revere Life Insurance CompanyUnumprivacy violation2021NY-DFS$1,800,000
First USAJPMorgan Chaseconsumer protection violation2002MULTI-AG$1,300,000
FirstBank Puerto RicoFirst Bancorp (Puerto Rico)banking violation2019FDIC$17,700
Fiserv Securities, Inc.Fidelity Investmentsinvestor protection violation2005SEC$15,000,000
FITTJE BROS. PRINTING CO.Chatham Asset Managementworkplace safety or health violation2017OSHA$5,000
Five Star BankFinancial Institutions Inc.discriminatory practices (non-employment)2015NY-AG$150,000
Flagstar Bancorp, Inc.New York Community Bancorpbenefit plan administrator violation2013private lawsuit-federal$3,000,000
Flagstar Bancorp, Inc. a Michigan CorporationNew York Community Bancorpwage and hour violation2021CA-LCO$30,677
Flagstar BankNew York Community Bancorpconsumer protection violation2014CFPB$37,500,000
Flagstar BankNew York Community Bancorpmortgage abuses2012USAO$132,800,000
Flagstar BankNew York Community Bancorpwage and hour violation2015private lawsuit-federal$895,000
Flagstar BankNew York Community Bancorpdiscriminatory practices (non-employment)2004private lawsuit-federal$1,100,000
Flagstar Bank, FSBNew York Community Bancorpbanking violation2016OCC$500,000
Flagstar Bank, FSBNew York Community Bancorpbanking violation2021OCC$3,620,000
Flagstar Bank, FSB,New York Community Bancorpwage and hour violation2021CA-LCO$30,677
Fleet National BankBank of Americaenvironmental violation2000RI-ENV$18,034
FleetBoston Financial CorpBank of Americabenefit plan administrator violation2008private lawsuit-federal$83,401,000
FleetBoston Financial Corp.Bank of Americainvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000
FleetBoston Financial CorporationBank of Americainvestor protection violation2004SEC$140,000,000
FleetBoston Financial CorporationBank of Americaprivacy violation2001NY-AG$100,000
Florida Central Railroad3i Infrastructure PLCrailroad safety violation2013FRA$6,800
FMR LLCFidelity Investmentsbenefit plan administrator violation2014private lawsuit-federal$12,000,000
FMR LLCFidelity Investmentsbenefit plan administrator violation2021EBSA$10,001
Foremost Insurance Co.Zurich Insuranceinsurance violation2003MN-FIN$5,000
FOREMOST INSURANCE CO.Zurich Insuranceinsurance violation2010VA-INS$6,000
Foremost Insurance Co.Zurich Insuranceinsurance violation2003WI-INS$8,500
Foremost Insurance Co. at al.Zurich Insuranceinsurance violation2004MN-FIN$75,000
Foremost Insurance Company Grand Rapids MichiganZurich Insuranceinsurance violation2021WA-INS$75,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2015AZ-DIFI$58,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2014MD-INS$10,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2021OR-FIN$15,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2022CT-INS$20,000
Foremost Insurance Company of Grand Rapids, MichiganZurich Insuranceinsurance violation2005PA-INS$5,000
Foremost Insurance Group et al.Zurich Insuranceinsurance violation2015SD-INS$750,000
Foremost Property & Casualty Insurance Co.Zurich Insuranceinsurance violation2015AZ-DIFI$21,000
Foremost Property and Casualty Insurance Co. et al.Zurich Insuranceinsurance violation2019DE-INS$11,000
Fortis Insurance Co.Assurantinsurance violation2007FL-OFR$11,000
Fortis Insurance Co.Assurantinsurance violation2004MN-FIN$5,000
Fortis Insurance Co.Assurantinsurance violation2005MN-FIN$7,500
Fortis Insurance Co.Assurantinsurance violation2005MN-FIN$10,000
Fortis Insurance Co.Assurantinsurance violation2004MT-FIN$65,000
Fortis Insurance Co. and Fortis Benefits Insurance Co.Assurantinsurance violation2001MN-FIN$5,000
Fortis Insurance Co. and John Alden Life Insurance Co.Assurantinsurance violation2002MN-FIN$10,000
Fortis Insurance Co. and John Alden Life Insurance Co.Assurantinsurance violation2002MN-FIN$75,000
Fortis Insurance Co. et al.Assurantinsurance violation2004MT-FIN$70,000
