Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$325,206,110,617
Number of Records: 
5,976
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$82,700,046,034213
JPMorgan Chase$34,530,243,993154
Citigroup$25,045,655,764120
Wells Fargo$21,199,943,231179
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,582,95017
Credit Suisse$10,409,957,62631


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 2020 SEC $10,000,000
U.S. Pension Trust Corp. and U.S. College Trust Corp. U.S. Pension Trust Corp. investor protection violation 2010 SEC $112,600,000
U.S. Central Federal Credit Union U.S. Central Federal Credit Union wage and hour violation 2008 WHD $111,319
U.S. Bank U.S. Bancorp consumer protection violation 2014 CFPB $53,000,000
U.S. Bank U.S. Bancorp banking violation 2013 CFPB $3,200,000
U.S. Bank National Association U.S. Bancorp banking violation 2016 OCC $10,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2014 OCC $51,900,000
U.S. Bank U.S. Bancorp banking violation 2013 OCC $208,156,501
U.S. Bank U.S. Bancorp False Claims Act and related 2014 DOJ_CIVIL $200,000,000
U.S. Bank National Association U.S. Bancorp investor protection violation 2015 CFTC $18,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2006 OCC $125,000
U.S. Bank National Association U.S. Bancorp discriminatory practices (non-employment) 2014 HUD $11,489
U.S. Bank National Association U.S. Bancorp discriminatory practices (non-employment) 2013 HUD $12,000
U.S. Bank, National Association U.S. Bancorp mortgage abuses 2011 HUD $1,200,000
U.S. Bank U.S. Bancorp wage and hour violation 2008 WHD $140,787
U.S. Bancorp U.S. Bancorp wage and hour violation 2006 WHD $140,788
U.S. Bank National Association U.S. Bancorp banking violation 2017 OCC $15,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2017 OCC $183,920
U.S. Bancorp U.S. Bancorp mortgage abuses 2018 FED $4,400,000
U.S. Bank Municipal Securities Group U.S. Bancorp investor protection violation 2015 SEC $60,000
US Bancorp U.S. Bancorp banking violation 2018 FED $15,000,000
U.S. Bancorp U.S. Bancorp anti-money-laundering deficiencies 2018 USAO $453,000,000
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 OCC $75,000,000
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 FINCEN $70,000,000
US BANK U.S. Bancorp wage and hour violation 2014 IL-DOL $131,922
U.S. Bancorp U.S. Bancorp wage and hour violation 2017 private lawsuit-federal $7,000,000
U.S. Bancorp U.S. Bancorp wage and hour violation 2017 private lawsuit-federal $1,150,000
U.S. Bank U.S. Bancorp wage and hour violation 2015 private lawsuit-federal $3,031,075
U.S. Bancorp U.S. Bancorp wage and hour violation 2014 private lawsuit-federal $6,450,000
U.S. Bank National Association U.S. Bancorp investor protection violation 2005 SEC $500,000
U.S. Bank Pension Plan U.S. Bancorp benefit plan administrator violation 2012 private lawsuit-federal $9,600,000
U.S. Bancorp U.S. Bancorp consumer protection violation 2005 CA-AG $2,600,000
US Bank U.S. Bancorp privacy violation 2000 MULTI-AG $2,000,000
US Bank NA U.S. Bancorp consumer protection violation 2003 NY-AG $33,500
US Bank U.S. Bancorp housing code violation 2016 CA-LACA $13,500,000
U.S. Bancorp Investments, Inc. U.S. Bancorp investor protection violation 2020 SEC $15,992,441
U.S. Bank National Association U.S. Bancorp wage and hour violation 2020 private lawsuit-federal $6,500,000
U.S. Bancorp U.S. Bancorp discriminatory practices (non-employment) 2005 private lawsuit-federal $2,495,000
Trustmark National Bank Trustmark banking violation 2012 OCC $6,250
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2014 CFPB $550,000,000
SunTrust Banks, Inc. Truist Financial banking violation 2014 FED $160,000,000
SunTrust Mortgage, Inc. Truist Financial toxic securities abuses 2013 FHFA $65,000,000
SunTrust Mortgage Inc. Truist Financial banking violation 2012 DOJ_RIGHTS $21,000,000
SunTrust Mortgage Inc. Truist Financial mortgage abuses 2014 DOJ_CIVIL $320,000,000
SunTrust Mortgage Inc. Truist Financial False Claims Act and related 2014 DOJ_CIVIL $418,000,000
BANK OF KENTUCKY, INC., THE Truist Financial banking violation 2009 FDIC $30,415
BankAtlantic Truist Financial anti-money-laundering deficiencies 2006 DOJ_CRIMINAL $10,000,000
BankAtlantic Truist Financial economic sanction violation 2008 OFAC $7,500
BB&T Truist Financial economic sanction violation 2007 OFAC $10,000
SunTrust Bank Truist Financial economic sanction violation 2005 OFAC $40,423
SunTrust Bank Truist Financial economic sanction violation 2005 OFAC $30,800
