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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
Knight Capital Americas LLCVirtu Financialinvestor protection violation2013SEC$12,000,000
Knight Financial Products, LLCVirtu Financialinvestor protection violation2009SEC$2,040,000
Knight Securities, L.P.Virtu Financialinvestor protection violation2002SEC$75,000
Virtu Americas LLCVirtu Financialinvestor protection violation2019SEC$1,500,000
Knight Securities, L.P.Virtu Financialinvestor protection violation2004FINRA$12,500,000
Knight Securities L.P.Virtu Financialinvestor protection violation2002FINRA$1,500,000
Vanguard GroupVanguard Groupemployment discrimination2010EEOC$300,000
Vanguard Group, Inc.Vanguard Groupemployment discrimination2008EEOC$500,000
Vanguard Advisers Inc.Vanguard Groupinvestor protection violation2017PA-BKG$23,480
USAA InsuranceUSAAlabor relations violation2005NLRB$125,361
USAAUSAAwage and hour violation2008private lawsuit-federal$738,423
USAA Federal Savings BankUSAAconsumer protection violation2019CFPB$15,500,000
United Services Automobile AssociationUSAAdiscriminatory practices (non-employment)2014MA-AG$50,000
United Services Automobile AssociationUSAAconsumer protection violation2010MA-AG$25,000
United Services Automobile AssociationUSAAconsumer protection violation2010MA-AG$2,300,000
USAA Federal Savings BankUSAAconsumer protection violation2003NY-AG$33,500
United Services Automobile Association et al.USAAinsurance violation2016DE-INS$34,000
United Service Automobile Association et al.USAAinsurance violation2019DE-INS$32,500
USAA Life Insurance Co.USAAinsurance violation2007FL-OFR$22,500
USAA Life Insurance Co.USAAinsurance violation2009FL-OFR$50,000
United Services Automobile AssociationUSAAinsurance violation2001KS-INS$5,000
USAA Life Insurance Co.USAAinsurance violation2014MD-INS$9,000
USAA Casualty Insurance Co. et al.USAAinsurance violation2014MD-INS$5,000
USAA Casualty Insurance Co.USAAinsurance violation2014MN-FIN$5,000
USAA Casualty Insurance Co.USAAinsurance violation2015MN-FIN$50,000
United Services Automobile Association et al.USAAinsurance violation2007MO-INS$6,000
USAA Casualty Insurance and United Services Auto AssociationUSAAinsurance violation2003NJ-DBI$6,200,000
USAAUSAAinsurance violation2002OH-INS$30,000
USAA Life Insurance Company of New YorkUSAAinsurance violation2016NY-DFS$10,000
United Services Automobile AssociationUSAAinsurance violation2018OR-FIN$6,200
USAA General Indemnity CompanyUSAAinsurance violation2018OR-FIN$5,000
USAA General Indemnity CompanyUSAAinsurance violation2016RI-FIN$15,000
USAA Casualty Insurance CompanyUSAAinsurance violation2019RI-FIN$8,000
USAA Casualty Insurance CompanyUSAAinsurance violation2020RI-FIN$12,000
USAA Casualty Insurance Co.USAAinsurance violation2010SC-INS$7,000
United Services Automobile AssociationUSAAinsurance violation2011SC-INS$8,000
United Services Automobile Association et al.USAAinsurance violation2018TX-INS$40,000
United Services Automobile AssociationUSAAinsurance violation2006VA-INS$5,000
United Services Automobile AssociationUSAAinsurance violation2007VA-INS$6,000
UNITED SERVICES AUTOMOBILE ASSOCIATION ET AL.USAAinsurance violation2017VA-INS$182,209
USAA CASUALTY INSURANCE CO ET AL.USAAinsurance violation2018VA-INS$4,396,720
United Services Automobile Association (USAA)USAAinsurance violation2017VT-FIN$85,000
USAA General Indemnity Co. et al.USAAinsurance violation2020MD-INS$67,500
USAA Casualty Insurance Co.USAAinsurance violation2020OR-FIN$50,000
USAA Federal Savings BankUSAAbanking violation2020OCC$85,000,000
USAA Federal Savings BankUSAAbanking violation2020OCC$382,500
USAA Casualty Insurance Company et al.USAAinsurance violation2021NH-INS$25,000
United Services Automobile Association et al.USAAinsurance violation2021VA-INS$10,000
United Services Automobile AssociationUSAAinsurance violation2021CT-INS$32,500
USAA Casualty Insurance Co.USAAinsurance violation2021CT-INS$36,500
USAA Indemnity Co.USAAinsurance violation2021CT-INS$32,500
USAA Casualty Insurance Company et al.USAAinsurance violation2021KS-INS$5,000
