Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$313,053,740,827
Number of Records: 
2,796
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$82,630,515,262182
JPMorgan Chase$34,503,944,885135
Citigroup$24,980,998,56297
Deutsche Bank$17,970,400,77851
Wells Fargo$17,296,835,949136
UBS$16,756,803,33165
Royal Bank of Scotland$13,349,520,00025
Goldman Sachs$13,139,380,98737
Credit Suisse$10,394,957,62629
BNP Paribas$9,892,332,95016


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 Parentsort icon Primary Offense Type Year Agency Penalty Amount
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
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 Clearing Chicago LLC ABN AMRO securities issuance or trading violation 2013 CFTC $1,000,000
ABN AMRO Bank, N.V. ABN AMRO economic sanction violation 2006 OFAC $40,000,000
ABN AMRO Bank, Inc ABN AMRO economic sanction violation 2004 OFAC $25,847
ABN AMRO Mortgage Group ABN AMRO mortgage abuses 2006 HUD $41,000,000
ABN AMRO Bank, N.V. ABN AMRO investor protection violation 2013 SEC $5,547,408
ABN AMRO Clearing Chicago LLC ABN AMRO securities issuance or trading violation 2018 CFTC $160,000
ABN AMRO Incorporated ABN AMRO investor protection violation 2001 SEC $200,000
ABN AMRO ABN AMRO economic sanction violation 2005 NY-DFS $20,000,000
ACE Cash Express ACE Cash Express consumer protection violation 2014 CFPB $15,000,000
Ace Cash Express, Inc. ACE Cash Express wage and hour violation 2012 WHD $18,852
Ace Cash Express, Inc. ACE Cash Express wage and hour violation 2005 WHD $12,796
Ace America's Cash Express, Inc. ACE Cash Express wage and hour violation 2004 WHD $26,295
Ace America's Cash Express ACE Cash Express wage and hour violation 2004 CA-LCO $75,000
ACE Cash Express, Inc. ACE Cash Express payday lending violation 2002 CO-AG $1,300,000
Transamerica Financial Advisors Aegon investor protection violation 2014 SEC $1,107,248
Transamerica Life Insurance Company Aegon wage and hour violation 2015 WHD $70,143
AEGON USA Investment Management LLC et al. Aegon investor protection violation 2018 SEC $97,600,000
Transamerica Corporation Aegon benefit plan administrator violation 2016 private lawsuit-federal $3,800,000
Transamerica Financial Advisors, Inc. Aegon investor protection violation 2019 SEC $6,023,072
Transamerica Life Insurance Co. Aegon consumer protection violation 2013 MA-AG $1,330,000
Transamerica Premier Life Insurance Co. Aegon consumer protection violation 2018 MA-AG $19,647
Transamerica Insurance Co. Aegon consumer protection violation 2013 MULTI-AG $11,200,000
Transamerica Financial Life Insurance Company Aegon insurance violation 2018 NY-DFS $1,345,136
Transamerica Financial Life Insurance Company Aegon insurance violation 2013 NY-DFS $852,418
Aflac Inc. Aflac consumer protection violation 2017 MULTI-AG $350,000
Continental American Insurance Co. Aflac consumer protection violation 2010 MA-AG $25,000
COMMUNICORP INC. Aflac workplace safety or health violation 2011 OSHA $9,900
Agricultural Bank of China Agricultural Bank of China anti-money-laundering deficiencies 2016 NY-DFS $215,000,000
Fred Alger Management, Inc. Alger Associates securities issuance or trading violation 2007 SEC $40,000,000
FRED ALGER & COMPANY, INCORPORATED Alger Associates benefit plan administrator violation 2007 EBSA $50,001
FRED ALGER & COMPANY, INCORPORATED Alger Associates benefit plan administrator violation 2006 EBSA $10,001
Fred Alger Management, Inc. Alger Associates securities issuance or trading violation 2007 NY-AG (*) $45,000,000
Allianz SE Allianz Foreign Corrupt Practices Act 2012 SEC $12,396,423
Fireman's Fund Insurance Company Allianz False Claims Act and related 2015 DOJ_CIVIL $44,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz investor protection violation 2004 SEC $11,600,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz investor protection violation 2004 SEC $50,000,000
Allianz Asset Management of America, L.P. Allianz benefit plan administrator violation 2018 private lawsuit-federal $12,000,000
Allianz Dresdner Asset Management of America LP Allianz investor protection violation 2004 NJ-AG $18,000,000
Allianz Life Insurance Company of North America Allianz investor protection violation 2007 MN-AG $500,000
Allianz Life Insurance Company of North America Allianz consumer protection violation 2015 MULTI-AG $4,700,000
Allianz Life Insurance Company of North America Allianz consumer protection violation 2012 MULTI-AG $10,000,000
Allstate Insurance Company Allstate employment discrimination 2009 EEOC $4,500,000
Allstate Insurance Allstate wage and hour violation 2017 private lawsuit-state $2,000,000
Allstate Insurance Allstate wage and hour violation 2005 private lawsuit-state $120,000,000
Allstate Insurance Company Allstate wage and hour violation 2018 private lawsuit-state $5,500,000
