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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
Goldman SachsGoldman Sachsconsumer protection violation2012private lawsuit-federal$26,612,500
Goldman SachsGoldman Sachsemployment discrimination2023private lawsuit-federal$215,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2016SEC$15,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2015SEC$7,000,000
Goldman Sachs & Co.Goldman Sachsillicit political contributions2012SEC$12,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2012SEC$22,000,000
Goldman Sachs & Co.Goldman Sachstoxic securities abuses2010SEC$550,000,000
Goldman Sachs & Co.Goldman Sachstoxic securities abuses2014FHFA$3,150,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2006SEC$1,500,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2004SEC$2,000,000
Goldman Sachs & Co.Goldman Sachsmortgage abuses2009MA-AG$60,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2023CFTC$5,500,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2019CFTC$1,000,000
Goldman Sachs & Co. LLCGoldman Sachstoxic securities abuses2021NM-AG$4,642,857
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2022SEC$125,000,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2023CFTC$30,000,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2023CFTC$3,000,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2023SEC$6,000,000
Goldman Sachs Asset Management, L.P.Goldman Sachsinvestor protection violation2022SEC$4,000,000
Goldman Sachs Bank USAGoldman Sachsbanking violation2018FED$90,000
Goldman Sachs Execution & Clearing L.P.Goldman Sachsprice-fixing or anti-competitive practices2006private lawsuit-federal$2,468,410
Goldman Sachs Execution & Clearing LPGoldman Sachsinvestor protection violation2012CFTC$7,000,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsinvestor protection violation2010SEC$225,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsinvestor protection violation2015FINRA$1,800,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsinvestor protection violation2014FINRA$800,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLCGoldman Sachsinvestor protection violation2009SEC$7,200,000
Goldman Sachs Execution and Clearing L.P.Goldman Sachsinvestor protection violation2007SEC$2,000,000
Goldman Sachs GroupGoldman Sachsbanking violation2016FED$36,300,000
Goldman Sachs GroupGoldman Sachsinvestor protection violation2020NY-DFS$150,000,000
Goldman Sachs Group Inc.Goldman Sachsprice-fixing or anti-competitive practices2018NY-DFS$54,750,000
Goldman Sachs Group Inc.Goldman SachsForeign Corrupt Practices Act2020DOJ_CRIMINAL$2,921,088,000
Goldman Sachs Group Inc.Goldman SachsForeign Corrupt Practices Act2020SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,006,000,000
Goldman Sachs Group Inc.Goldman Sachsprice-fixing or anti-competitive practices2018private lawsuit-federal$135,000,000
Goldman Sachs Group Inc.Goldman Sachsprice-fixing or anti-competitive practices2018private lawsuit-federal$56,500,000
Goldman Sachs Group Inc.Goldman Sachsconsumer protection violation2016private lawsuit-federal$27,500,000
Goldman Sachs Group, Inc.Goldman Sachsinvestor protection violation2018FED$54,750,000
Goldman Sachs Group, Inc.Goldman Sachsinvestor protection violation2008MULTI-AG$3,355,833,333
Goldman Sachs Group, Inc.Goldman Sachsbanking violation2020FED$154,000,000
Goldman Sachs GroupInc.Goldman Sachsprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2015SEC$500,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2005SEC$40,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2003SEC$110,000,000
Goldman, Sachs & Co.Goldman Sachsdata submission deficiencies2002SEC$1,650,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2000SEC$5,200,000
Goldman, Sachs & Co.Goldman Sachstoxic securities abuses2016VA-AG$2,900,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2011NJ-AG$959,794
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2014FINRA$5,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2014FINRA$1,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2012FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $11,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2010FINRA$650,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2005FINRA$140,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2005FINRA$125,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2004FINRA$5,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Goldman, Sachs & Co.Goldman Sachsconsumer protection violation2015private lawsuit-federal$10,571,428
GOODRICH AVIATION TECH SRV INCMacquarieenvironmental violation2004WA-ENV$9,000
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2007FAA$7,000
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2005FAA$5,000
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2005FAA$90,000
Goodrich Aviation Technical Services, Inc.Macquariewage and hour violation2005WHD$47,369
Grandbridge Real Estate Capital, LLCTruist Financiallabor relations violation2015NLRB$70,000
Granite State Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
GRANITE STATE INSURANCE CO.American International Groupinsurance violation2012VA-INS$19,560
GRANITE STATE INSURANCE CO.American International Groupinsurance violation2018VA-INS$152,318
Granite State Insurance CompanyAmerican International Groupinsurance violation2015NY-DFS$150,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2007OR-FIN$5,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$10,200
Granite State Insurance CompanyAmerican International Groupinsurance violation2018TX-INS$22,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$35,000
Great American Alliance Insurance Co.American Financial Groupinsurance violation2014MO-INS$33,000
GREAT AMERICAN ALLIANCE INSURANCE COMPANYAmerican Financial Groupinsurance violation2001FL-OFR$5,500
Great American Alliance Insurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$16,000
Great American Alliance Insurance CompanyAmerican Financial Groupinsurance violation2014TX-INS$7,500
Great American Alliance Insurance CompanyAmerican Financial Groupinsurance violation2021TX-INS$7,000
Great American Assurance Co. et al.American Financial Groupinsurance violation2011TX-INS$195,000
GREAT AMERICAN ASSURANCE COMPANYAmerican Financial Groupinsurance violation2001FL-OFR$12,500
Great American Assurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$25,000
Great American Assurance CompanyAmerican Financial Groupinsurance violation2021MN-FIN$25,000
Great American Financial Resources, Inc.American Financial Groupwage and hour violation2019private lawsuit-federal$1,250,000
Great American Insurance Co.American Financial Groupinsurance violation2009MA-AG$176,000
Great American Insurance Co.American Financial Groupinsurance violation2017KS-INS$13,000
Great American Insurance Co.American Financial Groupinsurance violation2004WI-INS$5,000
Great American Insurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$20,000
Great American Insurance CompanyAmerican Financial Groupinsurance violation2005PA-INS$150,000
GREAT AMERICAN INSURANCE COMPANY ET ALAmerican Financial Groupinsurance violation2006VA-INS$7,200
GREAT AMERICAN INSURANCE COMPANY ET ALAmerican Financial Groupinsurance violation2006VA-INS$7,200
Great American Insurance Company of New YorkAmerican Financial Groupinsurance violation2014MO-INS$23,000
Great American Insurance Company of New YorkAmerican Financial Groupinsurance violation2005OR-FIN$5,000
Great American Insurance Company of New YorkAmerican Financial Groupinsurance violation2004PA-INS$17,500
Great American LifeMassachusetts Mutual Life Insuranceinsurance violation2016MULTI-AG$400,000
Great American Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2009MN-AG$50,000,000
Great American Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2002OR-FIN$10,000
Great American Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2021CT-INS$6,000
Great American Spirit Insurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$25,000
Great Plains Specialty Finance Inc. dba Check 'N GoCNG Financialconsumer protection violation2019OK-DCC$48,600
Great Plains Specialty Finance Inc. dba Check 'N GoCNG Financialconsumer protection violation2020OK-DCC$27,500
Great Plains Specialty Finance, Inc. d/b/a Check 'n GoCNG Financialconsumer protection violation2019NE-DBF$12,850
Great Plains Specialty Finance, Inc. d/b/a Check 'n GoCNG Financialconsumer protection violation2019NE-DBF$13,500
Great Plains Specialty Finance, Inc. dba Check 'n GoCNG Financialconsumer protection violation2020NE-DBF$9,700
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2007NE-DBF$10,200
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.