Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$313,053,740,827
Number of Records: 
2,796
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$82,630,515,262182
JPMorgan Chase$34,503,944,885135
Citigroup$24,980,998,56297
Deutsche Bank$17,970,400,77851
Wells Fargo$17,296,835,949136
UBS$16,756,803,33165
Royal Bank of Scotland$13,349,520,00025
Goldman Sachs$13,139,380,98737
Credit Suisse$10,394,957,62629
BNP Paribas$9,892,332,95016


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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Company Parent Primary Offense Type Yearsort icon Agency Penalty Amount
Dain Rauscher Incorporated Royal Bank of Canada securities issuance or trading violation 2000 SEC $12,941,191
Goldman, Sachs & Co. Goldman Sachs securities issuance or trading violation 2000 SEC $5,200,000
Lehman Brothers Inc. Lehman Brothers securities issuance or trading violation 2000 SEC $4,950,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America securities issuance or trading violation 2000 SEC $5,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley securities issuance or trading violation 2000 SEC $2,500,000
PaineWebber Incorporated UBS securities issuance or trading violation 2000 SEC $26,200,000
Prudential Securities Incorporated Wells Fargo securities issuance or trading violation 2000 SEC $5,880,000
Salomon Smith Barney Inc. Morgan Stanley securities issuance or trading violation 2000 SEC $45,000,000
Warburg Dillon Read LLC UBS securities issuance or trading violation 2000 SEC $6,680,000
Josephthal & Co. Oppenheimer Holdings employment discrimination 2000 EEOC $330,000
Mortgage One Corporation HSBC wage and hour violation 2000 WHD $18,912
First Union Bank Wells Fargo labor relations violation 2000 NLRB $9,116
Fifth Third Bank Fifth Third Bancorp employment discrimination 2000 OFCCP $440,000
Wachovia National Bank, N.A. Wells Fargo benefit plan administrator violation 2000 EBSA $30,000,000
Liberty Mutual Insurance Liberty Mutual Insurance employment discrimination 2000 private lawsuit-state $348,111
LOUIS DREYFUS CITRUS, INC. Louis Dreyfus environmental violation 2000 EPA $14,150
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2000 EPA $10,000
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2000 EPA $11,600
LOUIS DREYFUS BEAUMONT GRAIN ELEVATOR Louis Dreyfus environmental violation 2000 EPA $7,500
First Union Securities, Inc. Wells Fargo investor protection violation 2000 SEC $408,931
Dean Witter Reynolds Inc. Morgan Stanley investor protection violation 2000 SEC $476,702
Fahnestock & Co., Inc. Oppenheimer Holdings investor protection violation 2000 SEC $20,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2000 SEC $100,000
Dreyfus Corporation Bank of New York Mellon investor protection violation 2000 SEC $950,000
American Express Publishing Corporation American Express consumer protection violation 2000 MULTI-AG $200,000
Dreyfus Corporation Bank of New York Mellon investor protection violation 2000 NY-AG $2,000,000
Metropolitan Life Insurance Co. MetLife consumer protection violation 2000 MA-AG $1,200,000
Metropolitan Property and Casualty Insurance Co. MetLife consumer protection violation 2000 MA-AG $1,840,000
MONY Life Insurance Co. AXA consumer protection violation 2000 CT-AG $250,000
Providian Financial Corp. JPMorgan Chase consumer protection violation 2000 CA-AG $305,500,000
Providian Financial Corp. JPMorgan Chase consumer protection violation 2000 CT-AG $1,600,000
State Farm State Farm Insurance consumer protection violation 2000 TX-AG $3,100,000
Union Security Life Insurance Co Assurant consumer protection violation 2000 MA-AG $1,000,000
US Bank U.S. Bancorp privacy violation 2000 MULTI-AG $2,000,000
WHEELABRATOR SHASTA ENERGY CO. Macquarie workplace safety or health violation 2000 OSHA $10,275
DEPOSITORY TRUST & CLEARING CORP. Depository Trust workplace safety or health violation 2000 OSHA $13,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2000 MSHA $5,200
Republic New York Securities Corporation HSBC securities issuance or trading violation 2001 CFTC $5,000,000
U.S. Trust Corporation Bank of America banking violation 2001 FED $5,000,000
Salomon Smith Barney Morgan Stanley employment discrimination 2001 EEOC $635,000
Republic New York Securities HSBC fraud 2001 USAO $569,000,000
Bank of America Bank of America wage and hour violation 2001 private lawsuit-state $22,000,000
Farmers Insurance Exchange Farmers Insurance Exchange wage and hour violation 2001 private lawsuit-state $90,009,208
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2001 EPA $11,200
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2001 EPA $10,400
CORPUS CHRISTI ALUMINA Glencore environmental violation 2001 EPA $206,060
CORPUS CHRISTI ALUMINA Glencore environmental violation 2001 EPA $206,060
