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
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLC Wells Fargo investor protection violation 2016 FINRA $1,500,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2015 FINRA $15,000,000
Wells Fargo Advisors and Wells Fargo Advisors Financial Network Wells Fargo anti-money-laundering deficiencies 2014 FINRA $1,500,000
Wells Fargo Securities, LLC Wells Fargo investor protection violation 2014 FINRA $4,000,000
Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2013 FINRA $3,250,000
Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2012 FINRA $1,931,488
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2011 FINRA $2,000,000
Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2011 FINRA $1,000,000
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2009 FINRA $275,000
Wachovia Securities, LLC Wells Fargo investor protection violation 2009 FINRA $1,400,000
Wachovia Securities, LLC and First Clearing, LLC Wells Fargo investor protection violation 2009 FINRA $1,100,000
Wachovia Securities Wells Fargo investor protection violation 2009 FINRA $4,500,000
Prudential Securities Wells Fargo investor protection violation 2008 FINRA $1,050,000
Wachovia Capital Markets, LLC Wells Fargo investor protection violation 2007 FINRA $300,000
Wells Fargo Securities, LLC Wells Fargo investor protection violation 2007 FINRA $250,000
Wachovia Securities LLC Wells Fargo investor protection violation 2007 FINRA $2,000,000
Wells Fargo Investments Wells Fargo investor protection violation 2005 FINRA $3,000,000
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2005 FINRA $2,970,000
Wachovia Securities LLC Wells Fargo investor protection violation 2004 FINRA $650,000
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2004 FINRA $150,000
Wachovia Securities, LLC. Wells Fargo investor protection violation 2004 FINRA $39,486
Prudential Securities Incorporated Wells Fargo investor protection violation 2001 FINRA $20,000
Prudential Securities, Inc. Wells Fargo investor protection violation 2001 FINRA $10,000
First Union Brokerage Services, Inc. Wells Fargo investor protection violation 2001 FINRA $32,500
First Union Securities, Inc. Wells Fargo investor protection violation 2000 FINRA $350,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2000 FINRA $5,890,000
Prudential Securities, Inc. Wells Fargo investor protection violation 2000 FINRA $100,000
Wells Fargo Bank Wells Fargo discriminatory practices (non-employment) 2021 HUD $125,000
Wells Fargo Wells Fargo workplace whistleblower retaliation 2017 OSHA $577,500
Wells Fargo Bank N.A Wells Fargo workplace whistleblower retaliation 2017 OSHA $5,400,000
WELLS FARGO SECURITIES, LLC. Wells Fargo workplace safety or health violation 2004 OSHA $5,000
WELLS FARGO BANK #1692 Wells Fargo workplace safety or health violation 2013 OSHA $12,000
WELLS FARGO BANK, NA Wells Fargo workplace safety or health violation 2017 OSHA $9,000
Gerber Life Insurance Company Western & Southern Financial Group wage and hour violation 2009 WHD $172,799
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2011 MD-INS $5,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2013 MD-INS $14,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2017 MD-INS $8,000
National Integrity Life Insurance Company Western & Southern Financial Group insurance violation 2018 NY-DFS $240,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2000 WA-INS $350,000
Western and Southern Life Insurance Company Western & Southern Financial Group insurance violation 2005 MULTI-FIN $2,400,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2020 NC-INS $3,635,665
Paymap Inc. Western Union consumer protection violation 2015 CFPB $38,400,000
Ruesch International, Inc. Western Union economic sanction violation 2004 OFAC $7,811
Western Union Company Western Union anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $586,000,000
Western Union Financial Services, Inc. Western Union economic sanction violation 2019 OFAC $401,697
Western Union Co. Western Union consumer protection violation 2017 MULTI-AG $5,000,000
Western Union Financial Services Western Union consumer protection violation 2005 MULTI-AG $8,529,000
Western Union Financial Services, Inc. Western Union anti-money-laundering deficiencies 2010 MULTI-AG $94,000,000
Western Union Financial Services, Inc. Western Union consumer protection violation 2008 AZ-DFS $2,000,000
Western Union International Services LLC Western Union consumer protection violation 2019 FL-OFR $10,000
Western Union Financial Services, Inc. Western Union anti-money-laundering deficiencies 2002 NY-DFS $8,000,000
Western Union Western Union anti-money-laundering deficiencies 2018 NY-DFS $60,000,000
