Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$331,558,339,161
Number of Records: 
6,166
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$82,764,013,078219
JPMorgan Chase$35,819,302,225162
Citigroup$25,454,366,764125
Wells Fargo$21,358,750,745184
Deutsche Bank$18,286,625,30261
UBS$16,792,860,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,473,904,00028
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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 Parent Primary Offense Type Yearsort icon Agency Penalty Amount
Capital One Bank (USA), National Association Capital One Financial anti-money-laundering deficiencies 2018 OCC $100,000,000
Citibank N.A. Citigroup investor protection violation 2018 SEC $38,700,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2018 SEC $5,000,000
LendingClub Asset Management LLC LendingClub Corp. investor protection violation 2018 SEC $5,000,000
Voya Financial Advisors Inc. Voya Financial investor protection violation 2018 SEC $1,000,000
SG Americas Securities LLC (Societe Generale) Societe Generale investor protection violation 2018 SEC $800,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2018 SEC $12,937,475
Convergex Execution Solutions LLC Cowen Inc. data submission deficiencies 2018 SEC $2,750,000
Cadaret, Grant & Co. Inc. Atria Wealth Solutions investor protection violation 2018 SEC $513,194
Putnam Investment Management, LLC Power Financial Corporation investor protection violation 2018 SEC $1,000,000
TD Ameritrade, Inc. Charles Schwab Corp. investor protection violation 2018 SEC $500,000
Heartland Payment Systems, LLC Global Payments Inc. investor protection violation 2018 SEC $2,160,000
BB&T Securities, LLC Truist Financial investor protection violation 2018 SEC $100,000
JPMorgan Chase JPMorgan Chase employment discrimination 2018 private lawsuit-federal $24,000,000
Wells Fargo Advisors, LLC Wells Fargo wage and hour violation 2018 private lawsuit-federal $9,500,000
M&T Bank Corporation M&T Bank wage and hour violation 2018 private lawsuit-federal $2,490,000
Allstate Insurance Company Allstate wage and hour violation 2018 private lawsuit-state $5,500,000
SunTrust Banks, Inc. Truist Financial benefit plan administrator violation 2018 private lawsuit-federal $4,750,000
Liberty Mutual Retirement Benefit Plan Liberty Mutual Insurance benefit plan administrator violation 2018 private lawsuit-federal $30,000,000
Allianz Asset Management of America, L.P. Allianz benefit plan administrator violation 2018 private lawsuit-federal $12,000,000
Wilmington Trust Corporation M&T Bank employment discrimination 2018 EEOC $700,000
Republic Bank & Trust Company Republic Bancorp banking violation 2018 FDIC $300,000
Louis Dreyfus Company LLC Louis Dreyfus railroad safety violation 2018 FRA $6,000
Citibank N.A. Citigroup bankruptcy professional violation 2018 DOJ_UTP $5,000,000
JPMorgan Chase Bank N.A. JPMorgan Chase investor protection violation 2018 SEC $135,100,000
Bank of New York Mellon Bank of New York Mellon investor protection violation 2018 SEC $54,000,000
Natixis Securities Americas LLC Natixis investor protection violation 2018 SEC $1,250,000
Santander Consumer USA Holdings Inc. Banco Santander investor protection violation 2018 SEC $1,500,000
UBS Financial Services Inc. UBS investor protection violation 2018 SEC $5,000,000
UBS Financial Services Inc. UBS anti-money-laundering deficiencies 2018 FINCEN $5,000,000
QBE Americas, Inc. QBE Insurance wage and hour violation 2018 private lawsuit-federal $1,200,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2018 NJ-AG $375,000
Bank of America Merrill Lynch Bank of America investor protection violation 2018 NY-AG $42,000,000
CareFirst BlueChoice CareFirst of Maryland consumer protection violation 2018 DC-AG $50,000
Citibank Citigroup interest rate benchmark manipulation 2018 MULTI-AG $100,000,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2018 NY-AG (*) $10,000,000
Encore Capital Group Inc. Encore Capital Group consumer protection violation 2018 MULTI-AG $6,000,000
HSBC Securities HSBC mortgage abuses 2018 MA-AG $26,800,000
Liberty Mutual Insurance Group Inc. Liberty Mutual Insurance consumer protection violation 2018 MA-AG $50,000
Lincoln Financial Group Trust Company, Inc. Lincoln National wage and hour violation 2018 WHD $17,567
Mastercard Inc. MasterCard consumer protection violation 2018 NM-AG $1,125,000
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2018 MD-AG $760,000
