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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,660,984,318
Number of Records: 7,055
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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$83,124,221,356268
JPMorgan Chase$36,129,269,434222
Citigroup$25,540,655,365157
Wells Fargo$22,081,446,244228
Deutsche Bank$18,341,457,30276
UBS$16,880,243,334103
Goldman Sachs$16,399,475,84887
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,154,369,73321
Credit Suisse$10,732,400,12649

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.

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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
UBS Securities LLCUBStoxic securities abuses2018NY-AG$230,000,000
UBS Securities LLCUBStoxic securities abuses2016VA-AG$850,000
UBS Securities LLCUBSinvestor protection violation2010AK-DBS$733,465
UBS Securities LLCUBSinvestor protection violation2010TX-SEC$6,640,432
UBS Securities LLCUBSinvestor protection violation2011FINRA$12,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000
UBS Securities LLC and UBS Financial Services, IncUBSinvestor protection violation2011NJ-AG$3,790,487
UBS Securities LLC and UBS Financial Services, Inc.UBSinvestor protection violation2008MULTI-AG$11,150,000,000
UBS Securities, L.L.C.UBSinvestor protection violation2004FINRA$10,000
UBS Securities, LLCUBSinvestor protection violation2008FINRA$200,000
UBS Warburg and UBS PaineWebberUBSinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
UBS Warburg LLCUBSinvestor protection violation2003SEC$80,000,000
UBS Warburg LLCUBSinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
UBS Willow Management LLC and UBS Fund Advisor LLCUBSinvestor protection violation2015SEC$17,500,000
UBS, Inc.UBSwage and hour violation2013WHD$90,902
UMB Bank N.A. Investment Banking DivisionUMB Financial Corp.investor protection violation2015SEC$420,000
UMB Bank, NAUMB Financial Corp.banking violation2017OCC$1,500,000
UMPQUA BANKUmpqua Holdingsbanking violation2008FDIC$90,240
Umpqua BankUmpqua Holdingswage and hour violation2015WA-DLI$15,350
Umpqua BankUmpqua Holdingsemployment screening violation2019private lawsuit-federal$325,000
Umpqua BankUmpqua Holdingsbanking violation2021FDIC$1,800,000
UniCredit Bank AGUniCrediteconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $553,380,759
UniCredit Bank AGUniCrediteconomic sanction violation2019NY-MANDA$316,000,000
UniCredit Bank Austria AGUniCrediteconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $20,326,340
UniCredit Bank Austria AGUniCrediteconomic sanction violation2019NY-MANDA$20,000,000
UniCredit GroupUniCrediteconomic sanction violation2019DOJ_CRIMINAL$413,536,632
UniCredit GroupUniCrediteconomic sanction violation2019NY-DFS$405,000,000
UniCredit S.p.A.UniCrediteconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,316,322
UniCredit, S.p.A.UniCreditbanking violation2019FED$158,000,000
Unigard Insurance Co.QBE Insuranceinsurance violation2010AZ-DIFI$16,000
Unigard Insurance Co.QBE Insuranceinsurance violation2016MT-INS$25,000
Unigard Insurance Co.QBE Insuranceinsurance violation2016MT-INS$15,000
Union Bancaire PriveeUnion Bancaire Priveetax violations2016DOJ_TAX$187,000,000
Union Bancaire Privee, UBP SAUnion Bancaire Priveetax violations2020DOJ_TAX$14,000,000
Union BankMitsubishi UFJ Financial Groupwage and hour violation2012private lawsuit-federal$3,500,000
Union Bank of CAMitsubishi UFJ Financial Groupeconomic sanction violation2003OFAC$14,913
Union Bank of CAMitsubishi UFJ Financial Groupeconomic sanction violation2003OFAC$12,000
Union Bank of CaliforniaMitsubishi UFJ Financial Groupeconomic sanction violation2005OFAC$5,500
Union Bank of California, N.A.Mitsubishi UFJ Financial Groupanti-money-laundering deficiencies2007DOJ_CRIMINAL$21,600,000
Union Bank of California, N.A.Mitsubishi UFJ Financial Groupanti-money-laundering deficiencies2007FINCEN$10,000,000
Union Savings Bank and Guardian Savings BankUnion Savings Bankdiscriminatory practices (non-employment)2016DOJ_RIGHTS$9,000,000
Union Security Insurance Co.Assurantinsurance violation2013AZ-DIFI$40,000
Union Security Insurance CompanyAssurantconsumer protection violation2007MA-AG$28,000
Union Security Insurance CompanyAssurantinsurance violation2015SD-INS$7,500
Union Security Insurance CompanyAssurantinsurance violation2016SD-INS$35,000
UNION SECURITY LIFE INSURANCEAssurantinsurance violation2007VA-INS$27,000
