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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
Charles Schwab & Co.Charles Schwab Corp.investor protection violation2015FINRA$2,000,000
Charles Schwab & Co, Inc.Charles Schwab Corp.investor protection violation2004FINRA$60,869
Charles SchwabCharles Schwab Corp.wage and hour violation2014private lawsuit-federal$3,800,000
Champion Mortgage and KeyBankKeyCorpwage and hour violation2009private lawsuit-federal$1,200,000
Central Payment Co., LLCGlobal Payments Inc.wage and hour violation2014WHD$29,634
Central Payment Co., LLCGlobal Payments Inc.wage and hour violation2014WHD$13,560
Central Payment Co.Global Payments Inc.consumer protection violation2022private lawsuit-federal$84,000,000
CCO Investment Services Corp.Citizens Financial Groupinvestor protection violation2007NH-BSR$375,000
CCO Investment Services Corp.Citizens Financial Groupinvestor protection violation2006FINRA$850,000
Catlin Insurance Company Inc.AXAinsurance violation2013SD-INS$5,000
Catlin Insurance Company Inc.AXAinsurance violation2018UT-INS$100,000
CATHAY BANKCathay General Bancorpbanking violation2008FDIC$55,500
CATHAY BANKCathay General Bancorpbanking violation2011FDIC$17,710
CashCall, Inc., WS Funding, LLC, and Delbert Services CorporationCashCall Inc.consumer protection violation2016CO-AG$7,384,005
CashCall, Inc., Western Sky Financial, LLC, WS Funding, LLCCashCall Inc.payday lending violation2016FL-OFR$500,000
CashCall, Inc. and WS Funding LLCCashCall Inc.consumer protection violation2022AZ-AG$4,800,000
CashCall, Inc. and Western Sky Financial, LLC et al.CashCall Inc.payday lending violation2014MD-FIN$100,018
CashCall, Inc. and Western Sky Financial L.L.C.CashCall Inc.payday lending violation2014CT-BKG$400,000
CashCall, Inc.CashCall Inc.consumer protection violation2016MN-AG$11,700,000
CashCall, Inc.CashCall Inc.consumer protection violation2017VA-AG$15,335,000
CashCall, Inc.CashCall Inc.payday lending violation2017AZ-DIFI$250,000
CashCall, Inc.CashCall Inc.payday lending violation2015CA-DFPI$1,000,000
CashCall, Inc.CashCall Inc.consumer protection violation2019NH-BKG$188,880
CashCall, Inc.CashCall Inc.consumer protection violation2017OK-DCC$1,000,000
CashCall, Inc.CashCall Inc.consumer protection violation2014WA-FIN$6,390,670
CashCall Inc., WS FundingCashCall Inc.consumer protection violation2017DC-AG$2,962,573
CashCall Inc. et al.CashCall Inc.consumer protection violation2014PA-BKG$1,000,000
CashCall Inc. and WS Funding LLCCashCall Inc.consumer protection violation2019NH-BKG$188,800
CashCall Inc. and Delbert Service CorporationCashCall Inc.consumer protection violation2017private lawsuit-federal$14,435,000
CashCall Inc.CashCall Inc.consumer protection violation2014IA-AG$1,500,000
CashCall Inc.CashCall Inc.consumer protection violation2015WV-AG$13,000,000
CashCall Inc.CashCall Inc.consumer protection violation2017SC-FIN$9,650,000
CashCall and Western SkyCashCall Inc.consumer protection violation2016NC-AG$9,000,000
Cash Call Inc. and Western Sky Financial LLCCashCall Inc.consumer protection violation2015WA-FIN$2,000,000
Cash America West, Inc. and First Cash, Inc.FirstCashwage and hour violation2022WA-SOLS$383,873
Cash America International, Inc.FirstCashconsumer protection violation2015KY-FIN$116,998
Cash America International Inc.FirstCashpayday lending violation2013CFPB$19,000,000
Cash America Advance, Inc.FirstCashpayday lending violation2019CA-DFPI$10,000
CASH AMERICAFirstCashworkplace safety or health violation2016OSHA$8,500
Carolina Coastal Railway, Inc.3i Infrastructure PLCrailroad safety violation2021FRA$8,000
Carolina Coastal Railway, Inc.3i Infrastructure PLCrailroad safety violation2021FRA$8,853
Carolina Coastal Railway3i Infrastructure PLCrailroad safety violation2014FRA$5,250
Carolina Coastal Railway3i Infrastructure PLCrailroad safety violation2012FRA$5,000
CAROLINA CASUALTY INSURANCE COW.R. Berkleyinsurance violation2011VA-INS$10,000
CAROLINA CASUALTY INSURANCE COW.R. Berkleyinsurance violation2012VA-INS$5,000
Carl OstachIFM Investorsenvironmental violation2021EPA$153,637
Capital One, National AssociationCapital One Financialbanking violation2014OCC$4,000,000
Capital One, National AssociationCapital One Financialbanking violation2009OCC$125,000
Capital One, National AssociationCapital One Financialanti-money-laundering deficiencies2021FINCEN$290,000,000
Capital One, N.A.Capital One Financialconsumer protection violation2022CA-MULTI$2,000,000
