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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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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
1st Financial Bank USA1st Financial Bank USAbanking violation2010FDIC$10,140,000
1ST FINANCIAL BANK USA1st Financial Bank USAbanking violation2009FDIC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $140,000
1st Financial Bank U.S.A.1st Financial Bank USAbanking violation2005WI-AG$43,142
Carolina Coastal Railway3i Infrastructure PLCrailroad safety violation2014FRA$5,250
Carolina Coastal Railway3i Infrastructure PLCrailroad safety violation2012FRA$5,000
East Penn Railroad3i Infrastructure PLCrailroad safety violation2010FRA$6,200
Florida Central Railroad3i Infrastructure PLCrailroad safety violation2013FRA$6,800
Indiana Eastern Railroad3i Infrastructure PLCrailroad safety violation2013FRA$5,300
Middletown & New Jersey Railroad3i Infrastructure PLCrailroad safety violation2013FRA$6,000
East Penn Railroad LLC3i Infrastructure PLCrailroad safety violation2017FRA$5,000
Carolina Coastal Railway, Inc.3i Infrastructure PLCrailroad safety violation2021FRA$8,000
Carolina Coastal Railway, Inc.3i Infrastructure PLCrailroad safety violation2021FRA$8,853
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V.ABN AMROeconomic sanction violation2010DOJ_CRIMINAL$500,000,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2013CFTC$1,000,000
ABN AMRO Bank, N.V.ABN AMROeconomic sanction violation2006OFAC$40,000,000
ABN AMRO Bank, IncABN AMROeconomic sanction violation2004OFAC$25,847
ABN AMRO Mortgage GroupABN AMROmortgage abuses2006HUD$41,000,000
ABN AMRO Bank, N.V.ABN AMROinvestor protection violation2013SEC$5,547,408
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2018CFTC$160,000
ABN AMRO IncorporatedABN AMROinvestor protection violation2001SEC$200,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2020SEC$586,000
ABN AMROABN AMROeconomic sanction violation2005NY-DFS$20,000,000
ABN AMRO IncorporatedABN AMROinvestor protection violation2005FINRA$220,000
Academy Mortgage CorporationAcademy Mortgage Corp.labor relations violation2018NLRB$6,061
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2017AK-DBS$6,500
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2011ID-FIN$155,000
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2014WA-FIN$17,760
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2021PA-BKG$232,200
Academy Mortgage CorporationAcademy Mortgage Corp.False Claims Act and related2022DOJ_CIVIL$38,500,000
ACE Cash ExpressACE Cash Expressconsumer protection violation2014CFPB$15,000,000
Ace Cash Express, Inc.ACE Cash Expresswage and hour violation2012WHD$18,852
Ace Cash Express, Inc.ACE Cash Expresswage and hour violation2005WHD$12,796
Ace America's Cash Express, Inc.ACE Cash Expresswage and hour violation2004WHD$26,295
Ace America's Cash ExpressACE Cash Expresswage and hour violation2004CA-LCO$75,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2002CO-AG$1,300,000
ACE Cash Express, Inc.ACE Cash Expresspayday lending violation2010CA-DFPI$118,400
ACE Cash Express, Inc.ACE Cash Expresspayday lending violation2015CA-DFPI$22,500
ACE Cash Express, Inc. dba ACE America's Cash ExpressACE Cash Expressconsumer protection violation2002FL-OFR$500,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2016FL-OFR$28,000
Ace Cash Express Inc.ACE Cash Expressconsumer protection violation2002MD-FIN$164,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2015MD-FIN$353,286
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2009NE-DBF$15,550
Ace Cash Express, Inc.,ACE Cash Expressconsumer protection violation2010NE-DBF$7,000
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$11,950
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$8,550
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$6,550
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$5,400
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$7,000
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$5,800