United Services Automobile Association et al.USAAconsumer protection violation2022VA-INS$71,358
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022OCC$60,000,000
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022FINCEN$80,000,000
UNITED SERVICES AUTOMOBILE ASSOCIATION et a.USAAinsurance violation2022WA-INS$50,000
United Services Automobile AssociationUSAAconsumer protection violation2017private lawsuit-federal$53,200,000
USAA General Indemnity Company et al.USAAinsurance violation2023MD-INS$45,900
USAA General Indemnity CompanyUSAAinsurance violation2023OR-FIN$50,200
USAA Casualty Insurance CompanyUSAAconsumer protection violation2023private lawsuit-federal$2,291,738
UNUMUnumwage and hour violation2011WA-DLI$15,070
UNUM Life Insurance Company of AmericaUnumbenefit plan administrator violation2010private lawsuit-federal$5,000,000
Unum Life Insurance Co.UnumFalse Claims Act and related2005MA-AG$650,000
UnumProvident CorporationUnumconsumer protection violation2006NY-AG$17,400,000
UnumProvident CorporationUnumconsumer protection violation2004MULTI-AG$15,000,000
Unum GroupUnumkickbacks and bribery2008USAO$5,550,000
Unum Insurance Co.Unumkickbacks and bribery2008CA-MULTI$250,000
Unum Life Insurance Company of America et al.Unuminsurance violation2005CA-INS$8,598,503
UnumProvident Corp. et al.Unuminsurance violation2006CA-INS$700,000
Unum Life Insurance Company of AmericaUnuminsurance violation2014CA-INS$25,000
Unum Life Insurance Company of AmericaUnuminsurance violation2012MD-INS$19,000
Unum Life Insurance Company of AmericaUnuminsurance violation2015MD-INS$35,000
Provident Life and Accident Insurance Co.Unuminsurance violation2000NC-INS$80,000
UNUM LIFE INSURANCE COMPANYUnuminsurance violation2003VA-INS$14,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2010WA-INS$7,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2011WA-INS$75,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2018WA-INS$7,000
First Unum Life Insurance Company of America and Paul Revere Life Insurance CompanyUnumprivacy violation2021NY-DFS$1,800,000
Provident Life and Accident Insurance Co.Unuminsurance violation2021CT-INS$7,500
UNUM Life Insurance Company of AmericaUnuminsurance violation2021CT-INS$12,500
First Unum Life Insurance CompanyUnuminsurance violation2022NY-DFS$1,100,000
Unum Life Insurance Company of AmericaUnumconsumer protection violation2016private lawsuit-federal$45,998,014
UNUM GROUP CORPORATIONUnumworkplace safety or health violation2011OSHA$5,400
Univest Corporation of PennsylvaniaUnivest FinancialFamily and Medical Leave Act2016WHD$5,076
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2004FL-OFR$47,500
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2009FL-OFR$99,000
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2013FL-OFR$1,260,000
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2022MN-FIN$10,000
United Community Banks, Inc.United Community Banks Inc.benefit plan administrator violation2013private lawsuit-federal$3,500,000
Union Savings Bank and Guardian Savings BankUnion Savings Bankdiscriminatory practices (non-employment)2016DOJ_RIGHTS$9,000,000
Union Bancaire PriveeUnion Bancaire Priveetax violations2016DOJ_TAX$187,000,000
Union Bancaire Privee, UBP SAUnion Bancaire Priveetax violations2020DOJ_TAX$14,000,000
UniCredit GroupUniCrediteconomic sanction violation2019DOJ_CRIMINAL$413,536,632
UniCredit, S.p.A.UniCreditbanking violation2019FED$158,000,000
UniCredit Bank AGUniCrediteconomic 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. $553,380,759
UniCredit Bank Austria AGUniCrediteconomic 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. $20,326,340
UniCredit S.p.A.UniCrediteconomic 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. $37,316,322
UniCredit Bank AGUniCrediteconomic sanction violation2019NY-MANDA$316,000,000
UniCredit Bank Austria AGUniCrediteconomic sanction violation2019NY-MANDA$20,000,000
UniCredit GroupUniCrediteconomic sanction violation2019NY-DFS$405,000,000
UMPQUA BANKUmpqua Holdingsbanking violation2008FDIC$90,240
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.