SunTrust Capital Markets Inc. Truist Financial investor protection violation 2006 SEC $125,000
Branch Banking & Trust Company (BB&T) Truist Financial False Claims Act and related 2016 DOJ_CIVIL $83,000,000
SunTrust Mortgage, Inc. Truist Financial discriminatory practices (non-employment) 2013 HUD $36,000
Branch Banking and Trust (BB&T) Truist Financial employment discrimination 2010 EEOC $24,000
SunTrust Bank Truist Financial employment discrimination 2014 EEOC $300,000
SunTrust Mortgage Inc. Truist Financial wage and hour violation 2012 WHD $51,518
Branch Banking and Trust Company Truist Financial wage and hour violation 2011 WHD $12,314
BB&T Truist Financial wage and hour violation 2011 WHD $43,662
SunTrust Bank, Inc. Truist Financial wage and hour violation 2006 WHD $350,875
Grandbridge Real Estate Capital, LLC Truist Financial labor relations violation 2015 NLRB $70,000
SunTrust Bank Truist Financial banking violation 2017 FED $1,501,000
SunTrust Banks Truist Financial investor protection violation 2017 SEC $1,100,000
BB&T Securities, LLC Truist Financial investor protection violation 2016 SEC $200,000
BB&T Securities, LLC Truist Financial investor protection violation 2015 SEC $200,000
BB&T Truist Financial wage and hour violation 2018 private lawsuit-federal $72,336
SunTrust Mortgage Truist Financial wage and hour violation 2012 private lawsuit-federal $2,400,000
BB&T Securities, LLC Truist Financial investor protection violation 2018 SEC $100,000
SunTrust Banks, Inc. Truist Financial benefit plan administrator violation 2018 private lawsuit-federal $4,750,000
BB&T Securities Truist Financial investor protection violation 2019 SEC $5,709,753
BB&T Securities, LLC Truist Financial investor protection violation 2019 SEC $376,059
BB&T Corporation Truist Financial benefit plan administrator violation 2019 private lawsuit-federal $24,000,000
BB&T Leasing Company Truist Financial consumer protection violation 2005 NY-AG $159,097
BB&T Leasing Corporation Truist Financial consumer protection violation 2006 MULTI-AG $6,000,000
SunTrust Bank Truist Financial banking violation 2005 WI-AG $10,107
SunTrust Mortgage Inc. Truist Financial mortgage abuses 2014 MULTI-AG (*) $40,000,000
Branch Banking & Trust Co. Truist Financial economic sanction violation 2014 OFAC $19,125
McGriff, Seibels & Williams of Texas, Inc. Truist Financial economic sanction violation 2011 OFAC $122,408
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2017 AR-SEC $13,000
SunTrust Mortgage, Inc. Truist Financial mortgage abuses 2016 CA-DBO $50,000
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2019 CA-DBO $349,015
Bank of Louisville Truist Financial investor protection violation 2002 KY-INS $27,000,000
Branch Banking and Trust Company Truist Financial investor protection violation 2016 SC-SEC $97,500
The Travelers Indemnity Company Travelers wage and hour violation 2009 WHD $21,283
St Paul Travelers Companies Inc. Travelers benefit plan administrator violation 2007 private lawsuit-federal $4,450,000
Premier Insurance Company of Massachusetts Travelers consumer protection violation 2011 MA-AG $5,000,386
St. Paul Travelers Travelers price-fixing or anti-competitive practices 2006 MULTI-AG $77,000,000
St. Paul Travelers Companies Inc. Travelers investor protection violation 2005 NM-AG $67,500,000
Travelers Companies, Inc. Travelers consumer protection violation 2018 CT-AG $5,000,000
TravelersCompanies, Inc. Travelers price-fixing or anti-competitive practices 2007 MULTI-AG $6,000,000
United States Fidelity & Guaranty Travelers False Claims Act and related 2007 CT-AG $17,500,000
United States Fidelity and Guaranty Co. Travelers False Claims Act and related 2010 MA-AG $2,925,000
Travelers Insurance Company Travelers False Claims Act and related 2004 USAO $10,900,000
Travelers Companies Travelers insurance violation 2012 CA-INS $10,500,000
The Travelers Indemnity Company of America et al. Travelers insurance violation 2020 DE-INS $6,000
Travelers Indemnity Co. Travelers insurance violation 2003 FL-OFR $8,000
Travelers Indemnity Company of Illinois Travelers insurance violation 2003 FL-OFR $20,500
St. Paul Fire & Marine Insurance Co. Travelers insurance violation 2007 FL-OFR $23,750
Travelers Casualty & Surety Company of America et al. Travelers insurance violation 2011 IA-INS $5,000
St. Paul Fire & Marine Insurance Co. Travelers insurance violation 2006 KS-INS $5,000
The Travelers Indemnity Co. et al. Travelers insurance violation 2010 KS-INS $10,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)