Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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)
Company Parentsort icon Primary Offense Type Year Agency Penalty Amount
UBS Financial Services, Inc. UBS investor protection violation 2013 DE-AG $70,077
UBS Financial Services, Inc. UBS investor protection violation 2007 NY-AG $23,300,000
UBS Financial Services, Inc. and UBS Securities LLC UBS toxic securities abuses 2008 MA-AG $35,000,000
UBS Securities LLC UBS toxic securities abuses 2018 NY-AG $230,000,000
UBS Securities LLC UBS toxic securities abuses 2016 VA-AG $850,000
UBS Securities LLC and UBS Financial Services, Inc UBS investor protection violation 2011 NJ-AG $3,790,487
UBS Securities LLC and UBS Financial Services, Inc. UBS investor protection violation 2008 MULTI-AG $11,150,000,000
UBS Warburg LLC UBS investor protection violation 2002 MULTI-AG (*) $80,000,000
UBS AG UBS price-fixing or anti-competitive practices 2016 WV-AG $325,000
UBS Securities LLC UBS investor protection violation 2010 AK-DBS $733,465
UBS Financial Services, Inc. UBS investor protection violation 2013 AK-DBS $64,661
UBS Financial Services Inc. UBS investor protection violation 2007 CT-SEC $5,500,000
UBS Financial Services UBS investor protection violation 2011 IN-SEC $677,000
UBS Financial Services, Inc. UBS investor protection violation 2007 MO-SEC $697,210
UBS Financial Services, Inc. UBS investor protection violation 2009 MO-SEC $170,175
UBS Financial Services, Inc. UBS investor protection violation 2006 MT-SEC $4,503,166
UBS Financial Services Inc. UBS investor protection violation 2011 NH-BSR $1,000,000
UBS Financial Services Inc. UBS investor protection violation 2012 NH-BSR $72,500
UBS Securities LLC UBS investor protection violation 2010 TX-SEC $6,640,432
UBS FINANCIAL SERVICES, INC. UBS investor protection violation 2007 VA-SEC $100,000
UBS FINANCIAL SERVICES, INC. UBS investor protection violation 2010 VA-SEC $625,000
UBS Financial Services Inc. UBS investor protection violation 2019 VA-SEC $288,970
UBS Financial Services Inc. UBS investor protection violation 2014 VT-FIN $325,000
UBS Financial Services Inc. UBS investor protection violation 2013 MULTI-FIN $4,600,000
UBS Securities LLC and UBS Financial Services Inc. UBS investor protection violation 2008 MULTI-FIN (*) $150,000,000
UBS Warburg and UBS PaineWebber UBS investor protection violation 2003 MULTI-FIN (*) $25,000,000
UBS Financial Services Inc. UBS investor protection violation 2020 SEC $10,000,000
UBS AG UBS environmental violation 2011 CT-ENV $80,000
UBS Financial Services Inc. UBS investor protection violation 2019 FINRA $2,000,000
UBS Financial Services Inc. and UBS Securities LLC UBS anti-money-laundering deficiencies 2018 FINRA $5,000,000
UBS Financial Services Incorporated of Puerto Rico UBS investor protection violation 2015 FINRA $18,500,000
UBS Financial Services UBS investor protection violation 2012 FINRA $2,354,584
UBS Securities LLC UBS investor protection violation 2011 FINRA $12,000,000
UBS Financial Services, Inc. UBS investor protection violation 2011 FINRA $10,750,000
UBS Securities UBS investor protection violation 2009 FINRA $268,000
UBS Financial Services, Inc. UBS investor protection violation 2009 FINRA $100,000
UBS Financial Services, Inc. UBS investor protection violation 2008 FINRA $1,000,000
UBS Securities, LLC UBS investor protection violation 2008 FINRA $200,000
UBS Financial Services, Inc. UBS investor protection violation 2007 FINRA $370,000
UBS International Inc. UBS investor protection violation 2005 FINRA $10,000
UBS Securities, L.L.C. UBS investor protection violation 2004 FINRA $10,000
UBS Financial Services Inc. UBS investor protection violation 2004 FINRA $200,666
UMB Bank, NA UMB Financial Corp. banking violation 2017 OCC $1,500,000
UMB Bank N.A. Investment Banking Division UMB Financial Corp. investor protection violation 2015 SEC $420,000
UMPQUA BANK Umpqua Holdings banking violation 2008 FDIC $90,240
Umpqua Bank Umpqua Holdings wage and hour violation 2015 WA-DLI $15,350
Sterling Financial Corporation Umpqua Holdings benefit plan administrator violation 2013 private lawsuit-federal $3,025,000
Umpqua Bank Umpqua Holdings employment screening violation 2019 private lawsuit-federal $325,000
UniCredit Group UniCredit economic sanction violation 2019 DOJ_CRIMINAL $413,536,632
UniCredit, S.p.A. UniCredit banking violation 2019 FED $158,000,000