Nationstar Mortgage LLC dba Mr. Cooper Mr. Cooper Group mortgage abuses 2018 MA-AG $500,000
PHH Mortgage Corp. Ocwen Financial mortgage abuses 2018 MULTI-AG $45,000,000
PHH Mortgage Corp. Ocwen Financial consumer protection violation 2018 GA-AG $75,000
QBE Insurance QBE Insurance consumer protection violation 2018 MA-AG $2,400,000
Royal Bank of Scotland Royal Bank of Scotland toxic securities abuses 2018 IL-AG $20,000,000
Royal Bank of Scotland Royal Bank of Scotland toxic securities abuses 2018 NY-AG $500,000,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2018 MA-AG $19,647
Travelers Companies, Inc. Travelers consumer protection violation 2018 CT-AG $5,000,000
UBS AG UBS interest rate benchmark manipulation 2018 MULTI-AG $68,000,000
UBS Securities LLC UBS toxic securities abuses 2018 NY-AG $230,000,000
Visa Inc. Visa consumer protection violation 2018 NM-AG $2,270,000
Wells Fargo Wells Fargo toxic securities abuses 2018 IL-AG $17,250,000
Wells Fargo & Company Wells Fargo investor protection violation 2018 NY-AG $65,000,000
Wells Fargo Bank N.A. Wells Fargo banking violation 2018 MULTI-AG $575,000,000
Barclays PLC Barclays foreign exchange market manipulation 2018 DOJ_CRIMINAL $12,896,011
Societe Generale Societe Generale economic sanction violation 2018 NY-MANDA $162,800,000
Nationwide Mutual Insurance Co Nationwide wage and hour violation 2018 WHD $210,373
Bank of Hawaii Bank of Hawaii wage and hour violation 2018 WHD $7,631
The Prudential Insurance Company of America Prudential Financial labor relations violation 2018 NLRB $17,842
Quicken Loans Inc. Quicken Loans consumer protection violation 2018 AK-DBS $11,000
LPL Financial LLC LPL Financial investor protection violation 2018 AL-SEC $80,000
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2018 AR-SEC $50,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $8,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $7,500
Santander Consumer USA, Inc. Banco Santander consumer protection violation 2018 CA-DFPI $300,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $300,000
United Casualty Insurance Co. Kemper insurance violation 2018 CA-INS $22,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $10,000
Ticor Title Company of California Fidelity National Financial insurance violation 2018 CA-INS $6,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2018 CA-DFPI $115,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $17,500
Oscar Health Plan of California Mulberry Health insurance violation 2018 CA-MHC $10,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2018 CT-BKG $100,000
ProEquities, Inc. Dai-ichi Life investor protection violation 2018 CT-SEC $7,590
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2018 DC-DISB $5,000
Liberty Mutual Fire Insurance Co. et al. Liberty Mutual Insurance insurance violation 2018 DE-INS $76,000
Penn Mutual Life Insurance Co. Penn Mutual insurance violation 2018 DE-INS $17,000
New York Life Insurance and Annuity Corp. New York Life Insurance insurance violation 2018 DE-INS $5,000
State Farm Fire & Casualty Co. and State Farm Mutual Automobile Insurance Co. State Farm Insurance insurance violation 2018 DE-INS $24,000
Principal Life Insurance Co. Principal Financial insurance violation 2018 DE-INS $200,000
United of Omaha Life Insurance Co. Mutual of Omaha insurance violation 2018 DE-INS $17,000
AXA Equitable Life Insurance Co. Equitable Holdings insurance violation 2018 DE-INS $5,000
RiverSource Life Insurance Co. Ameriprise Financial insurance violation 2018 DE-INS $75,000
Nationwide Life Insurance Co. and Nationwide Life and Annuity Insurance Co. Nationwide insurance violation 2018 DE-INS $45,500
American General Life Insurance Co. American International Group insurance violation 2018 FL-OFR $210,000
LPL Financial, LLC LPL Financial investor protection violation 2018 IN-SEC $450,000
Standard Fire Insurance Co. Travelers insurance violation 2018 KS-INS $7,500
Liberty Mutual Insurance Liberty Mutual Insurance insurance violation 2018 KS-INS $80,000
AIG Claims, Inc. American International Group insurance violation 2018 LA-INS $11,000
LendingClub Corp. and Springstone Financial, LLC LendingClub Corp. consumer protection violation 2018 MA-BKG $2,000,000
Quicken Loans, Inc. and One Reverse Mortgage, LLC Quicken Loans consumer protection violation 2018 MA-BKG $250,000
MetLife, Inc. MetLife investor protection violation 2018 MA-SEC $1,000,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2018 MD-INS $20,250
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)