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
Barclays Bank PLC Barclays toxic securities abuses 2014 FHFA $280,000,000
Barclays Bank PLC Barclays energy market manipulation 2017 FERC $105,000,000
Barclays Bank PLC Barclays economic sanction violation 2016 OFAC $2,485,890
Barclays Bank PLC Barclays investor protection violation 2016 CFTC $560,000
Barclays Bank PLC Barclays economic sanction violation 2004 OFAC $14,970
Barclays Bank PLC Barclays economic sanction violation 2003 OFAC $10,107
Barclays Bank PLC Barclays insider trading 2007 SEC $10,943,561
Barclays Bank PLC Barclays data submission deficiencies 2016 CFTC $500,000
Barclays Bank PLC Barclays interest rate benchmark manipulation 2016 MULTI-AG $100,000,000
Barclays Bank PLC Barclays toxic securities abuses 2013 MA-AG $36,100,000
Barclays Bank PLC Barclays foreign exchange market manipulation 2015 NY-DFS $485,000,000
Barclays Bank PLC Barclays foreign exchange market manipulation 2015 NY-DFS $150,000,000
Barclays Bank PLC Barclays workplace whistleblower retaliation 2018 NY-DFS $15,000,000
Barclays Barclays interest rate benchmark manipulation 2015 CFTC $400,000,000
Barclays Barclays interest rate benchmark manipulation 2015 CFTC $115,000,000
Bannockburn Global Forex, LLC First Financial Bancorp. consumer protection violation 2017 CA-DFPI $500,000
Bannockburn Global Forex, LLC First Financial Bancorp. consumer protection violation 2015 KY-FIN $25,000
Bannockburn Global Forex, LLC First Financial Bancorp. consumer protection violation 2016 MI-FIN $146,000
Bannockburn Global Forex, LLC First Financial Bancorp. consumer protection violation 2016 TX-FIN $23,608
Bankers Standard Insurance Company et al. Chubb Limited insurance violation 2019 WA-INS $25,000
Bankers Standard Insurance Company Chubb Limited insurance violation 2015 WA-INS $25,000
Bankers Standard Insurance Co. et al. Chubb Limited insurance violation 2019 DE-INS $16,000
Bankers Life and Casualty Company and BLC Financial Services, Inc. CNO Financial investor protection violation 2012 MULTI-FIN $10,641,000
Bankers Life and Casualty Company CNO Financial privacy violation 2002 KY-AG $5,000
Bankers Life and Casualty Company CNO Financial insurance violation 2008 OR-FIN $150,000
Bankers Life and Casualty Company CNO Financial insurance violation 2010 OR-FIN $25,000
Bankers Life and Casualty Company CNO Financial insurance violation 2011 OR-FIN $5,000
Bankers Life and Casualty Company CNO Financial insurance violation 2012 OR-FIN $14,000
Bankers Life and Casualty Company CNO Financial insurance violation 2014 OR-FIN $115,000
Bankers Life and Casualty Company CNO Financial insurance violation 2004 PA-INS $5,000
Bankers Life and Casualty Company CNO Financial insurance violation 2013 VT-FIN $600,000
Bankers Life and Casualty Company CNO Financial insurance violation 2012 MULTI-FIN $4,000,000
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co. CNO Financial insurance violation 2018 MN-FIN $10,000
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co. CNO Financial insurance violation 2019 MN-FIN $175,000
Bankers Life and Casualty Co. CNO Financial privacy violation 2003 KS-AG $15,000
Bankers Life and Casualty Co. CNO Financial insurance violation 2016 DE-INS $55,500
Bankers Life and Casualty Co. CNO Financial insurance violation 2019 DE-INS $41,200
Bankers Life and Casualty Co. CNO Financial insurance violation 2001 FL-OFR $10,500
Bankers Life and Casualty Co. CNO Financial insurance violation 2007 IN-INS $6,569
Bankers Life and Casualty Co. CNO Financial insurance violation 2017 LA-INS $10,000
Bankers Life and Casualty Co. CNO Financial insurance violation 2011 MD-INS $10,000
Bankers Life and Casualty Co. CNO Financial insurance violation 2012 MD-INS $15,000
Bankers Life and Casualty Co. CNO Financial insurance violation 2018 MD-INS $14,100
Bankers Life and Casualty Co. CNO Financial insurance violation 2008 MN-FIN $7,500
Bankers Life and Casualty Co. CNO Financial insurance violation 2015 MN-FIN $22,500
Bankers Life and Casualty Co. CNO Financial insurance violation 2015 MN-FIN $7,500
Bankers Life and Casualty Co. CNO Financial investor protection violation 2010 MO-SEC $789,600
Bankers Life and Casualty Co. CNO Financial investor protection violation 2015 MO-SEC $102,178
Bankers Life and Casualty Co. CNO Financial insurance violation 2013 MT-INS $50,000
