Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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
Knight Capital Americas LLC Virtu Financial investor protection violation 2013 SEC $12,000,000
Knight Financial Products, LLC Virtu Financial investor protection violation 2009 SEC $2,040,000
Knight Securities, L.P. Virtu Financial investor protection violation 2002 SEC $75,000
Virtu Americas LLC Virtu Financial investor protection violation 2019 SEC $1,500,000
Knight Securities, L.P. Virtu Financial investor protection violation 2004 FINRA $12,500,000
Knight Securities L.P. Virtu Financial investor protection violation 2002 FINRA $1,500,000
Vanguard Group Vanguard Group employment discrimination 2010 EEOC $300,000
Vanguard Group, Inc. Vanguard Group employment discrimination 2008 EEOC $500,000
Vanguard Advisers Inc. Vanguard Group investor protection violation 2017 PA-BKG $23,480
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
USAA Casualty Insurance and United Services Auto Association USAA insurance violation 2003 NJ-DBI $6,200,000
USAA USAA insurance violation 2002 OH-INS $30,000
USAA Life Insurance Company of New York USAA insurance violation 2016 NY-DFS $10,000
United Services Automobile Association USAA insurance violation 2018 OR-FIN $6,200
USAA General Indemnity Company USAA insurance violation 2018 OR-FIN $5,000
USAA General Indemnity Company USAA insurance violation 2016 RI-FIN $15,000
USAA Casualty Insurance Company USAA insurance violation 2019 RI-FIN $8,000
USAA Casualty Insurance Company USAA insurance violation 2020 RI-FIN $12,000
USAA Casualty Insurance Co. USAA insurance violation 2010 SC-INS $7,000
United Services Automobile Association USAA insurance violation 2011 SC-INS $8,000
United Services Automobile Association et al. USAA insurance violation 2018 TX-INS $40,000
United Services Automobile Association USAA insurance violation 2006 VA-INS $5,000
United Services Automobile Association USAA insurance violation 2007 VA-INS $6,000
UNITED SERVICES AUTOMOBILE ASSOCIATION ET AL. USAA insurance violation 2017 VA-INS $182,209
USAA CASUALTY INSURANCE CO ET AL. USAA insurance violation 2018 VA-INS $4,396,720
United Services Automobile Association (USAA) USAA insurance violation 2017 VT-FIN $85,000
USAA General Indemnity Co. et al. USAA insurance violation 2020 MD-INS $67,500
USAA Casualty Insurance Co. USAA insurance violation 2020 OR-FIN $50,000
USAA Federal Savings Bank USAA banking violation 2020 OCC $85,000,000
USAA Federal Savings Bank USAA banking violation 2020 OCC $382,500
USAA Casualty Insurance Company et al. USAA insurance violation 2021 NH-INS $25,000
United Services Automobile Association et al. USAA insurance violation 2021 VA-INS $10,000
United Services Automobile Association USAA insurance violation 2021 CT-INS $32,500
USAA Casualty Insurance Co. USAA insurance violation 2021 CT-INS $36,500
USAA Indemnity Co. USAA insurance violation 2021 CT-INS $32,500
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
First Unum Life Insurance Company of America and Paul Revere Life Insurance Company Unum privacy violation 2021 NY-DFS $1,800,000
Provident Life and Accident Insurance Co. Unum insurance violation 2021 CT-INS $7,500
UNUM Life Insurance Company of America Unum insurance violation 2021 CT-INS $12,500
UNUM GROUP CORPORATION Unum workplace safety or health violation 2011 OSHA $5,400
Univest Corporation of Pennsylvania Univest Financial Family and Medical Leave Act 2016 WHD $5,076
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
United Community Banks, Inc. United Community Banks Inc. benefit plan administrator violation 2013 private lawsuit-federal $3,500,000
Union Savings Bank and Guardian Savings Bank Union Savings Bank discriminatory practices (non-employment) 2016 DOJ_RIGHTS $9,000,000
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
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
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
Umpqua Bank Umpqua Holdings banking violation 2021 FDIC $1,800,000
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
UBS Securities Japan Co. Ltd. UBS interest rate benchmark manipulation 2012 DOJ_ANTITRUST $500,000,000
UBS AG UBS price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $160,000,000
UBS AG UBS banking violation 2015 FED $342,000,000
UBS AG UBS interest rate benchmark manipulation 2015 DOJ_CRIMINAL $203,000,000
UBS Willow Management LLC and UBS Fund Advisor LLC UBS investor protection violation 2015 SEC $17,500,000
UBS AG UBS investor protection violation 2015 SEC $19,500,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)