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
Northern Trust Northern Trust benefit plan administrator violation 2006 private lawsuit-federal $37,500,000
Northern Trust Company Northern Trust investor protection violation 2019 CFTC $1,000,000
Northern Trust Hedge Fund Services LLC Northern Trust investor protection violation 2020 SEC $167,629
Northern Trust Investments, N.A. Northern Trust benefit plan administrator violation 2015 private lawsuit-federal $36,000,000
Northern Trust Securities Northern Trust investor protection violation 2011 FINRA $600,000
Northern Trust, IBC Northern Trust economic sanction violation 2003 OFAC $18,027
Northern Trust, National Association Northern Trust banking violation 2008 OCC $125,000
Northwestern Mutual Investment Services Northwestern Mutual insurance violation 2006 PA-INS $10,000
Northwestern Mutual Investment Services, LLC Northwestern Mutual investor protection violation 2009 FINRA $200,000
Northwestern Mutual Investment Services, LLC Northwestern Mutual investor protection violation 2007 FINRA $100,000
Northwestern Mutual Life Insurance Co. Northwestern Mutual insurance violation 2019 NY-DFS $57,937
Northwestern Mutual Life Insurance Co. Northwestern Mutual insurance violation 2020 WA-INS $50,000
Northwestern Mutual Life Insurance Co. Northwestern Mutual insurance violation 2021 VT-FIN $287,000
Norwest Investment Services, Inc. Wells Fargo investor protection violation 2002 SEC $153,245
Nuveen Investments, LLC TIAA investor protection violation 2011 FINRA $3,000,000
Nuveen Services LLC TIAA wage and hour violation 2018 IL-DOL $27,983
NYLIFE Securities LLC New York Life Insurance investor protection violation 2019 ME-SEC $50,000
NYLIFE Securities LLC New York Life Insurance investor protection violation 2017 NH-BSR $7,500
NYLIFE Securities LLC New York Life Insurance investor protection violation 2007 FINRA $354,000
NYLife Securities, Inc. New York Life Insurance investor protection violation 2004 FINRA $350,000
NYLIFE Securities, LLC New York Life Insurance investor protection violation 2017 IN-SEC $275,000
Och-Ziff Capital Management Group Sculptor Capital Management Foreign Corrupt Practices Act 2016 SEC $199,045,167
Och-Ziff Capital Management Group LLC Sculptor Capital Management Foreign Corrupt Practices Act 2016 DOJ_CRIMINAL $213,000,000
Ocwen Financial Ocwen Financial employment discrimination 2005 private lawsuit-state $2,000,000
Ocwen Financial Corp. Ocwen Financial accounting fraud or deficiencies 2016 SEC $2,000,000
Ocwen Financial Corp. Ocwen Financial mortgage abuses 2014 MA-AG $3,700,000
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2018 EBSA $10,001
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2019 EBSA $10,001
Ocwen Financial Corporation Ocwen Financial consumer protection violation 2019 ME-AG $84,000
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2020 EBSA $50,001
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2020 EBSA $50,001
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2020 EBSA $50,001
Ocwen Financial Corporation Ocwen Financial mortgage abuses 2020 FL-AG $11,600,000
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2021 EBSA $50,000
Ocwen Financial Corporation and Ocwen Loan Servicing Ocwen Financial consumer protection violation 2013 CFPB $2,125,000,000
Ocwen Financial Services Ocwen Financial mortgage abuses 2013 MULTI-AG (*) $127,300,000
Ocwen Loan Servicing LLC Ocwen Financial mortgage abuses 2019 MA-AG $2,000,000
Ocwen Loan Servicing LLC Ocwen Financial consumer protection violation 2009 OH-BKG $10,000
Ocwen Loan Servicing LLC Ocwen Financial privacy violation 2015 VT-FIN $155,000
Ocwen Loan Servicing, LLC Ocwen Financial consumer protection violation 2015 CA-DFPI $2,500,000
Ocwen Loan Servicing, LLC Ocwen Financial mortgage abuses 2017 CA-DFPI $225,000,000
Ocwen Loan Servicing, LLC Ocwen Financial consumer protection violation 2016 WA-FIN $900,000
Old National Bank Old National Bancorp banking violation 2014 OCC $500,000
Old National Bank Old National Bancorp banking violation 2008 OCC $56,000
Old National Bank Old National Bancorp banking violation 2004 OCC $12,500
Old National Bank Old National Bancorp banking violation 2004 OCC $7,500
Old Republic Insurance Old Republic International insurance violation 2021 TX-INS $6,750
Old Republic Insurance Co Old Republic International insurance violation 2016 TX-INS $28,921
Old Republic Insurance Co. Old Republic International insurance violation 2006 CO-INS $6,000
Old Republic Insurance Co. Old Republic International insurance violation 2009 KS-INS $5,000
Old Republic Insurance Co. Old Republic International insurance violation 2012 MO-INS $134,750