CANYON FUEL CO., LLC - SKYLINE (Permit UT0023540) Cwa Penalty Ao Trafigura environmental violation 2001 EPA $5,501
Western Asset Management Co. Legg Mason investor protection violation 2001 SEC $50,000
Legg Mason Fund Adviser, Inc. Legg Mason investor protection violation 2001 SEC $50,000
ABN AMRO Incorporated ABN AMRO investor protection violation 2001 SEC $200,000
Legg Mason Wood Walker, Incorporated Legg Mason investor protection violation 2001 SEC $50,000
Prudential Securities Incorporated Wells Fargo investor protection violation 2001 SEC $800,000
Bank of America Bank of America False Claims Act and related 2001 AK-AG $35,600,000
Farmers Insurance Group Zurich Insurance discriminatory practices 2001 OH-AG $4,300,000
FleetBoston Financial Corporation Bank of America privacy violation 2001 NY-AG $100,000
H&R Block Financial Advisors H&R Block privacy violation 2001 MO-AG $15,000
Progressive Insurance Company of Ohio Progressive consumer protection violation 2001 IA-AG $127,500
U.S. Trust Corporation Bank of America anti-money-laundering deficiencies 2001 NY-DFS $5,000,000
Citigroup Citigroup discriminatory practices 2001 NY-DFS $1,000,000
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2001 MSHA $5,000
Prudential Securities, Inc. Wells Fargo data submission deficiencies 2002 CFTC $65,000
THE COLUMBIA BANK Fulton Financial banking violation 2002 FDIC $7,000
Dexia, S.A. Dexia banking violation 2002 FED $50,000
Citigroup Inc. Citigroup consumer protection violation 2002 FTC $215,000,000
General American Life Insurance Company, Inc. MetLife False Claims Act and related 2002 DOJ_CIVIL $76,000,000
Bank of China Bank of China banking violation 2002 OCC $10,000,000
Deutsche Bank Securities Inc. Deutsche Bank data submission deficiencies 2002 SEC $1,650,000
Goldman, Sachs & Co. Goldman Sachs data submission deficiencies 2002 SEC $1,650,000
Morgan Stanley & Co. Incorporated Morgan Stanley data submission deficiencies 2002 SEC $1,650,000
Salomon Smith Barney Inc. Morgan Stanley data submission deficiencies 2002 SEC $1,650,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray data submission deficiencies 2002 SEC $1,650,000
Credit Suisse First Boston Corporation Credit Suisse securities issuance or trading violation 2002 SEC $100,000,000
Conseco Finance Servicing Corp. CNO Financial wage and hour violation 2002 WHD $145,512
MetLife Financial Services MetLife labor relations violation 2002 NLRB $18,500
International Matex Tank Terminals Macquarie railroad safety violation 2002 FRA $9,750
Ditech Ditech Holding Corporation wage and hour violation 2002 private lawsuit-federal $6,150,000
Coast National Insurance Zurich Insurance wage and hour violation 2002 private lawsuit-state $18,000,000
American Express Financial Advisors Ameriprise Financial employment discrimination 2002 private lawsuit-federal $31,000,000
IMTT BAYONNE 340171219400046 Macquarie environmental violation 2002 EPA $6,000
CORPUS CHRISTI ALUMINA Glencore environmental violation 2002 EPA $5,000
CORPUS CHRISTI ALUMINA Glencore environmental violation 2002 EPA $5,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray investor protection violation 2002 SEC $100,000
Dean Witter Reynolds Inc. Morgan Stanley investor protection violation 2002 SEC $500,000
RBC Dain Rauscher Incorporated Royal Bank of Canada investor protection violation 2002 SEC $500,000
Knight Securities, L.P. Virtu Financial investor protection violation 2002 SEC $75,000
Josephthal & Co., Inc. Oppenheimer Holdings investor protection violation 2002 SEC $75,000
ACE Cash Express, Inc. ACE Cash Express payday lending violation 2002 CO-AG $1,300,000
Bankers Life and Casualty Company CNO Financial privacy violation 2002 KY-AG $5,000
Bear Stearns & Co. LLC JPMorgan Chase investor protection violation 2002 MULTI-AG (*) $80,000,000
Citibank Citigroup consumer protection violation 2002 MULTI-AG $1,600,000
Citibank Citigroup consumer protection violation 2002 CA-AG $1,600,000
Citibank Citigroup illegal gambling business 2002 NY-AG $100,000
Credit Suisse First Boston Corp. Credit Suisse investor protection violation 2002 MULTI-AG (*) $200,000,000
Deutsche Bank Deutsche Bank investor protection violation 2002 MULTI-AG $80,000,000
Discover Financial Services, Inc./Millenium Teleservices, Inc. Discover Financial Services privacy violation 2002 KY-AG $5,000
First American Title Insurance Company First American Financial consumer protection violation 2002 CA-AG $7,000,000
First USA JPMorgan Chase consumer protection violation 2002 MULTI-AG $1,300,000
Goldman Sachs Goldman Sachs investor protection violation 2002 MULTI-AG (*) $110,000,000
Household Finance Corp. HSBC mortgage abuses 2002 MULTI-AG $484,000,000
J.P. Morgan Chase & Co. JPMorgan Chase investor protection violation 2002 MULTI-AG (*) $80,000,000
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