Allstate Allstate consumer protection violation 2003 TX-AG $3,440,000
Allstate Company, Inc. Allstate wage and hour violation 2007 MA-AG $125,000
Allstate Insurance Co. Allstate privacy violation 2003 PA-AG $10,000
American Heritage Life Insurance Co. Allstate consumer protection violation 2007 TX-AG $1,700,000
Encompass Insurance Co. Allstate consumer protection violation 2015 MA-AG $25,000
Encompass Insurance Company of Massachusetts Allstate consumer protection violation 2012 MA-AG $1,972,635
Allstate Insurance Co. Allstate insurance violation 2016 CA-MULTI $600,000
ALLSTATE Allstate workplace safety or health violation 2002 OSHA $69,500
Ally Financial Inc. and Ally Bank Ally Financial consumer protection violation 2013 CFPB $98,000,000
Ally Financial Inc. Ally Financial banking violation 2012 FED $207,000,000
Ally Financial Inc. (formerly GMAC) Ally Financial mortgage abuses 2012 DOJ_CIVIL $309,600,000
Ally Financial Inc. Ally Financial toxic securities abuses 2016 USAO $52,000,000
GMAC Mortgage Ally Financial wage and hour violation 2014 private lawsuit-federal $2,000,000
Ally Financial Services Ally Financial wage and hour violation 2019 WHD $198,311
Ally Financial Ally Financial mortgage abuses 2012 MULTI-AG (*) $109,628,425
GMAC Bank Ally Financial consumer protection violation 2008 NY-AG $200,000
Nationwide Credit, Inc. Altisource Portfolio Solutions wage and hour violation 2005 WHD $68,433
Ambac Financial Group et al. Ambac Financial toxic securities abuses 2013 USAO $101,900,000
Ambac Financial Group, Inc. Ambac Financial benefit plan administrator violation 2012 private lawsuit-federal $2,550,000
American Express American Express consumer protection violation 2013 CFPB $69,100,000
American Express American Express consumer protection violation 2012 CFPB $99,100,000
American Express Centurion Bank American Express banking violation 2013 FDIC $3,600,000
American Express Centurion Bank American Express banking violation 2012 FDIC $3,900,000
American Express Bank, FSB American Express banking violation 2013 OCC $7,500,000
American Express Bank, FSB American Express banking violation 2012 OCC $6,500,000
AMERICAN EXPRESS COMPANY American Express banking violation 2012 FED $9,000,000
American Express Centurion Bank American Express banking violation 2009 FDIC $250,000
American Express Bank International American Express anti-money-laundering deficiencies 2007 DOJ_CRIMINAL $55,000,000
American Express Travel Related Services Co., Inc. American Express economic sanction violation 2007 OFAC $16,625
American Express American Express economic sanction violation 2004 OFAC $18,391
American Express Bank Ltd. American Express economic sanction violation 2004 OFAC $5,041
American Express Company American Express economic sanction violation 2004 OFAC $5,500
American Express Travel Related Services Comp American Express Family and Medical Leave Act 2004 WHD $26,722
American Express American Express consumer protection violation 2017 CFPB $96,000,000
American Express American Express economic sanction violation 2017 OFAC $204,277
American Express Centurion Bank American Express tax violations 2012 CT-AG $14,970
American Express Co. American Express consumer protection violation 2003 NY-AG $3,285,000
American Express Publishing Corporation American Express consumer protection violation 2000 MULTI-AG $200,000
American Express Travel Related Services Company, Inc. American Express economic sanction violation 2013 OFAC $5,226,120
American Express Publishing Corp. American Express consumer protection violation 2011 CA-MULTI $600,000
AMERICAN FAMILY INSURANCE American Family Insurance workplace safety or health violation 2012 OSHA $12,500
Brothers Property Corporation American Financial Group wage and hour violation 2006 WHD $29,273
Great American Insurance Co. American Financial Group consumer protection violation 2009 MA-AG $176,000
Great American Life American Financial Group consumer protection violation 2016 MULTI-AG $400,000
Great American Life Insurance Company American Financial Group consumer protection violation 2009 MN-AG $50,000,000
Great American Financial Resources, Inc. American Financial Group wage and hour violation 2019 private lawsuit-federal $1,250,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2006 DOJ_CRIMINAL $25,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2004 DOJ_CRIMINAL $80,000,000
American International Group, Inc. American International Group securities issuance or trading violation 2006 SEC $800,000,000
American International Group, Inc. American International Group investor protection violation 2004 SEC $46,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2003 SEC $10,000,000
AIG Federal Savings Bank and Wilmington Finance Inc. American International Group discriminatory practices 2010 DOJ_RIGHTS $6,100,000
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