Old Republic Insurance Co. Old Republic International insurance violation 2020 TX-INS $18,150
Old Republic Insurance Co. Old Republic International insurance violation 2020 TX-INS $7,000
Old Republic Insurance Company Old Republic International insurance violation 2017 SD-INS $5,000
Old Republic Insurance Company Old Republic International insurance violation 2008 TX-INS $18,000
Old Republic Insurance Company Old Republic International insurance violation 2009 TX-INS $7,500
Old Republic Insurance Company Old Republic International insurance violation 2010 TX-INS $41,000
Old Republic Insurance Company Old Republic International insurance violation 2010 TX-INS $12,500
Old Republic Insurance Company Old Republic International insurance violation 2012 TX-INS $5,000
Old Republic Insurance Company Old Republic International insurance violation 2014 TX-INS $15,905
Old Republic Insurance Company Old Republic International insurance violation 2014 TX-INS $12,500
Old Republic Insurance Company Old Republic International insurance violation 2015 TX-INS $5,000
Old Republic Insurance Company Old Republic International insurance violation 2017 TX-INS $11,000
Old Republic Insurance Company Old Republic International insurance violation 2019 TX-INS $5,850
Old Republic Insurance Company Old Republic International insurance violation 2017 MULTI-FIN $298,958
OLD REPUBLIC NATIONAL TITLE INSURANCE CO Old Republic International insurance violation 2015 VA-INS $5,000
Old Republic National Title Insurance Co. Old Republic International insurance violation 2008 ID-INS $10,000
Old Republic National Title Insurance Co. Old Republic International insurance violation 2011 MD-INS $7,500
Old Republic National Title Insurance Co. Old Republic International insurance violation 2009 MO-INS $77,375
Old Republic National Title Insurance Co. Old Republic International insurance violation 2011 MO-INS $74,000
Old Republic National Title Insurance Co. Old Republic International insurance violation 2019 MO-INS $60,050
Old Republic National Title Insurance Co. Old Republic International insurance violation 2020 CT-INS $20,000
Old Republic National Title Insurance Company Old Republic International insurance violation 2016 TX-INS $7,500
Old Republic National Title Insurance Company Old Republic International wage and hour violation 2021 NY-AG $1,000,000
Old Republic Title Old Republic International wage and hour violation 2014 private lawsuit-federal $12,000,000
Old Republic Title Co. Old Republic International consumer protection violation 2002 CA-MULTI $5,096,963
Old Republic Title Co. and Old Republic National Title Insurance Co. Old Republic International insurance violation 2010 CA-INS $399,000
Old Republic Title Ltd Old Republic International insurance violation 2011 WA-INS $5,000
Old Republic Title Ltd Old Republic International insurance violation 2012 WA-INS $8,000
Old Second Bancorp, Inc. Old Second Bancorp benefit plan administrator violation 2013 private lawsuit-federal $7,500,000
Omega Advisors Omega Advisors Foreign Corrupt Practices Act 2007 USAO $500,000
Omega Advisors, Inc. Omega Advisors investor protection violation 2015 SEC $134,026
OneMain Financial Group, LLC OneMain Holdings consumer protection violation 2019 CA-DFPI $150,000
Oppenheimer & Co. Oppenheimer Holdings investor protection violation 2014 SEC $61,200
Oppenheimer & Co. Oppenheimer Holdings wage and hour violation 2011 private lawsuit-federal $2,375,901
Oppenheimer & Co. Oppenheimer Holdings investor protection violation 2015 NM-SEC $215,000
Oppenheimer & Co. Oppenheimer Holdings investor protection violation 2008 FINRA $4,500,000
Oppenheimer & Co. Inc Oppenheimer Holdings investor protection violation 2009 SEC $850,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2015 SEC $400,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2010 MULTI-AG $31,000,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2016 MI-SEC $900,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2012 NH-BSR $155,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2016 SC-SEC $175,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2019 FINRA $4,600,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2016 FINRA $3,425,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2016 FINRA $2,966,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2015 FINRA $3,750,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2007 FINRA $1,000,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2006 FINRA $800,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2006 FINRA $250,000
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. Oppenheimer Holdings investor protection violation 2019 SEC $3,528,377
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)