Capital One, N.A.Capital One Financialconsumer protection violation2015private lawsuit-federal$4,724,638
CAPITAL ONE NATIONAL ASSOCIATIONCapital One Financialenvironmental violation2010TX-ENV$8,400
Capital One N.A.Capital One Financialconsumer protection violation2012DOJ_RIGHTS$12,000,000
Capital One N.A.Capital One Financialconsumer protection violation2021private lawsuit-federal$13,000,000
Capital One N.A.Capital One Financialconsumer protection violation2015private lawsuit-federal$7,334,000
Capital One N.A.Capital One Financialconsumer protection violation2015private lawsuit-federal$31,767,200
Capital One N.A.Capital One Financialconsumer protection violation2014private lawsuit-federal$20,350,000
Capital One N.A.Capital One Financialconsumer protection violation2014private lawsuit-federal$3,062,400
Capital One N.A.Capital One Financialconsumer protection violation2013private lawsuit-federal$10,000,000
Capital One Financial CorporationCapital One Financialaccounting fraud or deficiencies2013SEC$3,500,000
Capital One Financial Corp.Capital One Financialconsumer protection violation2019private lawsuit-federal$900,000
Capital One Bank (USA), National AssociationCapital One Financialbanking violation2012OCC$35,000,000
Capital One Bank (USA), National AssociationCapital One Financialanti-money-laundering deficiencies2018OCC$100,000,000
Capital One Bank (USA), National AssociationCapital One Financialbanking violation2020OCC$80,000,000
Capital One Bank (USA) N.A.Capital One Financialbankruptcy professional violation2011DOJ_UTP$2,350,000
Capital One Bank (U.S.A.), N.A.Capital One Financialconsumer protection violation2012CFPB$165,000,000
Capital One BankCapital One Financialbanking violation2005WI-AG$80,032
Capital One BankCapital One Financialdiscriminatory practices (non-employment)2022DOJ_RIGHTS$49,728
Capital One BankCapital One Financialprivacy violation2022private lawsuit-federal$95,000,000
Capital OneCapital One Financialwage and hour violation2015private lawsuit-federal$3,000,000
Capital OneCapital One Financialwage and hour violation2012private lawsuit-federal$3,200,000
Capital OneCapital One Financialconsumer protection violation2015MO-AG$740,000
Capital OneCapital One Financialprivacy violation2015private lawsuit-federal$73,000,000
Capital City Mortgage CorporationCapital City Bank Groupconsumer protection violation2005FTC$750,000
Capital City BankCapital City Bank Groupbanking violation2007FED$85,045
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2011CFTC$100,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2018SEC$1,250,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2019SEC$647,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2020SEC$3,200,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2019FINRA$2,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2015FINRA$7,300,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2022SEC$10,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2023SEC$1,400,000
Cantor FitzgeraldCantor Fitzgeraldinvestor protection violation2012CFTC$700,000
Cantor FitzgeraldCantor Fitzgeraldinvestor protection violation2022CFTC$6,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceinvestor protection violation2005SEC$125,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceaccounting fraud or deficiencies2003SEC$80,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceinvestor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
California United BankPacWest Bancorpeconomic sanction violation2004OFAC$7,250
Cadence Bank, National AssociationCadence Bankbanking violation2021OCC$3,000,000
Cadence Bank N.A.Cadence Bankdiscriminatory practices (non-employment)2021DOJ_RIGHTS$5,545,000
Cadence BankCadence Bankbanking violation2022FDIC$320,500
Cadaret, Grant & Co., Inc.Atria Wealth Solutionsinvestor protection violation2008NE-DBF$10,000
Cadaret, Grant & Co. Inc.Atria Wealth Solutionsinvestor protection violation2018SEC$513,194
Cadaret Grant & Co. Inc.Atria Wealth Solutionsinvestor protection violation2019PA-BKG$90,000
BUSEY BANKFirst Busey Corp.banking violation2006FDIC$5,200
BUSEY BANKFirst Busey Corp.banking violation2010FDIC$7,445
BUCKEYE TEXAS PROCESSING, LLCIFM Investorsworkplace safety or health violation2022OSHA$14,502
BUCKEYE TEXAS PROCESSING LLC (BTXPP)IFM Investorsenvironmental violation2017EPA$18,247
Buckeye Texas Processing LLCIFM Investorsenvironmental violation2020TX-ENV$607,617
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.