UniCredit Bank AG UniCredit economic sanction violation 2019 OFAC (*) $553,380,759
UniCredit Bank Austria AG UniCredit economic sanction violation 2019 OFAC (*) $20,326,340
UniCredit S.p.A. UniCredit economic sanction violation 2019 OFAC (*) $37,316,322
UniCredit Bank AG UniCredit economic sanction violation 2019 NY-MANDA $316,000,000
UniCredit Bank Austria AG UniCredit economic sanction violation 2019 NY-MANDA $20,000,000
UniCredit Group UniCredit economic sanction violation 2019 NY-DFS $405,000,000
Union Bancaire Privee Union Bancaire Privee tax violations 2016 DOJ_TAX $187,000,000
Union Bancaire Privee, UBP SA Union Bancaire Privee tax violations 2020 DOJ_TAX $14,000,000
Bank of Hampton Roads Union Bankshares Corp. banking violation 2011 FED $33,600
Hampton Roads Bankshares Union Bankshares Corp. accounting fraud or deficiencies 2014 SEC $200,000
Union Savings Bank and Guardian Savings Bank Union Savings Bank discriminatory practices (non-employment) 2016 DOJ_RIGHTS $9,000,000
United Community Banks, Inc. United Community Banks Inc. benefit plan administrator violation 2013 private lawsuit-federal $3,500,000
Universal Property & Casualty Insurance Co. Universal Insurance Holdings insurance violation 2004 FL-OFR $47,500
Universal Property & Casualty Insurance Co. Universal Insurance Holdings insurance violation 2009 FL-OFR $99,000
Universal Property & Casualty Insurance Co. Universal Insurance Holdings insurance violation 2013 FL-OFR $1,260,000
Univest Corporation of Pennsylvania Univest Financial Family and Medical Leave Act 2016 WHD $5,076
UNUM Unum wage and hour violation 2011 WA-DLI $15,070
UNUM Life Insurance Company of America Unum benefit plan administrator violation 2010 private lawsuit-federal $5,000,000
Unum Life Insurance Co. Unum False Claims Act and related 2005 MA-AG $650,000
UnumProvident Corporation Unum consumer protection violation 2006 NY-AG $17,400,000
UnumProvident Corporation Unum consumer protection violation 2004 MULTI-AG $15,000,000
Unum Group Unum kickbacks and bribery 2008 USAO $5,550,000
Unum Insurance Co. Unum kickbacks and bribery 2008 CA-MULTI $250,000
Unum Life Insurance Company of America et al. Unum insurance violation 2005 CA-INS $8,598,503
UnumProvident Corp. et al. Unum insurance violation 2006 CA-INS $700,000
Unum Life Insurance Company of America Unum insurance violation 2014 CA-INS $25,000
Unum Life Insurance Company of America Unum insurance violation 2012 MD-INS $19,000
Unum Life Insurance Company of America Unum insurance violation 2015 MD-INS $35,000
Provident Life and Accident Insurance Co. Unum insurance violation 2000 NC-INS $80,000
UNUM LIFE INSURANCE COMPANY Unum insurance violation 2003 VA-INS $14,000
Unum Life Insurance Company Of America Unum insurance violation 2010 WA-INS $7,000
Unum Life Insurance Company Of America Unum insurance violation 2011 WA-INS $75,000
Unum Life Insurance Company Of America Unum insurance violation 2018 WA-INS $7,000
UNUM GROUP CORPORATION Unum workplace safety or health violation 2011 OSHA $5,400
USAA Insurance USAA labor relations violation 2005 NLRB $125,361
USAA USAA wage and hour violation 2008 private lawsuit-federal $738,423
USAA Federal Savings Bank USAA consumer protection violation 2019 CFPB $15,500,000
United Services Automobile Association USAA discriminatory practices (non-employment) 2014 MA-AG $50,000
United Services Automobile Association USAA consumer protection violation 2010 MA-AG $25,000
United Services Automobile Association USAA consumer protection violation 2010 MA-AG $2,300,000
USAA Federal Savings Bank USAA consumer protection violation 2003 NY-AG $33,500
United Services Automobile Association et al. USAA insurance violation 2016 DE-INS $34,000
United Service Automobile Association et al. USAA insurance violation 2019 DE-INS $32,500
USAA Life Insurance Co. USAA insurance violation 2007 FL-OFR $22,500
USAA Life Insurance Co. USAA insurance violation 2009 FL-OFR $50,000
United Services Automobile Association USAA insurance violation 2001 KS-INS $5,000
USAA Life Insurance Co. USAA insurance violation 2014 MD-INS $9,000
USAA Casualty Insurance Co. et al. USAA insurance violation 2014 MD-INS $5,000
USAA Casualty Insurance Co. USAA insurance violation 2014 MN-FIN $5,000
USAA Casualty Insurance Co. USAA insurance violation 2015 MN-FIN $50,000
United Services Automobile Association et al. USAA insurance violation 2007 MO-INS $6,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)