Violation Tracker

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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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 Companies	Total Penalty $	Number of Records
Bank of America	$87,286,650,890	328
JPMorgan Chase	$39,688,888,209	277
UBS	$31,069,299,125	179
Wells Fargo	$27,616,269,231	266
Citigroup	$26,945,611,792	181
Deutsche Bank	$20,011,467,563	99
Goldman Sachs	$17,729,358,987	111
NatWest Group PLC	$14,370,701,618	43
Morgan Stanley	$10,780,502,443	203
BNP Paribas	$10,363,464,666	23

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	Current Parent	Primary Offense Type	Year	Agency	Penalty Amount
Western Sky Financial, LLC et al.	CashCall Inc.	consumer protection violation	2014	CO-AG	$565,000
Western Sky Financial, LLC, CashCall, Inc.	CashCall Inc.	consumer protection violation	2017	GA-AG	$42,000,000
Western Sky Financial, LLC, WS Funding, LLC, CashCall, Inc., Delbert Services Corp.	CashCall Inc.	consumer protection violation	2015	MA-AG	$259,115
CashCall, Inc.	CashCall Inc.	payday lending violation	2017	AZ-DIFI	$250,000
CashCall, Inc.	CashCall Inc.	payday lending violation	2015	CA-DFPI	$1,000,000
CashCall, Inc. and Western Sky Financial L.L.C.	CashCall Inc.	payday lending violation	2014	CT-BKG	$400,000
CashCall, Inc., Western Sky Financial, LLC, WS Funding, LLC	CashCall Inc.	payday lending violation	2016	FL-OFR	$500,000
CashCall, Inc. and Western Sky Financial, LLC et al.	CashCall Inc.	payday lending violation	2014	MD-FIN	$100,018
Western Sky Financial, LLC and CashCall, Inc.	CashCall Inc.	consumer protection violation	2015	MI-FIN	$2,200,000
Western Sky Financial LLC et al.	CashCall Inc.	consumer protection violation	2016	NC-BKG	$9,275,000
CashCall, Inc.	CashCall Inc.	consumer protection violation	2019	NH-BKG	$188,880
CashCall Inc. and WS Funding LLC	CashCall Inc.	consumer protection violation	2019	NH-BKG	$188,800
Western Sky Financial, LLC et al.	CashCall Inc.	consumer protection violation	2013	NV-BKG	$50,000
CashCall, Inc.	CashCall Inc.	consumer protection violation	2017	OK-DCC	$1,000,000
Western Sky Financial, LLC	CashCall Inc.	consumer protection violation	2012	OR-FIN	$17,500
CashCall Inc. et al.	CashCall Inc.	consumer protection violation	2014	PA-BKG	$1,000,000
CashCall Inc.	CashCall Inc.	consumer protection violation	2017	SC-FIN	$9,650,000
Cash Call Inc. and Western Sky Financial LLC	CashCall Inc.	consumer protection violation	2015	WA-FIN	$2,000,000
CashCall, Inc.	CashCall Inc.	consumer protection violation	2014	WA-FIN	$6,390,670
CashCall, Inc. and WS Funding LLC	CashCall Inc.	consumer protection violation	2022	AZ-AG	$4,800,000
CashCall Inc. and Delbert Service Corporation	CashCall Inc.	consumer protection violation	2017	private lawsuit-federal	$14,435,000
CATHAY BANK	Cathay General Bancorp	banking violation	2008	FDIC	$55,500
CATHAY BANK	Cathay General Bancorp	banking violation	2011	FDIC	$17,710
Chicago Board Options Exchange	CBOE Holdings	investor protection violation	2013	SEC	$6,000,000
Chicago Board Options Exchange	CBOE Holdings	price-fixing or anti-competitive practices	2006	private lawsuit-federal	$2,468,410
TD Ameritrade Inc.	Charles Schwab Corp.	investor protection violation	2011	SEC	$10,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.	Charles Schwab Corp.	investor protection violation	2011	SEC	$118,000,000
Charles Schwab & Co.	Charles Schwab Corp.	investor protection violation	2014	SEC	$61,800
