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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
Fifth Third BancorpFifth Third Bancorpconsumer protection violation2015private lawsuit-federal$1,801,384
Fifth Third BankFifth Third Bancorpconsumer protection violation2021private lawsuit-federal$5,200,000
Fifth Third BankFifth Third Bancorpconsumer protection violation2011private lawsuit-federal$9,500,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2023SEC$709,971
Fifth Third Securities Inc.Fifth Third Bancorpinvestor protection violation2023SEC$8,000,000
Fifth Third BankFifth Third Bancorpwage and hour violation2014MI-LEO$5,535
Fifth Third Financial CorporationFifth Third Bancorpwage and hour violation2014MI-LEO$5,535
FIFTH THIRD SECURITIES INCFifth Third Bancorpwage and hour violation2021IL-DOL$12,000
FIFTH THIRD BANK, NATIONAL ASSOCIATIONFifth Third Bancorpworkplace safety or health violation2023OSHA$8,500
Scott Danahy Naylon Co. Inc.Financial Institutions Inc.wage and hour violation2005WHD$5,495
Five Star BankFinancial Institutions Inc.discriminatory practices (non-employment)2015NY-AG$150,000
First American Title Insurance CompanyFirst American Financialkickbacks and bribery2007HUD$5,000,000
First American Title Insurance CompanyFirst American Financialkickbacks and bribery2005HUD$680,000
The First American Title CompanyFirst American Financialwage and hour violation2006WHD$72,363
The First American Title Insurance, Co.First American Financialwage and hour violation2005WHD$24,067
First American Title Insurance CompanyFirst American Financialconsumer protection violation2002CA-AG$7,000,000
First American Title Insurance Co.First American Financialinsurance violation2013CO-INS$177,500
First American Title Insurance Co.First American Financialinsurance violation2019DE-INS$36,000
First American TitleFirst American Financialinsurance violation2014IN-INS$12,500
First American Title Insurance Co.First American Financialinsurance violation2011MD-INS$15,000
First American Title Insurance Co.First American Financialinsurance violation2020MD-INS$52,000
First American Title Insurance Co.First American Financialinsurance violation2007MN-FIN$500,000
First American Title Insurance Co.First American Financialinsurance violation2010MN-FIN$21,750
First American Title Insurance Co.First American Financialinsurance violation2007MO-INS$150,344
First American Title Insurance Co.First American Financialinsurance violation2012MO-INS$34,500
First American Title Insurance Co.First American Financialinsurance violation2012MO-INS$165,000
First American Title Insurance Company of OregonFirst American Financialinsurance violation2008OR-FIN$6,000
First American Title Insurance CompanyFirst American Financialinsurance violation2009OR-FIN$61,000
First American Title Insurance Company of OregonFirst American Financialinsurance violation2009OR-FIN$18,000
First American Title Insurance Company:First American Financialinsurance violation2014UT-INS$73,000
First American Title Insurance CompanyFirst American Financialinsurance violation2016UT-INS$6,500
First American Title insurance Co.First American Financialinsurance violation2020CT-INS$40,000
First American Title Co.First American Financialinsurance violation2021CA-INS$50,000
First American Title Co.First American Financialinsurance violation2021CA-INS$1,185,000
First American Title Co.First American Financialinsurance violation2021CA-INS$55,000
First American Financial CorporationFirst American Financialprivacy violation2021SEC$487,616
First American Title Insurance Company of LouisianaFirst American Financialinsurance violation2021LA-INS$5,000
First American TitleFirst American Financialenvironmental violation2006CA-SCAQMD$38,211
First American Financial Corp.First American Financialenvironmental violation2002CA-SCAQMD$6,500
First American Financial CorporationFirst American Financialprice-fixing or anti-competitive practices2023NY-AG$4,500,000
First American Title Insurance CompanyFirst American Financialprivacy violation2023NY-DFS$1,000,000
First BancorpFirst Bancorp (North Carolina)accounting fraud or deficiencies2015SEC$275,000
FIRST BANKFirst Bancorp (North Carolina)banking violation2004FDIC$12,000
FIRST BANKFirst Bancorp (North Carolina)banking violation2004FDIC$12,000
First BanCorpFirst Bancorp (Puerto Rico)accounting fraud or deficiencies2007SEC$8,500,000
FirstBank Puerto RicoFirst Bancorp (Puerto Rico)banking violation2019FDIC$17,700
BUSEY BANKFirst Busey Corp.banking violation2006FDIC$5,200
BUSEY BANKFirst Busey Corp.banking violation2010FDIC$7,445
Mutual of Omaha BankFirst Citizens BancSharesbanking violation2013OCC$51,765
CIT Group Inc.First Citizens BancSharesexport control violation2005BIS$74,800
