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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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
Equitable Life & Casualty Insurance CompanyEquitable Holdingswage and hour violation2008WHD$19,445
Equitable Financial Life Insurance CompanyEquitable Holdingsinvestor protection violation2022SEC$50,000,000
Enova International, Inc.Enova Internationalconsumer protection violation2019CFPB$3,200,000
Enova International Inc.Enova Internationalconsumer protection violation2023CFPB$15,000,000
Encore Capital Group, Inc. et al.Encore Capital Groupconsumer protection violation2022MA-AG$12,000,000
Encore Capital Group, Inc.Encore Capital Groupconsumer protection violation2015NY-AG$675,000
Encore Capital Group, Inc.Encore Capital Groupconsumer protection violation2020CFPB$15,079,308
Encore Capital Group Inc., Midland Credit Management, Inc. and Midland Funding LLCEncore Capital Groupconsumer protection violation2009MD-AG$998,000
Encore Capital Group Inc.Encore Capital Groupconsumer protection violation2018MULTI-AG$6,000,000
Encore Capital GroupEncore Capital Groupconsumer protection violation2015CFPB$52,000,000
Encompass Insurance Company of MassachusettsAllstateconsumer protection violation2012MA-AG$1,972,635
Encompass Insurance Co.Allstateconsumer protection violation2015MA-AG$25,000
Encompass Indemnity CompanyAllstateinsurance violation2014NY-DFS$40,100
Encompass Indemnity Co. and Encompass Insurance Company of AmericaAllstateinsurance violation2019AR-INS$40,000
Encompass Home and Auto Insurance Co.Allstateinsurance violation2014MD-INS$7,500
EMPLOYERS INSURANCE OF WAUSAU, A MUTUAL COMPANYLiberty Mutual Insuranceinsurance violation2001FL-OFR$23,075
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2012TX-INS$15,000
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2017TX-INS$30,000
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2022TX-INS$7,000
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2022TX-INS$5,500
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2022TX-INS$8,000
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2023TX-INS$6,000
Employer's Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2018TX-INS$12,000
Empire Fire and Marine Insurance Co. et al.Zurich Insuranceinsurance violation2015MD-INS$8,000
Empire Fire & Marine Insurance CompanyZurich Insuranceinsurance violation2006PA-INS$20,000
EMPIRE FIRE & MARINE INSURANCE COZurich Insuranceinsurance violation2011VA-INS$25,000
Elephant Insurance CompanyAdmiral Groupinsurance violation2020TX-INS$80,000
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2012VA-INS$29,709
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2013VA-INS$6,154
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2018VA-INS$79,017
Elephant Insurance CompanyAdmiral Groupinsurance violation2019VA-INS$47,619
Elephant Insurance Co.Admiral Groupinsurance violation2014MD-INS$5,000
Elephant Insurance Co.Admiral Groupinsurance violation2014MD-INS$5,000
Elephant Insurance Co.Admiral Groupinsurance violation2018MD-INS$75,000
El Paso Electric CorporationJPMorgan Chaseenergy market violation2003FERC$15,500,000
El Paso Electric CompanyJPMorgan Chaselabor relations violation2012NLRB$79,692
El Paso Electric CompanyJPMorgan Chaselabor relations violation2009NLRB$11,500
El Paso Electric CompanyJPMorgan Chaseutility administrative violation2010NM-PRC$5,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2018TX-PUC$20,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2016TX-PUC$7,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2015TX-PUC$6,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2014TX-PUC$9,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$18,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$18,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$27,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2010TX-PUC$38,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2010TX-PUC$50,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2009TX-PUC$100,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2006TX-PUC$27,000
EL PASO ELECTRIC COMPANYJPMorgan Chaseworkplace safety or health violation2011OSHA$18,300