WESTERN UNION Western Union workplace safety or health violation 2015 OSHA $11,000
WEX Bank and Higher One, Inc. WEX Inc. banking violation 2015 FDIC $34,980,000
Towers Perrin Willis Towers Watson wage and hour violation 2005 WHD $105,865
Towers, Perrin, Forrester & Crosby Willis Towers Watson wage and hour violation 2005 WHD $294,279
Towers Perrin Willis Towers Watson wage and hour violation 2004 WHD $376,093
Watson Wyatt & Co. Willis Towers Watson labor relations violation 2005 NLRB $91,000
Willis Group Willis Towers Watson employment discrimination 2011 private lawsuit-federal $11,595,038
Willis Group Willis Towers Watson employment discrimination 2008 private lawsuit-federal $12,757,949
Willis Group Holdings Ltd. Willis Towers Watson consumer protection violation 2007 FL-AG $2,600,000
Willis Group Holdings Ltd. Willis Towers Watson price-fixing or anti-competitive practices 2005 NY-AG $50,000,000
Watson Wyatt & Company Willis Towers Watson False Claims Act and related 2005 USAO $689,828
Towers Perrin Willis Towers Watson benefit plan administrator violation 2011 private lawsuit-federal $9,200,000
Wintrust Financial Corporation Wintrust Financial Corp. banking violation 2019 FED $1,012,500
Woodforest National Bank Woodforest National Bank banking violation 2010 OCC $33,000,000
WOORI USA CORP Woori Bank motor vehicle safety violation 2010 FMCSA $6,550
World Acceptance Corporation World Acceptance Corporation wage and hour violation 2019 WHD $5,549
World Acceptance Corporation, Inc World Acceptance Corporation wage and hour violation 2019 WHD $6,582
World Acceptance Corporation World Acceptance Corporation Foreign Corrupt Practices Act 2020 SEC $21,700,000
Vantiv LLC Worldpay wage and hour violation 2014 WA-DLI $34,780
Mercury Payment Systems, LLC Worldpay tax violations 2015 CT-AG $7,800
Wilmington Savings Fund Society, Federal Savings Bank WSFS Financial Corp. banking violation 2019 OCC $85,265
Zions First National Bank Zions Bancorporation banking violation 2011 OCC $8,000,000
Zions Bancorporation Zions Bancorporation wage and hour violation 2009 WHD $15,347
ZB N.A. (fka Zions First National Bank) Zions Bancorporation consumer protection violation 2017 USAO $3,600,000
Zions Direct, Inc. Zions Bancorporation investor protection violation 2010 FINRA $225,000
Zurich Financial Services Zurich Insurance accounting fraud or deficiencies 2008 SEC $25,000,000
Zurich Capital Markets Inc. Zurich Insurance investor protection violation 2007 SEC $16,800,000
Farmer's Group, Inc. Zurich Insurance wage and hour violation 2010 WHD $565,065
Farmer's Group, Inc. Zurich Insurance wage and hour violation 2010 WHD $754,148
Farmer's Group, Inc. Zurich Insurance wage and hour violation 2010 WHD $20,122
Farmer's Group, Inc. Zurich Insurance wage and hour violation 2010 WHD $209,170
Farmer's Insurance Zurich Insurance wage and hour violation 2011 WHD $1,520,705
Coast National Insurance Zurich Insurance wage and hour violation 2002 private lawsuit-state $18,000,000
Farmers Group, Inc. Zurich Insurance benefit plan administrator violation 2012 private lawsuit-federal $6,850,000
Zurich Life Insurance Company Ltd Zurich Insurance tax violations 2019 DOJ_TAX $5,115,000
Farmers Insurance Group Zurich Insurance discriminatory practices (non-employment) 2001 OH-AG $4,300,000
Farmers Insurance Group Zurich Insurance consumer protection violation 2003 TX-AG $2,400,000
Metropolitan Property & Casualty Zurich Insurance consumer protection violation 2010 MA-AG $20,000
Metropolitan Property & Casualty Co. Zurich Insurance consumer protection violation 2019 MS-AG $3,167,173
Metropolitan Property & Casualty Insurance Co. Zurich Insurance consumer protection violation 2010 MA-AG $3,500,000
Metropolitan Property and Casualty Insurance Co. Zurich Insurance consumer protection violation 2013 MA-AG $50,000
Metropolitan Property and Casualty Insurance Co. Zurich Insurance consumer protection violation 2012 MA-AG $395,000
Metropolitan Property and Casualty Insurance Co. Zurich Insurance consumer protection violation 2000 MA-AG $1,840,000
Universal Underwriters Life Insurance Co. Zurich Insurance consumer protection violation 2008 TX-AG $2,400,000
Zurich American Insurance Company Zurich Insurance price-fixing or anti-competitive practices 2006 MULTI-AG $171,700,000
Zurich American Insurance Company Zurich Insurance price-fixing or anti-competitive practices 2006 OH-AG $7,000,000
Zurich American Insurance Company et al. Zurich Insurance False Claims Act and related 2010 NY-AG $37,500,000
Coast National Insurance Co. Zurich Insurance insurance violation 2009 AZ-INS $38,000
Foremost Insurance Company Grand Rapids, Michigan Zurich Insurance insurance violation 2015 AZ-INS $58,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)