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 CompaniesTotal Penalty $Number of Records
Bank of America$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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
UBS AG UBS investor protection violation 2010 CFTC $130,000
UBS AG UBS economic sanction violation 2004 FED $100,000,000
UBS AG UBS tax violations 2009 DOJ_TAX $780,000,000
UBS AG UBS tax violations 2009 SEC $200,000,000
UBS AG UBS investor protection violation 2018 CFTC $15,000,000
UBS AG UBS interest rate benchmark manipulation 2018 MULTI-AG $68,000,000
UBS AG UBS price-fixing or anti-competitive practices 2011 MULTI-AG (*) $90,800,000
UBS AG UBS price-fixing or anti-competitive practices 2016 WV-AG $325,000
UBS (USA) Inc UBS economic sanction violation 2003 OFAC $14,750
UBS (USA) Inc UBS economic sanction violation 2003 OFAC $5,000
UBS UBS toxic securities abuses 2016 NCUA $69,800,000
UBS UBS toxic securities abuses 2017 NCUA $445,000,000
UBS UBS wage and hour violation 2015 private lawsuit-federal $1,312,500
UBS UBS wage and hour violation 2012 private lawsuit-federal $1,400,000
UBS UBS wage and hour violation 2007 private lawsuit-federal $44,000,000
UBS UBS wage and hour violation 2007 private lawsuit-federal $45,000,000
UBS UBS environmental violation 2011 EPA $20,000
UBS UBS investor protection violation 2010 MI-AG $117,000,000
U.S. Trust Corporation Bank of America banking violation 2001 FED $5,000,000
U.S. Trust Corporation Bank of America anti-money-laundering deficiencies 2001 NY-DFS $5,000,000
U.S. Pension Trust Corp. and U.S. College Trust Corp. U.S. Pension Trust Corp. investor protection violation 2010 SEC $112,600,000
U.S. Central Federal Credit Union U.S. Central Federal Credit Union wage and hour violation 2008 WHD $111,319
U.S. Bank, National Association U.S. Bancorp mortgage abuses 2011 HUD $1,200,000
U.S. Bank Pension Plan U.S. Bancorp benefit plan administrator violation 2012 private lawsuit-federal $9,600,000
U.S. Bank National Association U.S. Bancorp banking violation 2016 OCC $10,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2014 OCC $51,900,000
U.S. Bank National Association U.S. Bancorp investor protection violation 2015 CFTC $18,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2006 OCC $125,000
U.S. Bank National Association U.S. Bancorp discriminatory practices (non-employment) 2014 HUD $11,489
U.S. Bank National Association U.S. Bancorp discriminatory practices (non-employment) 2013 HUD $12,000
U.S. Bank National Association U.S. Bancorp banking violation 2017 OCC $15,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2017 OCC $183,920
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 OCC $75,000,000
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 FINCEN $70,000,000
U.S. Bank National Association U.S. Bancorp investor protection violation 2005 SEC $500,000
U.S. Bank National Association U.S. Bancorp wage and hour violation 2020 private lawsuit-federal $6,500,000
U.S. Bank National Association U.S. Bancorp mortgage abuses 2020 DOJ_UTP $29,000,000
U.S. Bank Municipal Securities Group U.S. Bancorp investor protection violation 2015 SEC $60,000
U.S. Bank U.S. Bancorp consumer protection violation 2014 CFPB $53,000,000
U.S. Bank U.S. Bancorp banking violation 2013 CFPB $3,200,000
U.S. Bank U.S. Bancorp banking violation 2013 OCC $208,156,501
U.S. Bank U.S. Bancorp False Claims Act and related 2014 DOJ_CIVIL $200,000,000
U.S. Bank U.S. Bancorp wage and hour violation 2008 WHD $140,787
U.S. Bank U.S. Bancorp wage and hour violation 2015 private lawsuit-federal $3,031,075
U.S. Bank U.S. Bancorp privacy violation 2019 private lawsuit-federal $2,670,336
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2003 SEC $32,500,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler data submission deficiencies 2002 SEC $1,650,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2002 SEC $100,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2003 MT-SEC $2,625,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2002 NE-DBF $5,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2003 MULTI-FIN (*) $12,500,000
U.S. Bancorp Investments, Inc. U.S. Bancorp investor protection violation 2020 SEC $15,992,441
U.S. Bancorp U.S. Bancorp wage and hour violation 2006 WHD $140,788
U.S. Bancorp U.S. Bancorp mortgage abuses 2018 FED $4,400,000