TD Ameritrade	Charles Schwab Corp.	investor protection violation	2014	SEC	$100,800
Scottrade	Charles Schwab Corp.	data submission deficiencies	2014	SEC	$2,500,000
Scottrade, Inc.	Charles Schwab Corp.	investor protection violation	2008	SEC	$950,000
Charles Schwab & Co., Inc.	Charles Schwab Corp.	investor protection violation	2004	SEC	$350,000
Charles Schwab Bank	Charles Schwab Corp.	discriminatory practices (non-employment)	2011	HUD	$30,000
Charles Schwab	Charles Schwab Corp.	wage and hour violation	2014	private lawsuit-federal	$3,800,000
TD Ameritrade	Charles Schwab Corp.	wage and hour violation	2009	private lawsuit-federal	$2,500,000
Charles Schwab & Co., Inc.	Charles Schwab Corp.	investor protection violation	2018	SEC	$2,800,000
TD Ameritrade, Inc.	Charles Schwab Corp.	investor protection violation	2018	SEC	$500,000
TD Ameritrade, Inc.	Charles Schwab Corp.	investor protection violation	2009	MULTI-AG	$456,000,000
TD Ameritrade, Inc.	Charles Schwab Corp.	investor protection violation	2015	MA-AG	$160,000
Charles Schwab & Co., Inc.	Charles Schwab Corp.	investor protection violation	2011	CT-SEC	$2,800,000
Ameritrade, Inc.	Charles Schwab Corp.	investor protection violation	2009	DE-SEC	$40,000
Charles Schwab & Co., Inc. et al.	Charles Schwab Corp.	investor protection violation	2011	IL-SEC	$8,567,364
Ameritrade Inc.	Charles Schwab Corp.	investor protection violation	2007	TX-SEC	$200,000
TD Ameritrade Inc.	Charles Schwab Corp.	investor protection violation	2015	TX-SEC	$400,000
Scottrade Inc.	Charles Schwab Corp.	investor protection violation	2016	TX-SEC	$100,000
Charles Schwab & Co. Inc.	Charles Schwab Corp.	investor protection violation	2016	TX-SEC	$125,000
Scottrade, Inc.	Charles Schwab Corp.	investor protection violation	2015	FINRA	$2,600,000
Charles Schwab & Co.	Charles Schwab Corp.	investor protection violation	2015	FINRA	$2,000,000
Scottrade, Inc.	Charles Schwab Corp.	investor protection violation	2015	FINRA	$300,000
Charles Schwab & Co., Inc.	Charles Schwab Corp.	investor protection violation	2014	FINRA	$500,000
TD Ameritrade Clearing, Inc.	Charles Schwab Corp.	investor protection violation	2013	FINRA	$1,150,000
Charles Schwab & Company	Charles Schwab Corp.	investor protection violation	2013	FINRA	$500,000
Charles Schwab & Company, Inc.	Charles Schwab Corp.	investor protection violation	2011	FINRA	$18,000,000
Scottrade, Inc.	Charles Schwab Corp.	investor protection violation	2010	FINRA	$200,000
Scottrade	Charles Schwab Corp.	anti-money-laundering deficiencies	2009	FINRA	$600,000
Scottrade, Inc.	Charles Schwab Corp.	investor protection violation	2005	FINRA	$250,000
Scottrade, Inc.	Charles Schwab Corp.	investor protection violation	2004	FINRA	$16,000
Charles Schwab & Co, Inc.	Charles Schwab Corp.	investor protection violation	2004	FINRA	$60,869
Ameritrade, Inc.	Charles Schwab Corp.	investor protection violation	2004	FINRA	$10,000,000
Charles Schwab & Co., Inc. et al.	Charles Schwab Corp.	investor protection violation	2022	SEC	$187,000,000
TD Ameritrade, Inc.	Charles Schwab Corp.	consumer protection violation	2022	TX-FIN	$81,750
Charles Schwab Corp.	Charles Schwab Corp.	consumer protection violation	2011	private lawsuit-federal	$235,000,000
TD Ameritrade Holdings Corp.	Charles Schwab Corp.	consumer protection violation	2022	private lawsuit-federal	$2,325,000
R.R. Donnelley & Sons	Chatham Asset Management	employment discrimination	2002	EEOC	$150,000
Piccari Press, Inc.	Chatham Asset Management	labor relations violation	2003	NLRB	$10,000
