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
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. Oppenheimer Holdings investor protection violation 2019 SEC $3,528,377
Oppenheimer & Co., Inc. Oppenheimer Holdings anti-money-laundering deficiencies 2015 FINCEN $20,000,000
Oppenheimer & Co., Inc. Oppenheimer Holdings investor protection violation 2015 DE-SEC $685,000
Oppenheimer & Co., Inc. Oppenheimer Holdings investor protection violation 2005 MO-SEC $122,050
Oppenheimer & Co., Inc. Oppenheimer Holdings investor protection violation 2013 FINRA $921,000
Oppenheimer & Company, Inc. Oppenheimer Holdings anti-money-laundering deficiencies 2005 FINCEN $2,800,000
Oppenheimer and Co., Inc. Oppenheimer Holdings anti-money-laundering deficiencies 2013 FINRA $1,425,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC Oppenheimer Holdings investor protection violation 2013 SEC $2,886,677
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC Oppenheimer Holdings investor protection violation 2013 MA-AG (*) $2,800,000
OppenheimerFunds Invesco investor protection violation 2010 NM-AG $67,300,000
OppenheimerFunds Distributor, Inc. Invesco investor protection violation 2007 CO-SEC $494,500
OppenheimerFunds Distributor, Inc. Invesco investor protection violation 2007 WA-FIN $669,500
OppenheimerFunds Inc. Invesco investor protection violation 2012 SEC $35,000,000
OppenheimerFunds Inc. Invesco investor protection violation 2009 OR-AG $20,000,000
OppenheimerFunds, Inc. Invesco investor protection violation 2009 IL-AG $77,230,000
Option One Mortgage Corporation Ocwen Financial toxic securities abuses 2012 SEC $28,200,000
Oscar Garden State Insurance Corporation Mulberry Health insurance violation 2018 NJ-DBI $500,000
Oscar Health Plan of California Mulberry Health insurance violation 2018 CA-MHC $10,000
Oscar Health Plan of California Mulberry Health insurance violation 2019 CA-MHC $5,000
Oscar Health Plan of California Mulberry Health insurance violation 2019 CA-MHC $5,000
Oscar Health Plan of California Mulberry Health insurance violation 2020 CA-MHC $15,000
Oscar Health Plan of California Mulberry Health insurance violation 2020 CA-MHC $15,000
Oscar Health Plan of California Mulberry Health insurance violation 2021 CA-MHC $75,000
Oscar Health Plan of California Mulberry Health insurance violation 2020 CA-MHC $5,000
Oscar Health Plan of California Mulberry Health insurance violation 2021 CA-MHC $10,000
Oscar Health Plan of California Mulberry Health insurance violation 2021 CA-MHC $30,000
Oscar Health Plan of California Mulberry Health insurance violation 2021 CA-MHC $15,000
Oscar Insurance Company Mulberry Health insurance violation 2018 TX-INS $75,000
Oscar Insurance Corp. Mulberry Health insurance violation 2018 NY-DFS $576,950
OZ Management LP Sculptor Capital Management data submission deficiencies 2015 SEC $4,250,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz investor protection violation 2004 SEC $11,600,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz investor protection violation 2004 SEC $50,000,000
Pacific Indemnity Co. Chubb Limited insurance violation 2016 MO-INS $15,000
Pacific Indemnity Co. Chubb Limited insurance violation 2020 CT-INS $16,000
Pacific Indemnity Company Chubb Limited insurance violation 2013 TX-INS $17,500
Pacific Life Pacific Life insurance violation 2015 MULTI-AG $2,450,000
Pacific Life & Annuity Co. Pacific Life insurance violation 2006 FL-OFR $38,000
Pacific Life & Annuity Company Pacific Life insurance violation 2020 NY-DFS $425,533
PACIFIC LIFE & ANNUITY COMPANY Pacific Life insurance violation 2001 VA-INS $9,000
Pacific Life Insurance Co. Pacific Life insurance violation 2012 FL-OFR $10,500
Pacific Life Insurance Co. Pacific Life insurance violation 2017 MD-INS $9,000
Pacific Resources Benefits Advisors, LLC Brown & Brown tax violations 2014 CT-AG $5,400
PaineWebber Incorporated UBS investor protection violation 2000 SEC $26,200,000
Park National Corporation Park National Corp. accounting fraud or deficiencies 2016 SEC $500,000
Paymap Inc. Western Union consumer protection violation 2015 CFPB $38,400,000
PayPal PayPal Holdings consumer protection violation 2002 NY-AG $200,000
PayPal PayPal Holdings consumer protection violation 2004 NY-AG $150,000
PayPal Inc. PayPal Holdings consumer protection violation 2015 CFPB $25,000,000
PayPal Inc. PayPal Holdings economic sanction violation 2015 OFAC $7,658,300
PayPal Inc. PayPal Holdings privacy violation 2016 TX-AG $175,000
PayPal, Inc. PayPal Holdings consumer protection violation 2006 MULTI-AG $1,700,000