CIT Group Inc.First Citizens BancSharesmortgage abuses2018FED$5,200,000
CIT Group, Inc., and CIT Bank, N.A., dba OneWest BankFirst Citizens BancSharesdiscriminatory practices (non-employment)2019HUD$7,300,000
CIT Group/Equipment Financing, Inc.First Citizens BancSharesconsumer protection violation2005MULTI-AG$10,000,000
CIT Technology Financing Services, Inc.First Citizens BancSharesconsumer protection violation2005NJ-AG$4,360,000
CIT Technology Financing Services, Inc.First Citizens BancSharesconsumer protection violation2004NY-AG$4,200,000
Student Loan Xpress, Inc.First Citizens BancSharesconsumer protection violation2009MULTI-AG$112,825,000
Student Loan Xpress, Inc.First Citizens BancSharesconsumer protection violation2010KY-AG$3,600,000
Student Loan Xpress, Inc.First Citizens BancSharesconsumer protection violation2007NY-AG$3,000,000
Mutual of Omaha BankFirst Citizens BancSharesbanking violation2019OCC$98,415
CIT GroupFirst Citizens BancSharesconsumer protection violation2009NE-DBF$52,000
CIT Bank, National AssociationFirst Citizens BancSharesbanking violation2020OCC$82,500
First Financial Bank, National AssociationFirst Financial Bancorp.banking violation2015OCC$11,700
FIRST FINANCIAL BANCORPFirst Financial Bancorp.benefit plan administrator violation2007EBSA$50,001
MAINSOURCE BANKFirst Financial Bancorp.banking violation2010FDIC$22,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2017CA-DFPI$500,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2015KY-FIN$25,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2016MI-FIN$146,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2016TX-FIN$23,608
First Tennessee Bank N.A.First Horizon NationalFalse Claims Act and related2015DOJ_CIVIL$212,500,000
First Horizon National CorporationFirst Horizon Nationaltoxic securities abuses2014FHFA$110,000,000
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2009OCC$100,000
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2007OCC$125,000
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2005OCC$180,000
First Tennessee BankFirst Horizon Nationaldiscriminatory practices (non-employment)2016HUD$1,900,000
First Horizon National CorporationFirst Horizon Nationalwage and hour violation2004WHD$9,344
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2017OCC$1,000,000
IBERIABANKFirst Horizon NationalFalse Claims Act and related2017DOJ_CIVIL$11,692,149
First Horizon National CorporationFirst Horizon Nationalbenefit plan administrator violation2012private lawsuit-federal$6,000,000
IberiaBank Mortgage Co.First Horizon Nationalconsumer protection violation2016AR-SEC$50,000
Iberiabank CorpFirst Horizon Nationalenvironmental violation2017LA-ENV$14,213
First Tennessee Bank NAFirst Horizon Nationalprice-fixing or anti-competitive practices2020private lawsuit-federal$14,500,000
IBERIABANK CorporationFirst Horizon Nationalconsumer protection violation2012private lawsuit-federal$2,500,000
Great Western BankFirst Interstate Bancsystembanking violation2013FDIC$40,810
BANK OF THE CASCADESFirst Interstate Bancsystembanking violation2008FDIC$43,550
First Interstate BankFirst Interstate Bancsystembanking violation2005FED$15,750
Great Western BankFirst Interstate Bancsystemconsumer protection violation2013private lawsuit-federal$2,200,000
First National Bank of OmahaFirst National of Nebraskaconsumer protection violation2016CFPB$32,250,000
First National Bank of OmahaFirst National of Nebraskabanking violation2009OCC$100,000
First National Bank of OmahaFirst National of Nebraskabanking violation2006OCC$25,000
First National Bank of OmahaFirst National of Nebraskabanking violation2005OCC$20,000
First National Bank of OmahaFirst National of Nebraskabanking violation2016OCC$3,000,000
Cash America International Inc.FirstCashpayday lending violation2013CFPB$19,000,000
Cash America Advance, Inc.FirstCashpayday lending violation2019CA-DFPI$10,000
Cash America International, Inc.FirstCashconsumer protection violation2015KY-FIN$116,998
Cash America West, Inc. and First Cash, Inc.FirstCashwage and hour violation2022WA-SOLS$383,873
GEORGIA CASH AMERICA, INC.FirstCashworkplace safety or health violation2015OSHA$10,920
CASH AMERICAFirstCashworkplace safety or health violation2016OSHA$8,500
Western Asset Management CompanyFranklin Resourcesinvestor protection violation2014SEC$19,400,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc.Franklin Resourcesinvestor protection violation2004SEC$20,000,000
Franklin Advisers, Inc.Franklin Resourcesinvestor protection violation2004SEC$50,000,000
Putnam Investment Management LLCFranklin Resourcesinvestor protection violation2004SEC$55,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.