Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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
REPUBLIC BANK & TRUST COMPANY Republic Bancorp banking violation 2009 FDIC $22,000
Republic Bank & Trust Company Republic Bancorp banking violation 2018 FDIC $300,000
REPUBLIC BANK & TRUST COMPANY Republic Bancorp banking violation 2011 FDIC $900,000
Republic Mortgage Insurance Corporation Old Republic International consumer protection violation 2013 CFPB $100,000
Republic New York Securities HSBC fraud 2001 USAO $569,000,000
Republic New York Securities Corporation HSBC investor protection violation 2001 CFTC $5,000,000
Resource Life Insurance Co. CNO Financial consumer protection violation 2010 TX-AG $2,600,000
RESOURCE LIFE INSURANCE CO. CNO Financial insurance violation 2006 VA-INS $18,000
Riggs Bank PNC Financial Services anti-money-laundering deficiencies 2005 USAO $16,000,000
Riggs Bank National Association PNC Financial Services anti-money-laundering deficiencies 2004 OCC $25,000,000
RiverSource Life Insurance Co. Ameriprise Financial insurance violation 2015 CA-INS $800,000
RiverSource Life Insurance Co. Ameriprise Financial insurance violation 2018 DE-INS $75,000
RiverSource Life Insurance Co. Ameriprise Financial insurance violation 2011 FL-OFR $10,500
RiverSource Life Insurance Company Ameriprise Financial insurance violation 2016 MULTI-FIN $1,500,000
Robertson Stephens Inc. Bank of America investor protection violation 2003 SEC $33,000,000
Robertson Stephens, Inc. Bank of America investor protection violation 2004 FINRA $275,000
Robertson Stephens, Inc. Bank of America investor protection violation 2003 FINRA (*) $14,000,000
Royal Bank of Canada Royal Bank of Canada investor protection violation 2014 CFTC $35,000,000
Royal Bank of Canada Royal Bank of Canada investor protection violation 2009 DE-AG $22,156
Royal Bank of Canada Royal Bank of Canada price-fixing or anti-competitive practices 2013 WV-AG $175,000
Royal Bank of Canada (USA) Royal Bank of Canada environmental violation 2010 GA-ENV $9,375
Royal Bank of Scotland NatWest Group PLC toxic securities abuses 2017 CA-AG $125,000,000
Royal Bank of Scotland NatWest Group PLC toxic securities abuses 2018 IL-AG $20,000,000
Royal Bank of Scotland NatWest Group PLC toxic securities abuses 2018 NY-AG $500,000,000
Royal Bank of Scotland NatWest Group PLC economic sanction violation 2013 NY-DFS $50,000,000
Royal Bank of Scotland Group plc NatWest Group PLC investor protection violation 2014 SEC $120,000
Royal Bank of Scotland Group plc NatWest Group PLC toxic securities abuses 2018 DOJ_CIVIL $4,900,000,000
ROYAL BANK OF SCOTLAND PLC NatWest Group PLC banking violation 2015 FED $274,000,000
Royal Bank of Scotland plc NatWest Group PLC foreign exchange market manipulation 2015 DOJ_CRIMINAL $395,000,000
Royal Bank of Scotland plc NatWest Group PLC toxic securities abuses 2015 NCUA $129,600,000
Royal Bank of Scotland plc NatWest Group PLC interest rate benchmark manipulation 2014 CFTC $290,000,000
Royal Bank of Scotland plc NatWest Group PLC interest rate benchmark manipulation 2013 CFTC $325,000,000
Royal Bank of Scotland PLC NatWest Group PLC economic sanction violation 2013 OFAC $33,000,000
Royal Bank of Scotland plc NatWest Group PLC interest rate benchmark manipulation 2017 CFTC $85,000,000
Royal Bank of Scotland PLC NatWest Group PLC toxic securities abuses 2017 FHFA $5,500,000,000
Ruesch International, Inc. Western Union economic sanction violation 2004 OFAC $7,811
S&T BANK S&T Bancorp banking violation 2010 FDIC $32,640
SAC Capital SAC Capital insider trading 2013 USAO $1,800,000,000
Safeco Liberty Mutual Insurance insurance violation 2009 CT-INS $434,000
SAFECO INSURANCE CO. ET AL. Liberty Mutual Insurance insurance violation 2002 VA-INS $28,200
Safeco Insurance Co. of America Liberty Mutual Insurance insurance violation 2005 IN-INS $5,000
Safeco Insurance Company Liberty Mutual Insurance insurance violation 2013 CA-INS $900,000
Safeco Insurance Company Liberty Mutual Insurance insurance violation 2013 SC-INS $8,000
Safeco Insurance Company of America Liberty Mutual Insurance wage and hour violation 2009 WHD $37,951
Safeco Insurance Company of America Liberty Mutual Insurance wage and hour violation 2009 WHD $28,560
Safeco Insurance Company of America Liberty Mutual Insurance wage and hour violation 2009 WHD $85,353
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2012 AZ-INS $30,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2015 CO-INS $140,500
