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
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $5,504
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $5,211
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $5,504
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $18,271
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $10,437
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2008 MSHA $14,743
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $5,080
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2008 MSHA $13,268
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $9,634
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $5,080
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $13,268
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $8,209
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $15,971
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2008 MSHA $8,209
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $6,624
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2008 MSHA $6,996
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2008 MSHA $10,705
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $7,176
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $15,900
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $5,080
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $5,000
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $9,634
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2008 MSHA $6,458
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $15,971
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $9,634
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $10,437
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2014 MSHA $6,458
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $6,996
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2012 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $9,634
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2012 MSHA $5,503
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $6,458
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $6,996
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2011 MSHA $13,600
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $14,373
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $21,807
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $14,373
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $5,596
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2014 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2014 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2014 MSHA $6,996
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $6,996
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2014 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $18,583
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $37,416
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $7,578
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $5,503
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $8,209
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $21,807
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $23,229
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $6,996
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2015 MSHA $6,458
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2016 MSHA $14,401
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2016 MSHA $9,287
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2016 MSHA $9,287
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2016 MSHA $9,287
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2016 MSHA $14,401
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2015 MSHA $7,578
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2016 MSHA $10,457
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2016 MSHA $6,225
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2015 MSHA $5,000
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2016 MSHA $7,305
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2016 MSHA $46,250
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2016 MSHA $13,426
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2015 MSHA $70,000
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2015 MSHA $8,421
Sherwin Alumina, L.P. Glencore environmental violation 2008 TX-ENV $23,200
Sherwin Alumina, L.P. Glencore environmental violation 2007 TX-ENV $20,488
Sherwin Alumina, L.P. Glencore environmental violation 2003 TX-ENV $6,300
Simmons First National Bank Simmons First National Corp. employment discrimination 2010 OFCCP $360,187
Smith Barney Morgan Stanley employment discrimination 2008 private lawsuit-federal $33,000,000
Smith Barney Morgan Stanley investor protection violation 2007 NJ-AG $5,000,000
Smith Barney Morgan Stanley investor protection violation 2007 NJ-AG $978,000
Smith Barney Morgan Stanley investor protection violation 2007 NJ-BOS $5,000,000
Smith Barney Fund Management LLC Franklin Resources investor protection violation 2007 SEC $450,000
Societe Generale Societe Generale toxic securities abuses 2014 FHFA $122,000,000
Societe Generale Societe Generale economic sanction violation 2003 OFAC $6,600
Societe Generale Societe Generale economic sanction violation 2003 OFAC $11,000
Societe Generale Societe Generale data submission deficiencies 2016 CFTC $450,000
Societe Generale Societe Generale price-fixing or anti-competitive practices 2016 MULTI-AG $26,750,000
Societe Generale Societe Generale economic sanction violation 2011 OFAC $111,259
Societe Generale Societe Generale economic sanction violation 2018 NY-MANDA $162,800,000
Societe Generale Financial Corporation Societe Generale banking violation 2020 CA-DFPI $10,250
Societe Generale International Limited Societe Generale investor protection violation 2019 CFTC $2,500,000
Societe Generale Private Banking (Lugano-Svizzera) Societe Generale tax violations 2015 DOJ_TAX $1,363,000
Societe Generale Private Banking (Suisse) SA Societe Generale tax violations 2015 DOJ_TAX $17,807,000
Societe Generale S.A. Societe Generale toxic securities abuses 2017 USAO $50,000,000
Societe Generale S.A. Societe Generale interest rate benchmark manipulation 2018 CFTC $475,000,000
Societe Generale S.A. Societe Generale Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $860,000
Societe Generale S.A. Societe Generale economic sanction violation 2018 FED $81,300,000
Societe Generale S.A. Societe Generale economic sanction violation 2018 USAO $717,200,000
Societe Generale S.A. Societe Generale economic sanction violation 2018 OFAC $53,966,916
Societe Generale SA Societe Generale economic sanction violation 2018 NY-DFS $420,000,000
Solium Financial Services Morgan Stanley investor protection violation 2021 DC-DISB $9,879
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 AK-DBS $10,527
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 AL-SEC $18,874
Solium Financial Services LLC Morgan Stanley investor protection violation 2019 AR-SEC $5,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 CA-DFPI $52,047
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 CT-SEC $51,136
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)