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
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 CT-SEC $51,136
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 GA-SEC $22,104
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 IN-SEC $15,575
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 MO-SEC $9,130
Solium Financial Services LLC Morgan Stanley consumer protection violation 2019 NE-DBF $14,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 NH-BSR $90,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 OK-SEC $9,968
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 OR-FIN $10,599
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 TN-SEC $12,994
Solium Financial Services LLC Morgan Stanley investor protection violation 2019 VA-SEC $10,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 VT-FIN $6,900
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 WA-FIN $33,753
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 FL-OFR $79,045
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 PA-BKG $52,372
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 SD-SEC $5,750
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 TX-SEC $46,073
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 CO-SEC $69,338
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 IL-SEC $11,385
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 KY-FIN $5,465
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 MS-SEC $6,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 MT-SEC $14,700
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 NM-SEC $6,500
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 RI-FIN $6,500
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 SC-SEC $28,007
Solium Financial Services, LLC Morgan Stanley investor protection violation 2020 IA-INS $10,147
Solium Financial Services, LLC Morgan Stanley investor protection violation 2020 ME-SEC $5,000
Sorrento Pacific Financial, LLC Atria Wealth Solutions investor protection violation 2019 SEC $49,162
Southwest Securities Inc. Hilltop Holdings investor protection violation 2000 FINRA $500,000
Southwest Securities, Inc. Hilltop Holdings investor protection violation 2005 SEC $10,000,000
Southwest Securities, Inc. Hilltop Holdings investor protection violation 2010 SEC $470,147
Southwest Securities, Inc. Hilltop Holdings investor protection violation 2012 IL-SEC $7,500
Southwest Securities, Inc. Hilltop Holdings investor protection violation 2011 FINRA $650,000
Southwest Securities, Inc. Hilltop Holdings investor protection violation 2011 FINRA $500,000
Southwest Securities, Inc. Hilltop Holdings investor protection violation 2004 FINRA $36,971
Sovereign Bank N.A. Banco Santander banking violation 2013 OCC $16,086,180
Spear, Leeds & Kellogg Goldman Sachs investor protection violation 2001 FINRA $10,000
Spear, Leeds & Kellogg Specialists LLC Goldman Sachs investor protection violation 2004 SEC $45,272,478
Spear, Leeds & Kellogg, L.P Goldman Sachs investor protection violation 2005 FINRA $1,000,000
Spear, Leeds & Kellogg, L.P. Goldman Sachs investor protection violation 2003 SEC $450,000
Spear, Leeds & Kellogg, L.P. Goldman Sachs investor protection violation 2004 FINRA $75,000
Springstone Financial, LLC LendingClub Corp. consumer protection violation 2015 CFPB $700,000
St Paul Travelers Companies Inc. Travelers benefit plan administrator violation 2007 private lawsuit-federal $4,450,000
St. Paul Fire & Marine Insurance Co. Travelers insurance violation 2007 FL-OFR $23,750
St. Paul Fire & Marine Insurance Co. Travelers insurance violation 2006 KS-INS $5,000
St. Paul Fire & Marine Insurance Co. Travelers insurance violation 2005 WI-INS $20,000
St. Paul Travelers Travelers price-fixing or anti-competitive practices 2006 MULTI-AG $77,000,000
St. Paul Travelers Companies Inc. Travelers investor protection violation 2005 NM-AG $67,500,000
Standard Chartered Bank Standard Chartered economic sanction violation 2012 DOJ_CRIMINAL $227,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2012 OFAC (*) $132,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2019 DOJ_CRIMINAL $292,210,160
Standard Chartered Bank Standard Chartered economic sanction violation 2019 OFAC (*) $657,040,033
Standard Chartered Bank Standard Chartered economic sanction violation 2019 NY-MANDA $292,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2012 NY-MANDA (*) $113,500,000
Standard Chartered Bank Standard Chartered anti-money-laundering deficiencies 2012 NY-DFS $340,000,000
