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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
Shoko Chukin Bank LtdShoko Chukin Bankprice-fixing or anti-competitive practices2019private lawsuit-federal$6,350,000
Simmons First National BankSimmons First National Corp.employment discrimination2010OFCCP$360,187
Sallie Mae BankSLM Corp.banking violation2014FDIC$93,300,000
Sallie Mae Inc.SLM Corp.consumer protection violation2014DOJ_RIGHTS$60,000,000
Sallie MaeSLM Corp.consumer protection violation2007NY-AG$2,000,000
Sallie Mae Inc.SLM Corp.consumer protection violation2013private lawsuit-federal$76,000,000
Societe GeneraleSociete Generaletoxic securities abuses2014FHFA$122,000,000
Societe Generale Private Banking (Suisse) SASociete Generaletax violations2015DOJ_TAX$17,807,000
Societe Generale Private Banking (Lugano-Svizzera)Societe Generaletax violations2015DOJ_TAX$1,363,000
Societe GeneraleSociete Generaleeconomic sanction violation2003OFAC$6,600
Societe GeneraleSociete Generaleeconomic sanction violation2003OFAC$11,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2016CFTC$750,000
Societe GeneraleSociete Generaledata submission deficiencies2016CFTC$450,000
Societe Generale S.A.Societe Generaletoxic securities abuses2017USAO$50,000,000
SG Americas Securities LLCSociete Generaleinvestor protection violation2015SEC$1,011,093
Societe Generale S.A.Societe Generaleprice-fixing or anti-competitive practices2018CFTC$475,000,000
Societe Generale S.A.Societe GeneraleForeign Corrupt Practices Act2018DOJ_CRIMINAL$860,000,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2009SEC$8,384,932
Societe Generale S.A.Societe Generaleeconomic sanction violation2018FED$81,300,000
Societe Generale S.A.Societe Generaleeconomic sanction violation2018USAO$717,200,000
Societe Generale S.A.Societe Generaleeconomic sanction violation2018OFAC$53,966,916
SG Americas Securities LLC (Societe Generale)Societe Generaleinvestor protection violation2018SEC$800,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2016MULTI-AG$26,750,000
Societe Generale International LimitedSociete Generaleinvestor protection violation2019CFTC$2,500,000
Societe GeneraleSociete Generaleeconomic sanction violation2011OFAC$111,259
Societe GeneraleSociete Generaleeconomic sanction violation2018NY-MANDA$162,800,000
Societe Generale Financial CorporationSociete Generalebanking violation2020CA-DFPI$10,250
Societe Generale SASociete Generaleeconomic sanction violation2018NY-DFS$420,000,000
SG Americas Securities LLCSociete Generaleinvestor protection violation2020SEC$1,550,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2020FINRA$1,550,000
SG Americas Securities, Inc.Societe Generaleinvestor protection violation2013FINRA$675,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2005FINRA$4,478,000
Societe Generale S.A.Societe Generaleinvestor protection violation2021CFTC$1,500,000
SG Americas Securities LLCSociete Generaleprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2020private lawsuit-federal$5,125,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2018private lawsuit-federal$18,000,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2022private lawsuit-federal$12,500,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2020private lawsuit-federal$975,000
Societe Generale, S.A.Societe Generaleprice-fixing or anti-competitive practices2016private lawsuit-federal$25,412,500
Societe GeneraleSociete Generaleinvestor protection violation2023CFTC$75,000,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2023SEC$35,000,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2023private lawsuit-federal$105,000,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2023private lawsuit-federal$30,000,000
STANDARD CHARTERED PLCStandard Charteredbanking violation2012FED$100,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2012DOJ_CRIMINAL$227,000,000
Standard Chartered Bank (Switzerland) SA, en liquidationStandard Charteredtax violations2015DOJ_TAX$6,337,000
Standard Chartered BankStandard Charteredeconomic sanction violation2012OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $132,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2019DOJ_CRIMINAL$292,210,160
Standard Chartered plcStandard Charteredbanking violation2019FED$164,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $657,040,033
