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
Virginia Surety Company, Inc. Assurant insurance violation 2008 TX-INS $7,000
Virtu Americas LLC Virtu Financial investor protection violation 2019 SEC $1,500,000
Visa Inc. Visa consumer protection violation 2018 NM-AG $2,270,000
Visa USA Inc. Visa price-fixing or anti-competitive practices 2008 WV-AG $6,400,000
Vitol Vitol environmental violation 2017 EPA $35,000
Vitol Vitol environmental violation 2007 CA-ARB $150,000
Vitol Vitol environmental violation 2005 CA-ARB $20,000
Vitol Inc. Vitol energy market violation 2019 FERC $2,742,881
Vitol Inc. Vitol environmental violation 2014 EPA $30,394
Vitol Inc. Vitol environmental violation 2016 EPA $9,814
Vitol Inc. Vitol fraud 2020 CFTC (*) $95,700,000
Vitol Inc. Vitol Foreign Corrupt Practices Act 2020 DOJ_CRIMINAL $135,000,000
Vitol Inc. and Vitol Capital Management Ltd. Vitol investor protection violation 2010 CFTC $6,000,000
Vitol S.A. Vitol environmental violation 2002 CA-ARB $25,000
Vitol S.A., Inc. Vitol environmental violation 2005 EPA $41,600
VITOL SA, INC Vitol environmental violation 2002 EPA $95,000
Vitol, Inc. Vitol employment discrimination 2012 EEOC $62,500
Vitol, Inc. Vitol environmental violation 2015 EPA $14,047
Vitol, Inc. Vitol environmental violation 2016 EPA $17,934
Vitol, Inc. Vitol environmental violation 2014 CA-ARB $70,000
VITOL, S.A. Vitol kickbacks and bribery 2007 NY-MANDA $17,500,000
Voya Financial Advisors Inc. Voya Financial investor protection violation 2018 SEC $1,000,000
Voya Financial Advisors, Inc. Voya Financial investor protection violation 2017 SEC $3,095,953
Voya Financial Advisors, Inc. Voya Financial investor protection violation 2020 SEC $22,919,155
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial investor protection violation 2019 CT-SEC $1,015,000
Voya Holdings Inc. Voya Financial investor protection violation 2018 SEC $3,600,000
Voya Insurance and Annuity Co. et al. Voya Financial insurance violation 2014 MN-FIN $1,250,000
W. R. BERKLEY CORPORATION W.R. Berkley workplace safety or health violation 2017 OSHA $5,000
W.R. Berkley Corp. W.R. Berkley insurance violation 2017 CA-INS $3,015,000
Wachovia Wells Fargo toxic securities abuses 2015 NCUA $53,000,000
Wachovia Bank Wells Fargo anti-money-laundering deficiencies 2010 FINCEN $110,000,000
Wachovia Bank Wells Fargo economic sanction violation 2007 OFAC $11,000
Wachovia Bank Wells Fargo economic sanction violation 2005 OFAC $5,500
Wachovia Bank Wells Fargo economic sanction violation 2004 OFAC $11,000
Wachovia Bank Wells Fargo wage and hour violation 2004 WHD $5,798,744
Wachovia Bank N.A. Wells Fargo price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $148,000,000
Wachovia Bank N.A. Wells Fargo banking violation 2010 OCC $50,000,000
Wachovia Bank N.A. Wells Fargo anti-money-laundering deficiencies 2010 USAO $50,000,000
Wachovia Bank N.A. Wells Fargo price-fixing or anti-competitive practices 2011 MULTI-AG (*) $58,750,000
Wachovia Bank, National Association Wells Fargo banking violation 2008 OCC $168,900,000
Wachovia Capital Markets LLC Wells Fargo investor protection violation 2006 MULTI-AG $25,000,000
Wachovia Capital Markets LLC Wells Fargo investor protection violation 2007 MULTI-FIN $24,650,000
Wachovia Capital Markets, LLC Wells Fargo investor protection violation 2006 SEC $125,000
Wachovia Capital Markets, LLC Wells Fargo investor protection violation 2007 MD-AG $402,386
Wachovia Capital Markets, LLC Wells Fargo investor protection violation 2007 CT-SEC $258,728
Wachovia Corporation Wells Fargo investor protection violation 2004 SEC $37,000,000
Wachovia Corporation Wells Fargo benefit plan administrator violation 2011 private lawsuit-federal $12,350,000
Wachovia Financial Services Wells Fargo wage and hour violation 2010 private lawsuit-federal $450,000
Wachovia National Bank, N.A. Wells Fargo benefit plan administrator violation 2000 EBSA $30,000,000
Wachovia Securities Wells Fargo wage and hour violation 2009 private lawsuit-federal $39,000,000
Wachovia Securities Wells Fargo benefit plan administrator violation 2009 private lawsuit-federal $1,005,000
Wachovia Securities Wells Fargo investor protection violation 2008 MULTI-AG $60,000,000
Wachovia Securities LLC Wells Fargo investor protection violation 2007 ND-SEC $75,000
Wachovia Securities LLC Wells Fargo investor protection violation 2008 MULTI-FIN (*) $50,000,000