Standard Chartered Bank Standard Chartered anti-money-laundering deficiencies 2014 NY-DFS $300,000,000
Standard Chartered Bank Standard Chartered foreign exchange market manipulation 2019 NY-DFS $40,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2019 NY-DFS $180,000,000
Standard Chartered Bank (Switzerland) SA, en liquidation Standard Chartered tax violations 2015 DOJ_TAX $6,337,000
STANDARD CHARTERED PLC Standard Chartered banking violation 2012 FED $100,000,000
Standard Chartered plc Standard Chartered banking violation 2019 FED $164,000,000
Standard Fire Insurance Co. Travelers insurance violation 2018 KS-INS $7,500
Standard Fire Insurance Co. Travelers insurance violation 2015 MO-INS $89,000
Standard Fire Insurance Co. Travelers insurance violation 2021 TX-INS $7,500
Standard Fire Insurance Co. et al. Travelers insurance violation 2016 MD-INS $7,500
Standard Fire Insurance Company Travelers insurance violation 2018 OR-FIN $71,200
Standard Fire Insurance Company Travelers insurance violation 2000 SC-INS $10,000
Standard Fire Insurance Company Travelers insurance violation 2010 TX-INS $8,000
Standard Fire Insurance Company Travelers insurance violation 2013 TX-INS $5,000
Standard Fire Insurance Company Travelers insurance violation 2019 TX-INS $20,000
STANDARD FIRE INSURANCE COMPANY Travelers insurance violation 2021 WA-INS $5,000
STANDARD GUARANTY INSURANCE CO Assurant insurance violation 2006 VA-INS $45,000
STANDARD GUARANTY INSURANCE COMPANY Assurant insurance violation 2001 FL-OFR $6,000
Standard Insurance Co. Meiji Yasuda Life Insurance insurance violation 2007 MO-INS $9,300
Standard Insurance Company Meiji Yasuda Life Insurance employment discrimination 2011 OFCCP $18,505
Standard Insurance Company Meiji Yasuda Life Insurance insurance violation 2016 MULTI-AG $277,000
Standard Insurance Company Meiji Yasuda Life Insurance insurance violation 2011 OR-FIN $15,000
Standard Insurance Company Meiji Yasuda Life Insurance insurance violation 2020 CT-INS $10,000
Standard Life & Accident Insurance Company American National Insurance insurance violation 2016 SD-INS $10,000
Standard Life and Accident Insurance Company American National Insurance insurance violation 2015 NE-DOI $5,000
State Farm State Farm Insurance wage and hour violation 2013 private lawsuit-federal $5,000,000
State Farm State Farm Insurance wage and hour violation 2005 private lawsuit-state $135,000,000
State Farm State Farm Insurance consumer protection violation 2008 MS-AG $74,000,000
State Farm State Farm Insurance consumer protection violation 2000 TX-AG $3,100,000
State Farm State Farm Insurance insurance violation 2017 CA-INS $13,335,701
State Farm Bank, FSB State Farm Insurance banking violation 2020 OCC $547,200
State Farm Fire & Casualty Co State Farm Insurance insurance violation 2021 WI-INS $10,000
State Farm Fire & Casualty Co. State Farm Insurance insurance violation 2012 DE-INS $150,000
State Farm Fire & Casualty Co. State Farm Insurance insurance violation 2015 MO-INS $85,750
State Farm Fire & Casualty Co. and State Farm Mutual Automobile Insurance Co. State Farm Insurance insurance violation 2018 DE-INS $24,000
State Farm Fire & Casualty Company State Farm Insurance insurance violation 2012 WA-INS $50,000
State Farm Fire & Casualty Company State Farm Insurance insurance violation 2015 WA-INS $30,000
State Farm Fire & Casualty Company State Farm Insurance insurance violation 2017 WA-INS $10,000
State Farm Fire & Casualty Company State Farm Insurance insurance violation 2019 WA-INS $20,000
State Farm Fire & Casualty Company State Farm Insurance insurance violation 2020 CT-INS $60,000
State Farm Fire & Casualty Company and State Farm Mutual Auto Insurance Co. State Farm Insurance insurance violation 2015 VT-FIN $29,750
State Farm Fire & Casualty Company and State Farm Mutual Auto Insurance Co. State Farm Insurance insurance violation 2019 VT-FIN $265,000
State Farm Fire & Casualty Insurance Co. and State Farm Mutual Automobile Insurance Co. State Farm Insurance insurance violation 2016 DE-INS $28,000
State Farm Fire and Casualty Co. State Farm Insurance insurance violation 2015 KS-INS $10,000
State Farm Fire and Casualty Co. State Farm Insurance insurance violation 2015 MD-INS $26,020
State Farm Fire and Casualty Co. State Farm Insurance insurance violation 2012 MN-FIN $5,000
State Farm Fire and Casualty Co. State Farm Insurance insurance violation 2021 WI-INS $10,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)