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
ABN AMRO Bank, Inc ABN AMRO economic sanction violation 2004 OFAC $25,847
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V. ABN AMRO economic sanction violation 2010 DOJ_CRIMINAL $500,000,000
ABN AMRO ABN AMRO economic sanction violation 2005 NY-DFS $20,000,000
A.G. Edwards and Sons Inc. Wells Fargo economic sanction violation 2008 OFAC $122,358
A.G. Edwards & Sons, Inc. Wells Fargo data submission deficiencies 2003 CFTC $45,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2007 SEC $3,860,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2006 SEC $125,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2008 NJ-AG $387,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2011 MO-SEC $765,993
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2017 MO-SEC $25,672
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2000 FINRA $5,890,000
A.G. Edwards & Sons Inc. Wells Fargo investor protection violation 2003 NE-DBF $20,000
A.G. Edwards & Sons Inc. Wells Fargo investor protection violation 2007 SC-SEC $575,000
A.G. Edwards & Sons Inc. Wells Fargo investor protection violation 2008 TX-SEC $5,000
A.G. Edwards Wells Fargo wage and hour violation 2009 private lawsuit-federal $12,000,000
A.G. Edwards Wells Fargo wage and hour violation 2007 private lawsuit-federal $20,000,000
21st Century Pacific Insurance Company Zurich Insurance insurance violation 2012 OR-FIN $20,000
21st Century National Insurance Company Zurich Insurance insurance violation 2010 NJ-DBI $10,000
21st Century National Insurance Company Zurich Insurance insurance violation 2015 NY-DFS $25,000
21st Century Insurance Co. and 21st Century Casualty Co. Zurich Insurance insurance violation 2007 CA-INS $50,000
21st Century Centennial Insurance Company Zurich Insurance insurance violation 2014 NY-DFS $9,000
21st Century Centennial Insurance Company Zurich Insurance insurance violation 2015 NY-DFS $36,500
21st Century Centennial Insurance Co. Zurich Insurance insurance violation 2016 DE-INS $27,500
1st Financial Bank USA 1st Financial Bank USA banking violation 2010 FDIC $10,140,000
1ST FINANCIAL BANK USA 1st Financial Bank USA banking violation 2009 FDIC (*) $140,000
1st Financial Bank U.S.A. 1st Financial Bank USA banking violation 2005 WI-AG $43,142
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)