Standard Chartered BankStandard Charteredeconomic sanction violation2019NY-MANDA$292,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $113,500,000
Standard Chartered BankStandard Charteredanti-money-laundering deficiencies2012NY-DFS$340,000,000
Standard Chartered BankStandard Charteredanti-money-laundering deficiencies2014NY-DFS$300,000,000
Standard Chartered BankStandard Charteredprice-fixing or anti-competitive practices2019NY-DFS$40,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2019NY-DFS$180,000,000
Standard Chartered BankStandard Charteredprice-fixing or anti-competitive practices2018private lawsuit-federal$17,200,000
Standard Chartered BankStandard Charteredprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Standard Chartered BankStandard Charteredprice-fixing or anti-competitive practices2020private lawsuit-federal$1,720,000
State Farm Mutual Automobile Insurance CompanState Farm InsuranceFamily and Medical Leave Act2010WHD$27,787
State FarmState Farm Insurancewage and hour violation2013private lawsuit-federal$5,000,000
State FarmState Farm Insurancewage and hour violation2005private lawsuit-state$135,000,000
State FarmState Farm Insuranceconsumer protection violation2008MS-AG$74,000,000
State FarmState Farm Insuranceconsumer protection violation2000TX-AG$3,100,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2017MULTI-AG$250,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceconsumer protection violation2005TX-AG$10,000,000
State Farm Mutual Insurance CompanyState Farm Insuranceconsumer protection violation2005MULTI-AG$41,000,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2003CA-INS$250,000
State FarmState Farm Insuranceinsurance violation2017CA-INS$13,335,701
State Farm Fire & Casualty Co.State Farm Insuranceinsurance violation2012DE-INS$150,000
State Farm Fire & Casualty Insurance Co. and State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2016DE-INS$28,000
State Farm Fire & Casualty Co. and State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2018DE-INS$24,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2019DE-INS$18,000
State Farm Florida Insurance Co.State Farm Insuranceinsurance violation2005FL-OFR$5,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2008FL-OFR$10,500
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2010FL-OFR$10,500
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2012FL-OFR$10,500
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2014FL-OFR$10,500
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2011IL-INS$50,000
State Farm Mutual Automobile Insurance Co. et al.State Farm Insuranceinsurance violation2009IN-INS$275,000
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2015KS-INS$10,000
State Farm Mutual Automobile Insurance Co. et al.State Farm Insuranceinsurance violation2011MD-INS$10,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2013MD-INS$15,000
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2015MD-INS$26,020
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2019MD-INS$23,863
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2001MN-FIN$75,000
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2012MN-FIN$5,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2016MN-FIN$5,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2017MN-FIN$50,000
State Farm Fire & Casualty Co.State Farm Insuranceinsurance violation2015MO-INS$85,750
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2014MT-FIN$38,638
State Farm Indemnity Co.State Farm Insuranceinsurance violation2004NJ-DBI$35,000
State Farm VP Management Corp.State Farm Insuranceinvestor protection violation2013PA-BKG$75,000
State Farm General Insurance CompanyState Farm Insuranceinsurance violation2010TX-INS$40,000
State Farm LloydsState Farm Insuranceinsurance violation2015TX-INS$352,500,000
State Farm Fire and Casualty CompanyState Farm Insuranceinsurance violation2015TX-INS$5,500
State Farm Fire and Casualty CompanyState Farm Insuranceinsurance violation2017TX-INS$11,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2007VA-INS$6,000
STATE FARM FIRE, ET AL.State Farm Insuranceinsurance violation2008VA-INS$35,000
STATE FARM MUTUAL, ET AL.State Farm Insuranceinsurance violation2011VA-INS$60,000
STATE FARM MUTUAL INSURANCE COState Farm Insuranceinsurance violation2017VA-INS$50,600
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.