Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$331,558,339,161
Number of Records: 
6,166
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$82,764,013,078219
JPMorgan Chase$35,819,302,225162
Citigroup$25,454,366,764125
Wells Fargo$21,358,750,745184
Deutsche Bank$18,286,625,30261
UBS$16,792,860,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,473,904,00028
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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
UBS Securities UBS data submission deficiencies 2010 CFTC $200,000
UBS Securities Japan Co. Ltd. UBS interest rate benchmark manipulation 2012 DOJ_ANTITRUST $500,000,000
UBS Securities LLC UBS investor protection violation 2015 SEC $14,400,000
UBS Securities LLC UBS investor protection violation 2011 SEC $8,000,000
UBS Securities LLC UBS investor protection violation 2005 SEC $700,000
UBS Securities LLC UBS toxic securities abuses 2018 NY-AG $230,000,000
UBS Securities LLC UBS toxic securities abuses 2016 VA-AG $850,000
UBS Securities LLC UBS investor protection violation 2010 AK-DBS $733,465
UBS Securities LLC UBS investor protection violation 2010 TX-SEC $6,640,432
UBS Securities LLC and UBS Financial Services Inc. UBS investor protection violation 2008 MULTI-FIN (*) $150,000,000
UBS Securities LLC and UBS Financial Services, Inc UBS investor protection violation 2011 NJ-AG $3,790,487
UBS Securities LLC and UBS Financial Services, Inc. UBS investor protection violation 2008 MULTI-AG $11,150,000,000
UBS Warburg and UBS PaineWebber UBS investor protection violation 2003 MULTI-FIN (*) $25,000,000
UBS Warburg LLC UBS investor protection violation 2003 SEC $80,000,000
UBS Warburg LLC UBS investor protection violation 2002 MULTI-AG (*) $80,000,000
UBS Willow Management LLC and UBS Fund Advisor LLC UBS investor protection violation 2015 SEC $17,500,000
UBS, Inc. UBS wage and hour violation 2013 WHD $90,902
UMB Bank N.A. Investment Banking Division UMB Financial Corp. investor protection violation 2015 SEC $420,000
UMB Bank, NA UMB Financial Corp. banking violation 2017 OCC $1,500,000
UMPQUA BANK Umpqua Holdings banking violation 2008 FDIC $90,240
Umpqua Bank Umpqua Holdings wage and hour violation 2015 WA-DLI $15,350
Umpqua Bank Umpqua Holdings employment screening violation 2019 private lawsuit-federal $325,000
UniCredit Bank AG UniCredit economic sanction violation 2019 OFAC (*) $553,380,759
UniCredit Bank AG UniCredit economic sanction violation 2019 NY-MANDA $316,000,000
UniCredit Bank Austria AG UniCredit economic sanction violation 2019 OFAC (*) $20,326,340
UniCredit Bank Austria AG UniCredit economic sanction violation 2019 NY-MANDA $20,000,000
UniCredit Group UniCredit economic sanction violation 2019 DOJ_CRIMINAL $413,536,632
UniCredit Group UniCredit economic sanction violation 2019 NY-DFS $405,000,000
UniCredit S.p.A. UniCredit economic sanction violation 2019 OFAC (*) $37,316,322
UniCredit, S.p.A. UniCredit banking violation 2019 FED $158,000,000
Unigard Insurance Co. QBE Insurance insurance violation 2010 AZ-INS $16,000
Unigard Insurance Co. QBE Insurance insurance violation 2016 MT-INS $25,000
Unigard Insurance Co. QBE Insurance insurance violation 2016 MT-INS $15,000
Union Bancaire Privee Union Bancaire Privee tax violations 2016 DOJ_TAX $187,000,000
Union Bancaire Privee, UBP SA Union Bancaire Privee tax violations 2020 DOJ_TAX $14,000,000
Union Savings Bank and Guardian Savings Bank Union Savings Bank discriminatory practices (non-employment) 2016 DOJ_RIGHTS $9,000,000
Union Security Insurance Co. Assurant insurance violation 2013 AZ-INS $40,000
Union Security Insurance Company Assurant consumer protection violation 2007 MA-AG $28,000
Union Security Insurance Company Assurant insurance violation 2015 SD-INS $7,500
Union Security Insurance Company Assurant insurance violation 2016 SD-INS $35,000
UNION SECURITY LIFE INSURANCE Assurant insurance violation 2007 VA-INS $27,000
Union Security Life Insurance Co Assurant consumer protection violation 2000 MA-AG $1,000,000
United American Insurance Co. Globe Life Inc. consumer protection violation 2003 CT-AG $45,000
United American Insurance Co. Globe Life Inc. insurance violation 2012 CO-INS $86,500
United American Insurance Co. Globe Life Inc. insurance violation 2013 MD-INS $5,200
UNITED AMERICAN INSURANCE CO. Globe Life Inc. insurance violation 2002 VA-INS $10,000
UNITED AMERICAN INSURANCE CO. Globe Life Inc. insurance violation 2003 VA-INS $15,000
UNITED AMERICAN INSURANCE CO. Globe Life Inc. insurance violation 2005 VA-INS $5,000
UNITED AMERICAN INSURANCE CO. Globe Life Inc. insurance violation 2007 VA-INS $15,000
