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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 ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
Fifth Third Securities Inc.Fifth Third Bancorpinvestor protection violation2023SEC$8,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2023SEC$1,975,000
DWS Investment Management Americas Inc.Deutsche Bankinvestor protection violation2023SEC$25,000,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2023SEC$6,000,000
TP ICAP plcTP ICAP PLCprice-fixing or anti-competitive practices2023private lawsuit-federal$2,100,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2023private lawsuit-federal$13,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2023private lawsuit-federal$13,750,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2023private lawsuit-federal$22,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2023private lawsuit-federal$8,000,000
Binance Holdings Limited et al.Binance Holdingsinvestor protection violation2023CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,700,000,000
Enova International Inc.Enova Internationalconsumer protection violation2023CFPB$15,000,000
Citibank N.A.Citigroupdiscriminatory practices (non-employment)2023CFPB$25,900,000
Binance Holdings LimitedBinance Holdingsanti-money-laundering deficiencies2023DOJ_NATSEC$4,316,126,163
Binance Holdings Limited,Binance Holdingsanti-money-laundering deficiencies2023FINCEN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $3,400,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyprivacy violation2023MULTI-AG$6,500,000
First American Financial CorporationFirst American Financialprice-fixing or anti-competitive practices2023NY-AG$4,500,000
Binance Holdings, LtdBinance Holdingseconomic sanction violation2023OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $968,618,825
Royal Bank of CanadaRoyal Bank of Canadaaccounting fraud or deficiencies2023SEC$6,000,000
BlackRock Advisors, LLCBlackRockinvestor protection violation2023SEC$2,500,000
JPMorgan ChaseJPMorgan Chasesexual exploitation of minors2023private lawsuit-federal$290,000,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2023private lawsuit-federal$4,900,000
Goldman SachsGoldman Sachsemployment discrimination2023private lawsuit-federal$215,000,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2023private lawsuit-federal$105,000,000
NatWest Markets PLCNatWest Group PLCprice-fixing or anti-competitive practices2023private lawsuit-federal$21,000,000
Lincoln National Corp.Lincoln Nationalconsumer protection violation2023private lawsuit-federal$109,957,440
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2023private lawsuit-federal$5,000,000
NATIONWIDE LIFE AND ANNUITY INSURANCE COMPANYNationwideinsurance violation2023WA-INS$140,273
Allstate Fire and Casualty Insurance Company et al.Allstateinsurance violation2023TX-INS$125,000
Aon Risk Services Northeast Inc.Aoninsurance violation2023NY-DFS$215,725
Fidelity Brokerage Services LLCFidelity Investmentsinvestor protection violation2023MA-SEC$750,000
First American Title Insurance CompanyFirst American Financialprivacy violation2023NY-DFS$1,000,000
LPL Financial, LLCLPL Financialinvestor protection violation2023MA-SEC$250,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualinvestor protection violation2023NH-BSR$200,000
Northwestern Mutual Life Insurance CompanyNorthwestern Mutualinsurance violation2023NH-INS$200,000
Transamerica Life Insurance CompanyAegoninsurance violation2023MD-INS$102,000
Wells Fargo Clearing Services LLCWells Fargoinvestor protection violation2023ME-SEC$5,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2023ME-SEC$5,000
USAA General Indemnity Company et al.USAAinsurance violation2023MD-INS$45,900
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2023MI-SEC$10,000
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsenvironmental violation2023NJ-ENV$48,640
Durango Midstream, LLCMorgan Stanleyenvironmental violation2023NM-ENV$34,320
Arthur J Gallagher & Co. Insurance Brokers of California Inc.Arthur J. Gallagher & Co.insurance violation2023NY-DFS$45,300
USAA General Indemnity CompanyUSAAinsurance violation2023OR-FIN$50,200
American Memorial Life Insurance CompanyAssurantinsurance violation2023SD-INS$5,000
Washington National Insurance Co.CNO Financialinsurance violation2023SD-INS$15,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$12,750
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2023TX-INS$9,250
Accident Fund General Insurance CompanyAF Groupinsurance violation2023TX-INS$12,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2023TX-INS$8,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$7,000
Hanover Insurance CompanyHanover Insuranceinsurance violation2023TX-INS$8,000
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2023TX-INS$8,500
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2023TX-INS$11,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2023TX-INS$6,000
Aon Risk Services Southwest IncAoninsurance violation2023TX-INS$7,575
Security National Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$6,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$9,500
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2023TX-INS$5,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2023TX-INS$19,000
Arthur J. Gallagher Risk Management Services, LLCArthur J. Gallagher & Co.insurance violation2023TX-INS$11,875
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$42,000
Travelers Indemnity Company of AmericaTravelersinsurance violation2023TX-INS$6,000
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2023TX-INS$6,300
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$12,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$90,950
Zurich American Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$17,000
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$5,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$19,000
State Farm Fire and Casualty Company et al.State Farm Insuranceinsurance violation2023TX-INS$75,000
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2023TX-INS$11,000
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$13,500
Arch Insurance CompanyArch Capitalinsurance violation2023TX-INS$25,000
AIU Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$14,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$27,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2023TX-INS$19,500
Hanover Insurance CompanyHanover Insuranceinsurance violation2023TX-INS$30,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$12,000
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$22,250
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$9,500
Hanover Insurance CompanyHanover Insuranceinsurance violation2023TX-INS$17,500
XL Specialty Insurance CompanyAXAinsurance violation2023TX-INS$9,500
Liberty Mutual Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$6,250
Safety National Casualty Corp.Tokio Marineinsurance violation2023TX-INS$19,000
Riversource Life Insurance CompanyAmeriprise Financialinsurance violation2023WA-INS$59,613
TRANSAMERICA LIFE INSURANCE COMPANYAegoninsurance violation2023WA-INS$40,000
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANYMassachusetts Mutual Life Insuranceinsurance violation2023WA-INS$10,000
Bank of AmericaBank of Americaconsumer protection violation2023CFPB$12,000,000
Principal Life Insurance CompanyPrincipal Financialbenefit plan administrator violation2023EBSA$10,001
Citizens BankCitizens Financial Groupemployment discrimination2023EEOC$100,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceconsumer protection violation2023KY-AG$1,350,000
BofA Securities, Inc.Bank of Americainvestor protection violation2023FINRA$24,000,000
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2023PHMSA$441,151
NeoviaGoldman Sachslabor relations violation2023NLRB$7,000
Cooperatieve Rabobank U.ARabobankprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
Lloyds Banking Group plcLloyds Banking Groupprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
Royal Bank of CanadaRoyal Bank of Canadaprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
Portigon Financial ServicesPortigon Financial Servicesprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
MUFG Bank, Ltd.U.S. Bancorpprice-fixing or anti-competitive practices2023private lawsuit-federal$30,000,000
Norinchukin BankNorinchukin Bankprice-fixing or anti-competitive practices2023private lawsuit-federal$30,000,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2023private lawsuit-federal$30,000,000
USAA Casualty Insurance CompanyUSAAconsumer protection violation2023private lawsuit-federal$2,291,738
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.