U.S. Bancorp U.S. Bancorp anti-money-laundering deficiencies 2018 USAO $453,000,000
U.S. Bancorp U.S. Bancorp wage and hour violation 2017 private lawsuit-federal $7,000,000
U.S. Bancorp U.S. Bancorp wage and hour violation 2017 private lawsuit-federal $1,150,000
U.S. Bancorp U.S. Bancorp wage and hour violation 2014 private lawsuit-federal $6,450,000
U.S. Bancorp U.S. Bancorp consumer protection violation 2005 CA-AG $2,600,000
U.S. Bancorp U.S. Bancorp discriminatory practices (non-employment) 2005 private lawsuit-federal $2,495,000
Twin City Fire Insurance Company Hartford Financial Services insurance violation 2013 SD-INS $5,000
Twin City Fire Insurance Company Hartford Financial Services insurance violation 2014 TX-INS $5,079
Twin City Fire Insurance Company Hartford Financial Services insurance violation 2015 TX-INS $5,500
Twin City Fire Insurance Company Hartford Financial Services insurance violation 2016 TX-INS $9,500
Twin City Fire Insurance Company Hartford Financial Services insurance violation 2017 TX-INS $8,500
Twin City Fire Insurance Company Hartford Financial Services insurance violation 2017 WA-INS $30,000
Twin City Fire Insurance Co. et al. Hartford Financial Services insurance violation 2016 MD-INS $10,000
Twin City Fire Insurance Co. Hartford Financial Services insurance violation 2007 ME-INS $5,000
Twin City Fire Insurance Co. Hartford Financial Services insurance violation 2016 MO-INS $62,541
Twin City Fire Insurance Co. Hartford Financial Services insurance violation 2020 TX-INS $6,000
Trustmark National Bank Trustmark banking violation 2012 OCC $6,250
Trumbull Insurance Company Hartford Financial Services insurance violation 2010 TX-INS $10,000
Trumbull Insurance Company Hartford Financial Services insurance violation 2017 TX-INS $9,000
Trumbull Insurance Company Hartford Financial Services insurance violation 2018 TX-INS $20,000
TRUMBULL INSURANCE COMPANY Hartford Financial Services insurance violation 2010 VA-INS $66,684
Trumbull Insurance Co. Hartford Financial Services insurance violation 2019 CT-INS $141,500
Trumbull Insurance Co. Hartford Financial Services insurance violation 2017 MD-INS $67,500
Trumbull Insurance Co. Hartford Financial Services insurance violation 2002 MT-INS $5,000
Trumbull Insurance Co. Hartford Financial Services insurance violation 2020 TX-INS $15,000
TravelersCompanies, Inc. Travelers price-fixing or anti-competitive practices 2007 MULTI-AG $6,000,000
Travelers Property Casualty Company of America Travelers insurance violation 2010 TX-INS $20,000
Travelers Property Casualty Company of America Travelers insurance violation 2012 TX-INS $25,000
Travelers Property Casualty Company of America Travelers insurance violation 2016 TX-INS $62,000
Travelers Property Casualty Company of America Travelers insurance violation 2018 TX-INS $14,500
Travelers Property Casualty Co. of America Travelers insurance violation 2009 VA-INS $6,000
Travelers Property Casualty Co. of America Travelers insurance violation 2020 TX-INS $10,000
Travelers Property and Casualty Company of America Travelers insurance violation 2016 MO-INS $19,000
Travelers Property and Casualty Company of America Travelers insurance violation 2014 TX-INS $17,012
Travelers Lloyds of Texas Insurance Company Travelers insurance violation 2017 TX-INS $10,000
Travelers Insurance Company Travelers False Claims Act and related 2004 USAO $10,900,000
Travelers Insurance Company Travelers insurance violation 2002 MA-INS $8,600
Travelers Indemnity Company of Illinois Travelers insurance violation 2003 FL-OFR $20,500
Travelers Indemnity Company of Connecticut Travelers insurance violation 2004 PA-INS $7,500
Travelers Indemnity Company of Connecticut Travelers insurance violation 2015 TX-INS $60,000
Travelers Indemnity Company of America Travelers insurance violation 2016 MO-INS $20,000
Travelers Indemnity Company of America Travelers insurance violation 2009 RI-FIN $5,000
Travelers Indemnity Company et al. Travelers insurance violation 2015 TX-INS $1,200,000
Travelers Indemnity Company Travelers insurance violation 2010 TX-INS $55,000
Travelers Indemnity Company Travelers insurance violation 2010 TX-INS $60,000
Travelers Indemnity Company Travelers insurance violation 2015 TX-INS $10,000
Travelers Indemnity Company Travelers insurance violation 2019 TX-INS $5,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)