United American Insurance Company Globe Life Inc. wage and hour violation 2012 WHD $19,791
United Casualty Insurance Co. Kemper insurance violation 2018 CA-INS $22,500
United Casualty Insurance Company of America Kemper insurance violation 2005 FL-OFR $17,500
United Casualty Insurance Company of America Kemper insurance violation 2019 MD-INS $54,900
United Community Banks, Inc. United Community Banks Inc. benefit plan administrator violation 2013 private lawsuit-federal $3,500,000
United Insurance Co. Kemper insurance violation 2013 AZ-INS $23,000
United Insurance Co. of America Kemper insurance violation 2007 IN-INS $6,500
United Insurance Company Kemper insurance violation 2012 UT-INS $5,500
United Insurance Company of America Kemper employment discrimination 2012 EEOC $37,500
UNITED OF OMAHA LIFE INSURANCE Mutual of Omaha insurance violation 2012 VA-INS $7,500
United of Omaha Life Insurance Co. Mutual of Omaha insurance violation 2018 DE-INS $17,000
United of Omaha Life Insurance Co. Mutual of Omaha insurance violation 2011 MD-INS $5,500
United of Omaha Life Insurance Co. Mutual of Omaha insurance violation 2000 ME-INS $6,000
United of Omaha Life Insurance Company Mutual of Omaha insurance violation 2005 OR-FIN $25,000
United of Omaha Life Insurance Company Mutual of Omaha insurance violation 2011 OR-FIN $5,000
United Of Omaha Life Insurance Company Mutual of Omaha insurance violation 2015 WA-INS $5,000
United Service Automobile Association et al. USAA insurance violation 2019 DE-INS $32,500
United Services Automobile Association USAA discriminatory practices (non-employment) 2014 MA-AG $50,000
United Services Automobile Association USAA consumer protection violation 2010 MA-AG $25,000
United Services Automobile Association USAA consumer protection violation 2010 MA-AG $2,300,000
United Services Automobile Association USAA insurance violation 2001 KS-INS $5,000
United Services Automobile Association USAA insurance violation 2018 OR-FIN $6,200
United Services Automobile Association USAA insurance violation 2011 SC-INS $8,000
United Services Automobile Association USAA insurance violation 2006 VA-INS $5,000
United Services Automobile Association USAA insurance violation 2007 VA-INS $6,000
United Services Automobile Association (USAA) USAA insurance violation 2017 VT-FIN $85,000
United Services Automobile Association et al. USAA insurance violation 2016 DE-INS $34,000
United Services Automobile Association et al. USAA insurance violation 2007 MO-INS $6,000
United Services Automobile Association et al. USAA insurance violation 2018 TX-INS $40,000
UNITED SERVICES AUTOMOBILE ASSOCIATION ET AL. USAA insurance violation 2017 VA-INS $182,209
United States Fidelity & Guaranty Travelers False Claims Act and related 2007 CT-AG $17,500,000
United States Fidelity and Guaranty Co. Travelers False Claims Act and related 2010 MA-AG $2,925,000
United States Fidelity and Guaranty Company Travelers insurance violation 2014 TX-INS $13,307
UNITED STATES FIRE INSURANCE CO Fairfax Financial Holdings insurance violation 2017 VA-INS $25,000
United States Fire Insurance Co. Fairfax Financial Holdings insurance violation 2012 CO-INS $111,500
United States Fire Insurance Co. Fairfax Financial Holdings insurance violation 2014 DE-INS $10,000
United States Fire Insurance Co. Fairfax Financial Holdings insurance violation 2018 MD-INS $7,500
United States Fire Insurance Co. Fairfax Financial Holdings insurance violation 2014 MN-FIN $10,000
United States Fire Insurance Co. Fairfax Financial Holdings insurance violation 2015 MO-INS $23,500
United States Fire Insurance Co. Fairfax Financial Holdings insurance violation 2016 MO-INS $444,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2018 NE-DOI $7,500
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2013 NJ-DBI $90,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2014 NY-DFS $190,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2012 SC-INS $10,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2016 UT-INS $172,250
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2017 UT-INS $67,500
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2019 VA-INS $5,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2013 WA-INS $15,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2016 WA-INS $25,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2017 WA-INS $10,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2017 MULTI-FIN $1,914,370
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2020 OR-FIN $50,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)