Union Security Life Insurance CoAssurantconsumer protection violation2000MA-AG$1,000,000
Union Security Life Insurance Company of New YorkAssurantinsurance violation2021NY-DFS$20,000
United American Insurance Co.Globe Life Inc.consumer protection violation2003CT-AG$45,000
United American Insurance Co.Globe Life Inc.insurance violation2012CO-INS$86,500
United American Insurance Co.Globe Life Inc.insurance violation2013MD-INS$5,200
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2002VA-INS$10,000
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2003VA-INS$15,000
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2005VA-INS$5,000
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2007VA-INS$15,000
United American Insurance CompanyGlobe Life Inc.wage and hour violation2012WHD$19,791
United Casualty Insurance Co.Kemperinsurance violation2018CA-INS$22,500
United Casualty Insurance Company of AmericaKemperinsurance violation2005FL-OFR$17,500
United Casualty Insurance Company of AmericaKemperinsurance violation2019MD-INS$54,900
United Community Banks, Inc.United Community Banks Inc.benefit plan administrator violation2013private lawsuit-federal$3,500,000
United Insurance Co.Kemperinsurance violation2013AZ-DIFI$23,000
United Insurance Co. of AmericaKemperinsurance violation2007IN-INS$6,500
United Insurance CompanyKemperinsurance violation2012UT-INS$5,500
United Insurance Company of AmericaKemperemployment discrimination2012EEOC$37,500
UNITED OF OMAHA LIFE INSURANCEMutual of Omahainsurance violation2012VA-INS$7,500
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2018DE-INS$17,000
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2011MD-INS$5,500
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2000ME-INS$6,000
United of Omaha Life Insurance CompanyMutual of Omahainsurance violation2005OR-FIN$25,000
United of Omaha Life Insurance CompanyMutual of Omahainsurance violation2011OR-FIN$5,000
United Of Omaha Life Insurance CompanyMutual of Omahainsurance violation2015WA-INS$5,000
United Service Automobile Association et al.USAAinsurance violation2019DE-INS$32,500
United Services Automobile AssociationUSAAdiscriminatory practices (non-employment)2014MA-AG$50,000
United Services Automobile AssociationUSAAconsumer protection violation2010MA-AG$25,000
United Services Automobile AssociationUSAAconsumer protection violation2010MA-AG$2,300,000
United Services Automobile AssociationUSAAinsurance violation2001KS-INS$5,000
United Services Automobile AssociationUSAAinsurance violation2018OR-FIN$6,200
United Services Automobile AssociationUSAAinsurance violation2011SC-INS$8,000
United Services Automobile AssociationUSAAinsurance violation2006VA-INS$5,000
United Services Automobile AssociationUSAAinsurance violation2007VA-INS$6,000
United Services Automobile AssociationUSAAinsurance violation2021CT-INS$32,500
United Services Automobile Association (USAA)USAAinsurance violation2017VT-FIN$85,000
United Services Automobile Association et al.USAAinsurance violation2016DE-INS$34,000
United Services Automobile Association et al.USAAinsurance violation2007MO-INS$6,000
United Services Automobile Association et al.USAAinsurance violation2018TX-INS$40,000
UNITED SERVICES AUTOMOBILE ASSOCIATION ET AL.USAAinsurance violation2017VA-INS$182,209
United Services Automobile Association et al.USAAinsurance violation2021VA-INS$10,000
United Services Automobile Association et al.USAAconsumer protection violation2022VA-INS$71,358
United States Fidelity & GuarantyTravelersFalse Claims Act and related2007CT-AG$17,500,000
United States Fidelity and Guaranty Co.TravelersFalse Claims Act and related2010MA-AG$2,925,000
United States Fidelity and Guaranty CompanyTravelersinsurance violation2014TX-INS$13,307
UNITED STATES FIRE INSURANCE COFairfax Financial Holdingsinsurance violation2017VA-INS$25,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2012CO-INS$111,500
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2014DE-INS$10,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2018MD-INS$7,500
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2014MN-FIN$10,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2015MO-INS$23,500
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2016MO-INS$444,000
United States Fire Insurance Co.Fairfax Financial Holdingsconsumer protection violation2021CO-AG$50,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2018NE-DOI$7,500
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2013NJ-DBI$90,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.