Wachovia Securities, LLC Wells Fargo investor protection violation 2004 SEC $4,844,465
Wachovia Securities, LLC Wells Fargo investor protection violation 2009 DE-AG $309,000
Wachovia Securities, LLC Wells Fargo investor protection violation 2011 NJ-AG $3,200,000
Wachovia Securities, LLC Wells Fargo investor protection violation 2010 AK-DBS $129,131
Wachovia Securities, LLC Wells Fargo investor protection violation 2008 MD-SEC $50,000
Wachovia Securities, LLC nka Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2010 CT-SEC $75,000
Waddell & Reed Inc. Waddell & Reed Financial Inc. investor protection violation 2008 OK-SEC $10,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2006 SEC $50,000,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2006 NY-AG (*) $75,000,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2003 FL-OFR $8,800
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2006 MO-SEC $172,161
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2005 MT-SEC $25,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2016 NH-BSR $900,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2005 MULTI-FIN $18,000,000
Walter Investment Management Corp. Ditech Holding Corporation False Claims Act and related 2015 DOJ_CIVIL $29,630,000
Warburg Dillon Read LLC UBS investor protection violation 2000 SEC $6,680,000
Washington Federal Washington Federal Inc. consumer protection violation 2013 CFPB $34,000
Washington Federal Bank, N.A. Washington Federal Inc. consumer protection violation 2020 CFPB $200,000
WASHINGTON MUTUAL JPMorgan Chase workplace safety or health violation 2007 OSHA $5,000
Washington Mutual Bank JPMorgan Chase wage and hour violation 2011 private lawsuit-federal $463,000
Washington Mutual Bank JPMorgan Chase wage and hour violation 2009 private lawsuit-federal $38,000,000
Washington Mutual Inc. JPMorgan Chase benefit plan administrator violation 2010 private lawsuit-federal $49,000,000
Washington Mutual Pension Plan JPMorgan Chase benefit plan administrator violation 2010 private lawsuit-federal $20,000,000
Washington Mutual, Inc. JPMorgan Chase wage and hour violation 2005 WHD $404,982
Washington National Insurance Co. CNO Financial insurance violation 2017 MN-FIN $140,000
Washington National Insurance Co. CNO Financial insurance violation 2012 MO-INS $150,000
Washington National Insurance Company CNO Financial insurance violation 2013 SD-INS $125,000
Washington National Insurance Company CNO Financial insurance violation 2018 WA-INS $7,500
Watson Wyatt & Co. Willis Towers Watson labor relations violation 2005 NLRB $91,000
Watson Wyatt & Company Willis Towers Watson False Claims Act and related 2005 USAO $689,828
Wausau Business Insurance Co. Liberty Mutual Insurance insurance violation 2008 KS-INS $15,622
WAUSAU BUSINESS INSURANCE COMPANY Liberty Mutual Insurance insurance violation 2001 FL-OFR $14,625
Wausau Business Insurance Company Liberty Mutual Insurance insurance violation 2010 TX-INS $5,000
Wausau Business Insurance Company Liberty Mutual Insurance insurance violation 2012 TX-INS $16,000
Wausau Business Insurance Company Liberty Mutual Insurance insurance violation 2012 TX-INS $12,000
Wausau Underwriters Insurance Co. Liberty Mutual Insurance insurance violation 2002 FL-OFR $53,000
WAUSAU UNDERWRITERS INSURANCE COMPANY Liberty Mutual Insurance insurance violation 2001 FL-OFR $26,325
Wausau Underwriters Insurance Company Liberty Mutual Insurance insurance violation 2012 TX-INS $5,000
Wausau Underwriters Insurance Company Liberty Mutual Insurance insurance violation 2013 TX-INS $8,000
Wausau Underwriters Insurance Company Liberty Mutual Insurance insurance violation 2015 TX-INS $8,000
Wausau Underwriters Insurance Company Liberty Mutual Insurance insurance violation 2017 TX-INS $40,000
Wedbush Securities Wedbush Securities investor protection violation 2014 SEC $2,440,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2014 SEC $67,200
Wedbush Securities Inc. Wedbush Securities investor protection violation 2018 SEC $1,304,197
Wedbush Securities Inc. Wedbush Securities investor protection violation 2019 SEC $250,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2019 SEC $8,100,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2019 SEC $1,852,540
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)