RR Donnelly & Sons Company	Chatham Asset Management	wage and hour violation	2016	WHD	$104,981
R.R. Donnelley & Sons	Chatham Asset Management	employment discrimination	2003	private lawsuit-federal	$15,000,000
Spencer Press of Maine	Chatham Asset Management	employment discrimination	2004	private lawsuit-federal	$480,552
R.R. Donnelley & Sons	Chatham Asset Management	employment discrimination	2004	private lawsuit-federal	$15,000,000
RR Donnelley	Chatham Asset Management	wage and hour violation	2020	IL-DOL	$30,000
RR DONNELLEY	Chatham Asset Management	environmental violation	2002	PA-ENV	$5,000
Pro Line Printing, Inc.	Chatham Asset Management	environmental violation	2004	CT-ENV	$11,125
R.R. Donnelley & Sons Company	Chatham Asset Management	environmental violation	2002	CT-ENV	$25,500
RR DONNELLEY & SONS	Chatham Asset Management	air pollution violation	2013	IL-ENV	$5,000
RR DONNELLEY & SONS CO	Chatham Asset Management	hazardous waste violation	2006	IN-ENV	$9,563
RR DONNELLEY & SONS CO	Chatham Asset Management	hazardous waste violation	2001	IN-ENV	$15,800
RR DONNELLEY & SONS CO	Chatham Asset Management	hazardous waste violation	2001	IN-ENV	$9,200
THE HENNEGAN CO	Chatham Asset Management	environmental violation	2016	KY-ENV	$5,000
THE HENNEGAN COMPANY	Chatham Asset Management	air pollution violation	2004	KY-ENV	$70,000
Courier Printing Company	Chatham Asset Management	environmental violation	2016	TN-ENV	$8,555
R. R. Donnelley & Sons Company	Chatham Asset Management	environmental violation	2016	TX-ENV	$10,051
R. R. Donnelley & Sons Co	Chatham Asset Management	air pollution violation	2017	CA-SCAQMD	$27,500
R. R. Donnelley & Sons Co.	Chatham Asset Management	air pollution violation	2013	CA-SCAQMD	$7,500
Chatham Asset Management LLC	Chatham Asset Management	investor protection violation	2023	SEC	$18,800,000
The McClatchy Company	Chatham Asset Management	labor relations violation	2022	NLRB	$15,482
RR Donnelley	Chatham Asset Management	wage and hour violation	2021	IL-DOL	$174,720
RR Donnelley	Chatham Asset Management	wage and hour violation	2021	IL-DOL	$174,600
R.R. DONNELLEY & SONS COMPANY	Chatham Asset Management	workplace safety or health violation	2002	OSHA	$55,000
R.R. DONNELLEY	Chatham Asset Management	workplace safety or health violation	2004	OSHA	$5,000
RR DONNELLEY & SONS COMPANY	Chatham Asset Management	workplace safety or health violation	2001	OSHA	$5,000
GARNER PRINTING	Chatham Asset Management	workplace safety or health violation	2001	OSHA	$6,000
SPENCER PRESS OF MAINE, INC.	Chatham Asset Management	workplace safety or health violation	2001	OSHA	$10,500
SPENCER PRESS OF MAINE INC.	Chatham Asset Management	workplace safety or health violation	2005	OSHA	$35,000
RR DONNELLEY	Chatham Asset Management	workplace safety or health violation	2006	OSHA	$11,000
BOWNE & COMPANY, INC.	Chatham Asset Management	workplace safety or health violation	2006	OSHA	$5,250
PRO LINE PRINTING, INC.	Chatham Asset Management	workplace safety or health violation	2007	OSHA	$5,000
R.R. DONNELLEY & SONS COMPANY	Chatham Asset Management	workplace safety or health violation	2007	OSHA	$5,100
R R DONNELLEY	Chatham Asset Management	workplace safety or health violation	2009	OSHA	$7,500
RR DONNELLEY INC	Chatham Asset Management	workplace safety or health violation	2012	OSHA	$7,750
R.R. DONNELLEY & SONS COMPANY	Chatham Asset Management	workplace safety or health violation	2010	OSHA	$12,600
R.R. DONNELLEY	Chatham Asset Management	workplace safety or health violation	2010	OSHA	$11,600