Violation Tracker Industry Summary Page
Industry:
financial services
Penalty Total since 2000:
$330,904,834,105
Number of Records:
6,093
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 Companies | Total Penalty $ | Number of Records |
|---|---|---|
| Bank of America | $82,737,699,939 | 214 |
| JPMorgan Chase | $35,744,240,670 | 158 |
| Citigroup | $25,450,155,764 | 122 |
| Wells Fargo | $21,340,036,745 | 181 |
| Deutsche Bank | $18,156,533,878 | 59 |
| UBS | $16,792,800,910 | 83 |
| Goldman Sachs | $16,365,468,987 | 44 |
| Royal Bank of Scotland | $13,455,904,000 | 27 |
| BNP Paribas | $12,132,582,950 | 17 |
| Credit Suisse | $10,410,557,626 | 32 |
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.
Company |
Parent | Primary Offense Type | Year | Agency | Penalty Amount |
|---|---|---|---|---|---|
| United Community Banks, Inc. | United Community Banks Inc. | benefit plan administrator violation | 2013 | private lawsuit-federal | $3,500,000 |
| 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 Casualty Insurance Co. | Kemper | insurance violation | 2018 | CA-INS | $22,500 |
| United American Insurance Company | Globe Life Inc. | wage and hour violation | 2012 | WHD | $19,791 |
| 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 |
| Union Security Life Insurance Co | Assurant | consumer protection violation | 2000 | MA-AG | $1,000,000 |
| UNION SECURITY LIFE INSURANCE | Assurant | insurance violation | 2007 | VA-INS | $27,000 |
| 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 Insurance Co. | Assurant | insurance violation | 2013 | AZ-INS | $40,000 |
| Union Savings Bank and Guardian Savings Bank | Union Savings Bank | discriminatory practices (non-employment) | 2016 | DOJ_RIGHTS | $9,000,000 |
| Union Bancaire Privee, UBP SA | Union Bancaire Privee | tax violations | 2020 | DOJ_TAX | $14,000,000 |
| Union Bancaire Privee | Union Bancaire Privee | tax violations | 2016 | DOJ_TAX | $187,000,000 |
| 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 |
| UniCredit, S.p.A. | UniCredit | banking violation | 2019 | FED | $158,000,000 |
| UniCredit S.p.A. | UniCredit | economic sanction violation | 2019 | OFAC | (*) $37,316,322 |
| 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 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 Bank AG | UniCredit | economic sanction violation | 2019 | OFAC | (*) $553,380,759 |
| UniCredit Bank AG | UniCredit | economic sanction violation | 2019 | NY-MANDA | $316,000,000 |
| 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 |
| UMB Bank, NA | UMB Financial Corp. | banking violation | 2017 | OCC | $1,500,000 |
| UMB Bank N.A. Investment Banking Division | UMB Financial Corp. | investor protection violation | 2015 | SEC | $420,000 |
| UBS, Inc. | UBS | wage and hour violation | 2013 | WHD | $90,902 |
| UBS Willow Management LLC and UBS Fund Advisor LLC | UBS | investor protection violation | 2015 | SEC | $17,500,000 |
| 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 Warburg and UBS PaineWebber | UBS | investor protection violation | 2003 | MULTI-FIN | (*) $25,000,000 |
| UBS Securities LLC and UBS Financial Services, Inc. | UBS | investor protection violation | 2008 | MULTI-AG | $11,150,000,000 |
| 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-FIN | (*) $150,000,000 |
| 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 Japan Co. Ltd. | UBS | interest rate benchmark manipulation | 2012 | DOJ_ANTITRUST | $500,000,000 |
| UBS Securities | UBS | toxic securities abuses | 2013 | SEC | $50,000,000 |
| UBS Securities | UBS | data submission deficiencies | 2010 | CFTC | $200,000 |
| UBS PaineWebber, Inc. | UBS | investor protection violation | 2003 | SEC | $500,000 |
| UBS O'Connor, LLC | UBS | investor protection violation | 2013 | SEC | $5,297,716 |
| UBS Inc. | UBS | labor relations violation | 2010 | NLRB | $26,351 |