EL PASO ELECTRIC COMPANYJPMorgan Chaseworkplace safety or health violation2015OSHA$7,000
EL PASO ELECTRIC COMPANYJPMorgan Chaseworkplace safety or health violation2023OSHA$10,000
El Paso ElectricJPMorgan Chaseenvironmental violation2015EPA$3,800,000
EL PASO ELECTRICJPMorgan Chaseworkplace safety or health violation2010OSHA$6,000
Edward Jones & Co., LPJones Financialinvestor protection violation2004FINRA$300,000
Edward Jones & Co. LPJones Financialinvestor protection violation2014NH-BSR$750,000
Edward Jones & Co.Jones Financialinvestor protection violation2008CA-AG$7,500,000
Edward JonesJones Financialinvestor protection violation2010MT-FIN$100,000
Edward JonesJones Financialinvestor protection violation2004FINRA$25,181
Edward D. Jones and Co.,LPJones Financialinvestor protection violation2003AK-DBS$11,000
Edward D. Jones & Co., LPJones Financialinvestor protection violation2024PA-BKG$300,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2004SEC$75,000,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2015SEC$100,000
Edward D. Jones & Co., L.P.Jones Financialbenefit plan administrator violation2019private lawsuit-federal$3,175,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2018AR-SEC$50,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2011IN-SEC$10,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2010ME-SEC$10,000
Edward D. Jones & Co., L.P.Jones Financialconsumer protection violation2013NE-DBF$12,500
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2015FINRA$13,500,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2009FINRA$900,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2006FINRA$250,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2005FINRA$300,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2022WA-SEC$175,000
Edward D. Jones & Co. LPJones Financialinvestor protection violation2015SEC$20,000,000
Edward D. Jones & Co. LPJones Financialinvestor protection violation2003ND-SEC$7,000
Edward D. Jones & Co. LPJones Financialinvestor protection violation2016PA-BKG$135,000
Edward D. Jones & Co. L.P.Jones Financialinvestor protection violation2005MO-SEC$1,500,000
Edward D. Jones & Co. L.P.Jones Financialinvestor protection violation2010MO-SEC$40,500
Edward D. Jones & Co. L.P.Jones Financialinvestor protection violation2019SD-INS$10,000
Edward D. Jones & Co.Jones Financialwage and hour violation2008private lawsuit-federal$21,000,000
Edward D. Jones & Co.Jones Financialwage and hour violation2008private lawsuit-federal$19,000,000
Edward D. Jones & Co.Jones Financialemployment discrimination2021private lawsuit-federal$58,000,000
Eaton Vance Income Fund of BostonMorgan Stanleyinvestor protection violation2006NE-DBF$17,000
East West BankEast West Bancorpbanking violation2007FED$16,245
East West BankEast West Bancorpbanking violation2020FED$129,108
East Penn Railroad LLC3i Infrastructure PLCrailroad safety violation2017FRA$5,000
East Penn Railroad3i Infrastructure PLCrailroad safety violation2010FRA$6,200
E-Trade Securities, LLCMorgan Stanleyinvestor protection violation2008FINRA$500,000
E-TRADE Securities, Inc.Morgan Stanleyinvestor protection violation2000FINRA$20,000
E-TRADE Securities, Inc.Morgan Stanleyinvestor protection violation2000FINRA$20,000
E-Trade Securities LLC and E-Trade Clearing LLCMorgan Stanleyanti-money-laundering deficiencies2009FINRA$1,000,000
E-Trade Securities LLCMorgan Stanleyinvestor protection violation2016FINRA$900,000
E-Trade SecuritiesMorgan Stanleyinvestor protection violation2001FINRA$90,000
E-Trade Financial Corporate Services, Inc.Morgan Stanleyconsumer protection violation2021CT-BKG$10,000
E-TradeMorgan Stanleywage and hour violation2012private lawsuit-federal$1,500,000
E-TradeMorgan Stanleywage and hour violation2008private lawsuit-federal$900,000
E-Loan Inc.Popular Inc.wage and hour violation2007private lawsuit-federal$13,600,000
E*TRADE Securities LLCMorgan Stanleyinvestor protection violation2017CFTC$280,000
E*TRADE Securities LLCMorgan Stanleyinvestor protection violation2011MULTI-FIN$5,000,000
E*Trade Securities LLCMorgan Stanleyinvestor protection violation2021NH-BSR$5,000
E*TRADE SecuritiesMorgan Stanleyinvestor protection violation2014SEC$2,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.