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2014NE-DBF$18,900
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2015NE-DBF$5,450
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2015NE-DBF$20,500
Ace Cash ExpressACE Cash Expressconsumer protection violation2009OH-BKG$7,050
ACE Cash Express Inc.ACE Cash Expressconsumer protection violation2017PA-BKG$80,000
ACE CASH EXPRESS, INC.ACE Cash Expressconsumer protection violation2010VA-FIN$150,000
ACE CASH EXPRESS, INC.ACE Cash Expressconsumer protection violation2016VA-FIN$45,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2016WA-FIN$76,421
Elephant Insurance Co.Admiral Groupinsurance violation2014MD-INS$5,000
Elephant Insurance Co.Admiral Groupinsurance violation2014MD-INS$5,000
Elephant Insurance Co.Admiral Groupinsurance violation2018MD-INS$75,000
Elephant Insurance CompanyAdmiral Groupinsurance violation2020TX-INS$80,000
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2012VA-INS$29,709
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2013VA-INS$6,154
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2018VA-INS$79,017
Elephant Insurance CompanyAdmiral Groupinsurance violation2019VA-INS$47,619
Transamerica Financial AdvisorsAegoninvestor protection violation2014SEC$1,107,248
Transamerica Life Insurance CompanyAegonwage and hour violation2015WHD$70,143
World Group Securities, Inc.Aegoninvestor protection violation2010SEC$200,000
AEGON USA Investment Management LLC et al.Aegoninvestor protection violation2018SEC$97,600,000
Transamerica CorporationAegonbenefit plan administrator violation2016private lawsuit-federal$3,800,000
Transamerica Financial Advisors, Inc.Aegoninvestor protection violation2019SEC$6,023,072
Transamerica Life Insurance Co.Aegoninsurance violation2013MA-AG$1,330,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2018MA-AG$19,647
Transamerica Insurance Co.Aegoninsurance violation2013MULTI-AG$11,200,000
World Group Securities, Inc.Aegoninvestor protection violation2010AZ-CC$853,501
Monumental Life Insurance Co.Aegoninsurance violation2015AZ-DIFI$57,000
Transamerica Life Insurance Co.Aegoninsurance violation2012CO-INS$6,270
Life Investors Insurance Company of AmericaAegoninsurance violation2004FL-OFR$11,000
Life Investors Insurance Company of AmericaAegoninsurance violation2006FL-OFR$53,000
World Group Securities, Inc.Aegoninvestor protection violation2004ID-SEC$15,000
Transamerica Life Insurance Co.Aegoninsurance violation2017ID-INS$5,000
Monumental Life Insurance Co.Aegoninsurance violation2011MD-INS$9,000
Transamerica Life Insurance Co.Aegoninsurance violation2011MD-INS$5,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2015MD-INS$11,800
Transamerica Life Insurance Co.Aegoninsurance violation2015MD-INS$16,300
Transamerica Life Insurance Co.Aegoninsurance violation2017MD-INS$8,300
Transamerica Life Insurance CompanyAegoninsurance violation2019MD-INS$184,000
Transamerica Life Insurance Co. et al.Aegoninsurance violation2012MN-FIN$50,000
Transamerica Life Insurance Co. et al.Aegoninsurance violation2014MN-FIN$2,500,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2015MN-FIN$5,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2018MN-FIN$40,000
Transamerica Life Insurance Co. and Transamerica Premier Life Insurance Co.Aegoninsurance violation2019MN-FIN$100,000
World Group Securities, Inc.Aegoninvestor protection violation2006MO-SEC$228,600
Monumental Life Insurance Co.Aegoninsurance violation2009MO-INS$26,001
Transamerica Life Insurance Co.Aegoninsurance violation2019MO-INS$6,000
Transamerica Life Insurance Co.Aegoninsurance violation2019MO-INS$5,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2019MO-INS$5,000
Transamerica Life Insurance Co.Aegoninsurance violation2019MO-INS$26,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2019MO-INS$36,000
Monumental Life Insurance Co.Aegoninsurance violation2003MS-INS$24,351
Monumental Life Insurance CompanyAegoninsurance violation2008NJ-DBI$250,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.