BANKERS LIFE AND CASUALTY CO. CNO Financial insurance violation 2013 VA-INS $27,000
Bankers Life and Casualty CNO Financial privacy violation 2008 MO-AG $25,000
Bankers Life & Casualty Company CNO Financial insurance violation 2011 RI-FIN $975,000
Bankers Life & Casualty Company CNO Financial insurance violation 2019 WA-INS $30,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2009 CT-INS $100,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2009 KS-INS $8,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2010 KS-INS $22,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2003 ME-INS $5,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2005 ME-INS $500,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2006 ME-INS $7,500
Bankers Life & Casualty Co. CNO Financial insurance violation 2009 ME-INS $500,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2011 ME-INS $102,801
Bankers Life & Casualty Co. CNO Financial insurance violation 2010 WI-INS $1,500,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2012 WI-INS $40,000
Bankers Life & Casualty CNO Financial insurance violation 2013 WI-INS $200,000
Bankers Conseco Life Insurance Company CNO Financial insurance violation 2015 NY-DFS $10,270
Bankers Conseco Life Insurance CNO Financial insurance violation 2019 NY-DFS $27,900
BankAtlantic Truist Financial anti-money-laundering deficiencies 2006 DOJ_CRIMINAL $10,000,000
BankAtlantic Truist Financial economic sanction violation 2008 OFAC $7,500
Bank One, KY, N.A. JPMorgan Chase discriminatory practices (non-employment) 2005 private lawsuit-federal $6,715,000
Bank One JPMorgan Chase economic sanction violation 2004 OFAC $5,500
Bank One JPMorgan Chase economic sanction violation 2004 OFAC $6,682
Bank of the West BNP Paribas employment discrimination 2011 EEOC $48,000
Bank of the West BNP Paribas wage and hour violation 2015 WHD $33,750
BANK OF THE WEST BNP Paribas banking violation 2011 FDIC $135,000
BANK OF THE WEST BNP Paribas banking violation 2010 FDIC $68,200
Bank of the West BNP Paribas banking violation 2021 FDIC $281,000
BANK OF THE CASCADES First Interstate Bancsystem banking violation 2008 FDIC $43,550
Bank of Nova Scotia Scotiabank investor protection violation 2018 CFTC $800,000
Bank of Nova Scotia Scotiabank price-fixing or anti-competitive practices 2020 DOJ_CRIMINAL $60,400,000
Bank of North Georgia Synovus Financial environmental violation 2011 GA-ENV $14,000
Bank of New York Mellon Corporation Bank of New York Mellon banking violation 2017 FED $3,000,000
Bank of New York Mellon Corporation Bank of New York Mellon benefit plan administrator violation 2015 private lawsuit-federal $335,000,000
Bank of New York Mellon Corporation Bank of New York Mellon benefit plan administrator violation 2009 private lawsuit-federal $2,200,000
Bank of New York Mellon Corp. Bank of New York Mellon investor protection violation 2011 MULTI-AG $1,300,000
Bank of New York Mellon (Shanghai Branch) Bank of New York Mellon export control violation 2011 BIS $30,000
Bank of New York Mellon Bank of New York Mellon banking violation 2015 USAO $714,000,000
Bank of New York Mellon Bank of New York Mellon benefit plan administrator violation 2015 EBSA $84,000,000
Bank of New York Mellon Bank of New York Mellon banking violation 2018 FED $16,000
Bank of New York Mellon Bank of New York Mellon investor protection violation 2018 SEC $54,000,000
Bank of New York Mellon Bank of New York Mellon investor protection violation 2013 FL-AG $28,000,000
Bank of New York Mellon Bank of New York Mellon employment discrimination 2010 NJ-AG $188,037
Bank of New York Mellon Bank of New York Mellon banking violation 2015 NY-AG $167,500,000
Bank of New York Mellon Bank of New York Mellon investor protection violation 2019 CFTC $750,000
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $137,500
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $34,623
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $27,500
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $5,500
Bank of New York Bank of New York Mellon economic sanction violation 2003 OFAC $24,750
Bank of Louisville Truist Financial investor protection violation 2002 KY-INS $27,000,000
BANK OF KENTUCKY, INC., THE Truist Financial banking violation 2009 FDIC $30,415
Bank of Hawaii Bank of Hawaii benefit plan administrator violation 2009 EBSA $2,500,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)