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2010 IN-INS $5,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2012 KS-INS $5,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2015 KS-INS $81,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2005 PA-INS $5,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2008 PA-INS $40,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2021 MN-FIN $10,000
Safeco Insurance Company of America et al. Liberty Mutual Insurance insurance violation 2005 FL-OFR $35,350
SAFECO Insurance Company of America et al. Liberty Mutual Insurance insurance violation 2014 MD-INS $5,000
Safeco Insurance Company of America et al. Liberty Mutual Insurance insurance violation 2011 MN-FIN $25,000
Safeco Insurance Company of America et al. Liberty Mutual Insurance insurance violation 2007 MO-INS $68,524
SAFECO Insurance Company of America, Inc. et al. Liberty Mutual Insurance insurance violation 2013 MD-INS $195,000
Safeco Insurance Company of Illinois Liberty Mutual Insurance insurance violation 2011 AZ-INS $15,000
Safeco Insurance Company of Illinois Liberty Mutual Insurance insurance violation 2004 MN-FIN $5,000
Safeco Insurance Company of Illinois Liberty Mutual Insurance insurance violation 2016 MN-FIN $50,000
Safeco Insurance Company of Illinois Liberty Mutual Insurance insurance violation 2010 MT-INS $25,000
Safeco Insurance Company of Illinois Liberty Mutual Insurance insurance violation 2015 MT-INS $95,000
Safeco Insurance Company of Indiana Liberty Mutual Insurance insurance violation 2010 PA-INS $50,000
Safeco Insurance Company of Oregon Liberty Mutual Insurance insurance violation 2021 OR-FIN $5,000
Safeco Lloyds Insurance Co. Liberty Mutual Insurance insurance violation 2010 TX-INS $5,000
Safeco Surplus Lines Insurance Co. Liberty Mutual Insurance insurance violation 2017 MN-FIN $10,000
Safety First Insurance Co. Tokio Marine insurance violation 2013 MO-INS $12,250
Safety National Casualty Co. Tokio Marine insurance violation 2013 MO-INS $61,250
Safety National Casualty Corp. Tokio Marine insurance violation 2017 MD-INS $5,000
Safety National Casualty Corp. Tokio Marine insurance violation 2004 MS-INS $5,000
Safety National Casualty Corp. Tokio Marine insurance violation 2008 MS-INS $10,000
Safety National Casualty Corporation Tokio Marine insurance violation 2014 TX-INS $32,109
Safety National Casualty Corporation Tokio Marine insurance violation 2015 TX-INS $5,000
Safety National Casualty Corporation Tokio Marine insurance violation 2018 TX-INS $23,500
Safety National Casualty Corporation Tokio Marine insurance violation 2019 TX-INS $5,000
Sagamore Insurance Co. Protective Insurance Corp. insurance violation 2001 KS-INS $20,000
Sallie Mae Navient consumer protection violation 2007 NY-AG $2,000,000
Sallie Mae Bank SLM Corp. banking violation 2014 FDIC $93,300,000
Sallie Mae Inc. Navient consumer protection violation 2014 DOJ_RIGHTS $60,000,000
Salomon Smith Barney Morgan Stanley employment discrimination 2001 EEOC $635,000
Salomon Smith Barney Morgan Stanley investor protection violation 2002 FINRA $5,000,000
Salomon Smith Barney Inc. Morgan Stanley data submission deficiencies 2002 SEC $1,650,000
Salomon Smith Barney Inc. Morgan Stanley investor protection violation 2000 SEC $45,000,000
Salomon Smith Barney Inc. Morgan Stanley investor protection violation 2002 MULTI-AG (*) $400,000,000
Salomon Smith Barney Inc. Morgan Stanley investor protection violation 2002 FINRA (*) $1,650,000
Sanford C. Bernstein & Co. Equitable Holdings investor protection violation 2006 FINRA $350,000
Santander Bank & Trust (Bahamas) Ltd Banco Santander economic sanction violation 2004 OFAC $20,000
Santander Bank, N.A. Banco Santander consumer protection violation 2016 CFPB $10,000,000
Santander Bank, N.A. Banco Santander consumer protection violation 2015 NY-AG $500,000
Santander Bank, National Association Banco Santander banking violation 2016 OCC $3,400,000
Santander Bank, National Association Banco Santander banking violation 2015 OCC $6,000,000
Santander Consumer USA Holdings Inc. Banco Santander investor protection violation 2018 SEC $1,500,000
Santander Consumer USA Holdings Inc. Banco Santander consumer protection violation 2017 MA-AG $22,000,000
Santander Consumer USA Holdings, Inc. Banco Santander consumer protection violation 2017 DE-AG $3,875,000
Santander Consumer USA Inc. Banco Santander Servicemembers Civil Relief Act 2015 DOJ_RIGHTS $9,350,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2018 CFPB $11,790,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 MULTI-AG $550,000,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2018 CT-BKG $100,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2015 NH-BKG $75,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)