FORTIS INSURANCE CO., ET AL.Assurantinsurance violation2002VA-INS$27,000
Fortis Insurance CompanyAssurantinsurance violation2002OR-FIN$42,500
Fortis Insurance CompanyAssurantinsurance violation2003OR-FIN$20,000
FORTIS INSURANCE COMPANYAssurantinsurance violation2001VA-INS$57,000
Franklin Advisers and Inc.Franklin Resourcesinvestor protection violation2020SEC$250,000
Franklin Advisers, Inc.Franklin Resourcesinvestor protection violation2004SEC$50,000,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc.Franklin Resourcesinvestor protection violation2004SEC$20,000,000
Franklin American MortgageCitizens Financial Groupwage and hour violation2013private lawsuit-federal$165,000
Franklin American Mortgage CompanyCitizens Financial Groupmortgage abuses2015DOJ_CIVIL$70,000,000
Franklin American Mortgage CompanyCitizens Financial Groupconsumer protection violation2010PA-BKG$6,750
Franklin Resources, Inc.Franklin Resourcesbenefit plan administrator violation2019private lawsuit-federal$13,850,000
Franklin Templeton Distributors, Inc.Franklin ResourcesFamily and Medical Leave Act2016WHD$23,252
Franklin Templeton Investments Corp.Franklin Resourcesinvestor protection violation2020SEC$75,000
Franklin/Templeton Distributors, Inc.Franklin Resourcesinvestor protection violation2004CA-AG$18,000,000
FRED ALGER & COMPANY, INCORPORATEDAlger Associatesbenefit plan administrator violation2007EBSA$50,001
FRED ALGER & COMPANY, INCORPORATEDAlger Associatesbenefit plan administrator violation2006EBSA$10,001
Fred Alger Management, Inc.Alger Associatesinvestor protection violation2007SEC$40,000,000
Fred Alger Management, Inc.Alger Associatesinvestor protection violation2007NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $45,000,000
Freddie MacFreddie Mac (Federal Home Loan Mortgage Corporation)consumer protection violation2008NY-AG$12,000,000
Freddie MacFreddie Mac (Federal Home Loan Mortgage Corporation)environmental violation2023RI-AG$460,000
Freedom MortgageFreedom Mortgagewage and hour violation2015private lawsuit-federal$900,000
Freedom MortgageFreedom Mortgagewage and hour violation2012private lawsuit-federal$1,600,000
Freedom MortgageFreedom Mortgagewage and hour violation2021MI-LEO$8,000
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2009CT-BKG$43,000
Freedom Mortgage Corp.Freedom Mortgagemortgage abuses2016MA-BKG$2,000,000
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2009WA-FIN$52,791
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2020MA-BKG$25,000
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2023NJ-AG$502,000
Freedom Mortgage CorporationFreedom MortgageFalse Claims Act and related2016DOJ_CIVIL$113,000,000
Freedom Mortgage CorporationFreedom Mortgagediscriminatory practices (non-employment)2014HUD$104,000
Freedom Mortgage CorporationFreedom Mortgagemortgage abuses2019CFPB$1,750,000
Freedom Mortgage CorporationFreedom Mortgagewage and hour violation2019private lawsuit-federal$4,480,000
FREEDOM MORTGAGE CORPORATIONFreedom Mortgageconsumer protection violation2016VA-FIN$17,000
Freedom Mortgage CorporationFreedom Mortgageconsumer protection violation2020CA-DFPI$75,000
Freedom Mortgage CorporationFreedom Mortgagekickbacks and bribery2023CFPB$1,750,000
Freedom Mortgage Corporation dba Jefferson Home Mortgage and LoanFreedom Mortgageconsumer protection violation2010PA-BKG$10,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.insider trading2006SEC$3,755,839
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2004SEC$125,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2008FINRA$50,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2006FINRA$4,000,000
Fulton Financial CorporationFulton Financialinvestor protection violation2020SEC$1,500,000
Gabelli Funds LLCGamco Investors Inc.investor protection violation2008SEC$16,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.