| UBS Global Asset Management | UBS | investor protection violation | 2012 | SEC | $300,000 |
| UBS Global Asset Management | UBS | benefit plan administrator violation | 2006 | private lawsuit-federal | $5,493,000 |
| UBS Fund Advisor, LLC | UBS | data submission deficiencies | 2009 | CFTC | $50,000 |
| UBS Financial Services, Inc. and UBS Securities LLC | UBS | toxic securities abuses | 2008 | MA-AG | $35,000,000 |
| UBS Financial Services, Inc. | UBS | wage and hour violation | 2007 | WHD | $27,152 |
| UBS Financial Services, Inc. | UBS | investor protection violation | 2017 | SEC | $3,500,000 |
| UBS Financial Services, Inc. | UBS | investor protection violation | 2013 | DE-AG | $70,077 |
| UBS Financial Services, Inc. | UBS | investor protection violation | 2007 | NY-AG | $23,300,000 |
| UBS Financial Services, Inc. | UBS | investor protection violation | 2013 | AK-DBS | $64,661 |
| UBS Financial Services, Inc. | UBS | investor protection violation | 2007 | MO-SEC | $697,210 |
| UBS Financial Services, Inc. | UBS | investor protection violation | 2009 | MO-SEC | $170,175 |
| UBS Financial Services, Inc. | UBS | investor protection violation | 2006 | MT-SEC | $4,503,166 |
| UBS FINANCIAL SERVICES, INC. | UBS | investor protection violation | 2007 | VA-SEC | $100,000 |
| UBS FINANCIAL SERVICES, INC. | UBS | investor protection violation | 2010 | VA-SEC | $625,000 |
| UBS Financial Services, Inc | UBS | investor protection violation | 2013 | MULTI-AG | $4,580,000 |
| UBS Financial Services Inc. of Puerto Rico | UBS | investor protection violation | 2015 | SEC | $15,000,000 |
| UBS Financial Services Inc. of Puerto Rico | UBS | investor protection violation | 2012 | SEC | $26,600,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2004 | SEC | $4,621,768 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2015 | SEC | $480,000 |
| UBS Financial Services Inc. | UBS | wage and hour violation | 2018 | WHD | $6,246 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2018 | SEC | $5,000,000 |
| UBS Financial Services Inc. | UBS | anti-money-laundering deficiencies | 2018 | FINCEN | $5,000,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2006 | NJ-AG | $24,750,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2007 | CT-SEC | $5,500,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2011 | NH-BSR | $1,000,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2012 | NH-BSR | $72,500 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2019 | VA-SEC | $288,970 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2014 | VT-FIN | $325,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2013 | MULTI-FIN | $4,600,000 |
| UBS Financial Services Inc. | UBS | investor protection violation | 2020 | SEC | $10,000,000 |
| UBS Financial Services | UBS | investor protection violation | 2014 | SEC | $56,400 |
| UBS Financial Services | UBS | investor protection violation | 2016 | SEC | $15,025,882 |
| UBS Financial Services | UBS | investor protection violation | 2011 | IN-SEC | $677,000 |
| UBS as successor to Piper Jaffray | UBS | wage and hour violation | 2008 | private lawsuit-federal | $5,500,000 |
| UBS Americas Inc. | UBS | toxic securities abuses | 2013 | FHFA | $885,000,000 |
| UBS AG | UBS | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $160,000,000 |
| UBS AG | UBS | banking violation | 2015 | FED | $342,000,000 |
| UBS AG | UBS | interest rate benchmark manipulation | 2015 | DOJ_CRIMINAL | $203,000,000 |
| UBS AG | UBS | investor protection violation | 2015 | SEC | $19,500,000 |
| UBS AG | UBS | interest rate benchmark manipulation | 2014 | CFTC | $290,000,000 |
| UBS AG | UBS | interest rate benchmark manipulation | 2012 | CFTC | $700,000,000 |
| UBS AG | UBS | economic sanction violation | 2015 | OFAC | $1,700,100 |
| UBS AG | UBS | investor protection violation | 2010 | CFTC | $130,000 |