PayPal, Inc. PayPal Holdings consumer protection violation 2015 FL-OFR $14,500
PayPal, Inc. dba Venmo PayPal Holdings consumer protection violation 2020 MN-FIN $20,000
Peerless Indemnity Insurance Co. et al. Liberty Mutual Insurance insurance violation 2013 MD-INS $5,000
PEERLESS INDEMNITY INSURANCE CO. ET AL. Liberty Mutual Insurance insurance violation 2011 VA-INS $40,057
Peerless Insurance Co. Liberty Mutual Insurance consumer protection violation 2010 MA-AG $20,000
Peerless Insurance Company Liberty Mutual Insurance insurance violation 2014 RI-FIN $8,000
Peerless Insurance Company Liberty Mutual Insurance insurance violation 2014 TX-INS $15,500
PEERLESS INSURANCE COMPANY Liberty Mutual Insurance insurance violation 2003 VA-INS $28,100
PEERLESS INSURANCE COMPANY Liberty Mutual Insurance insurance violation 2012 VA-INS $8,000
Penn Mutual Life Insurance Co. Penn Mutual insurance violation 2018 DE-INS $17,000
Penn Mutual Life Insurance Co. Penn Mutual insurance violation 2015 MD-INS $10,400
Penn Mutual Life Insurance Co. Penn Mutual insurance violation 2017 MD-INS $25,600
PennyMac Loan Services, LLC PennyMac Financial Services consumer protection violation 2015 KY-FIN $20,000
Permanent General Assurance Corp. American Family Insurance insurance violation 2011 AZ-INS $70,000
Permanent General Assurance Corp. American Family Insurance insurance violation 2009 CO-INS $31,900
Permanent General Assurance Corp. American Family Insurance insurance violation 2019 CO-INS $56,494
Permanent General Assurance Corp. American Family Insurance insurance violation 2020 MO-INS $15,000
Permanent General Assurance Corporation American Family Insurance insurance violation 2014 NY-DFS $75,000
Permanent General Assurance Corporation American Family Insurance insurance violation 2018 TX-INS $70,000
Permanent General Assurance Corporation American Family Insurance insurance violation 2019 VT-FIN $11,000
Permanent General Assurance Corporation American Family Insurance insurance violation 2016 WA-INS $5,000
Permanent General Assurance Corporation of Ohio American Family Insurance insurance violation 2019 CO-INS $50,974
Peter Cremer Company Cremer railroad safety violation 2011 FRA $5,000
Peter Cremer Company Cremer railroad safety violation 2013 FRA $8,000
Peter Cremer North America Cremer environmental violation 2013 EPA $98,000
PHH Corp. Ocwen Financial False Claims Act and related 2017 DOJ_CIVIL $74,453,802
PHH Mortgage Corp. Ocwen Financial mortgage abuses 2018 MULTI-AG $45,000,000
PHH Mortgage Corp. Ocwen Financial consumer protection violation 2018 GA-AG $75,000
PHH Mortgage Corp. Ocwen Financial mortgage abuses 2012 IL-BKG $150,000
PHH Mortgage Corp. Ocwen Financial consumer protection violation 2010 KY-FIN $8,000
PHH Mortgage Corp. Ocwen Financial consumer protection violation 2011 KY-FIN $5,000
PHH Mortgage Corp. Ocwen Financial zoning violation 2017 NY-DFS $119,000
PHH Mortgage Corp. dba Century Mortgage Ocwen Financial consumer protection violation 2009 CT-BKG $6,000
PHH Mortgage Corp. dba Century Mortgage Ocwen Financial consumer protection violation 2013 CT-BKG $29,000
PHH Mortgage Corporation Ocwen Financial Servicemembers Civil Relief Act 2019 DOJ_RIGHTS $750,000
PHH Mortgage Corporation Ocwen Financial mortgage abuses 2013 NJ-AG $6,250,000
PHH Mortgage Corporation Ocwen Financial consumer protection violation 2011 NJ-DBI $9,000
PHH Mortgage Corporation Ocwen Financial mortgage abuses 2016 NY-DFS $28,000,000
PHH Mortgage Corporation Ocwen Financial consumer protection violation 2020 CA-DFPI $62,000
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2005 CA-INS $175,000
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2008 CA-INS $60,000
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2014 MD-INS $7,500
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2015 MN-FIN $5,000
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2015 MN-FIN $5,000
Philadelphia Indemnity Insurance Company Tokio Marine False Claims Act and related 2018 USAO $30,508
Philadelphia Indemnity Insurance Company Tokio Marine insurance violation 2000 MA-INS $7,040
Phoenix Insurance Co. Travelers insurance violation 2016 MO-INS $21,000
Phoenix Insurance Co. and Travelers Property Casualty Company of America Travelers insurance violation 2013 MD-INS $50,000
Phoenix Insurance Company Travelers insurance violation 2014 TX-INS $5,750
Pioneer Credit Recovery, Inc. Navient tax violations 2013 CT-AG $12,255
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)