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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $340,660,984,318
Number of Records: 7,055
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$83,124,221,356268
JPMorgan Chase$36,129,269,434222
Citigroup$25,540,655,365157
Wells Fargo$22,081,446,244228
Deutsche Bank$18,341,457,30276
UBS$16,880,243,334103
Goldman Sachs$16,399,475,84887
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,154,369,73321
Credit Suisse$10,732,400,12649

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
Dain Rauscher IncorporatedRoyal Bank of Canadainvestor protection violation2000SEC$12,941,191
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2000SEC$5,200,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2000SEC$5,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2000SEC$2,500,000
PaineWebber IncorporatedUBSinvestor protection violation2000SEC$26,200,000
Prudential Securities IncorporatedWells Fargoinvestor protection violation2000SEC$5,880,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2000SEC$45,000,000
Warburg Dillon Read LLCUBSinvestor protection violation2000SEC$6,680,000
Josephthal & Co.Oppenheimer Holdingsemployment discrimination2000EEOC$330,000
Cincinnati Bell Telephone and Cincinnati Bell Information SystemsMacquarieemployment discrimination2000EEOC$1,000,000
First Union BankWells Fargolabor relations violation2000NLRB$9,116
Fifth Third BankFifth Third Bancorpemployment discrimination2000OFCCP$440,000
Wachovia National Bank, N.A.Wells Fargobenefit plan administrator violation2000EBSA$30,000,000
Liberty Mutual InsuranceLiberty Mutual Insuranceemployment discrimination2000private lawsuit-state$348,111
First Union Securities, Inc.Wells Fargoinvestor protection violation2000SEC$408,931
Dean Witter Reynolds Inc.Morgan Stanleyinvestor protection violation2000SEC$476,702
Fahnestock & Co., Inc.Oppenheimer Holdingsinvestor protection violation2000SEC$20,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2000SEC$100,000
Dreyfus CorporationBank of New York Melloninvestor protection violation2000SEC$950,000
Dreyfus CorporationBank of New York Melloninvestor protection violation2000NY-AG$2,000,000
Metropolitan Life Insurance Co.MetLifeconsumer protection violation2000MA-AG$1,200,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2000MA-AG$1,840,000
MONY Life Insurance Co.Dai-ichi Lifeconsumer protection violation2000CT-AG$250,000
Providian Financial Corp.JPMorgan Chaseconsumer protection violation2000CA-AG$305,500,000
Providian Financial Corp.JPMorgan Chaseconsumer protection violation2000CT-AG$1,600,000
State FarmState Farm Insuranceconsumer protection violation2000TX-AG$3,100,000
Union Security Life Insurance CoAssurantconsumer protection violation2000MA-AG$1,000,000
US BankU.S. Bancorpprivacy violation2000MULTI-AG$2,000,000
American Express Financial AdvisorsAmeriprise Financialinvestor protection violation2000AZ-CC$125,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2000CO-INS$25,000
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2000CO-INS$20,750
Group Hospitalization and Medical Services, Inc.CareFirst of Marylandinsurance violation2000DC-DISB$10,000
American Heritage Life Insurance Co.Allstateinsurance violation2000FL-OFR$12,750
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2000FL-OFR$8,750
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2000FL-OFR$5,500
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2000FL-OFR$14,000
Conseco Life Insurance Co.CNO Financialinsurance violation2000FL-OFR$5,625
American General Life and Accident Insurance Co.American International Groupinsurance violation2000KS-INS$23,400
New Hampshire Insurance Co.American International Groupinsurance violation2000KS-INS$10,375
National Union Fire Insurance Company of Pittsburgh, PennsylvaniaAmerican International Groupinsurance violation2000KS-INS$10,375
Scottsdale Insurance CompanyNationwideinsurance violation2000MA-INS$26,208
National Casualty CompanyNationwideinsurance violation2000MA-INS$6,500
Philadelphia Indemnity Insurance CompanyTokio Marineinsurance violation2000MA-INS$7,040
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2000ME-INS$6,000
Indiana Insurance Co.Liberty Mutual Insuranceinsurance violation2000MN-FIN$25,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2000MN-FIN$15,000
Provident Life and Accident Insurance Co.Unuminsurance violation2000NC-INS$80,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2000NY-DFS$250,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2000OR-FIN$10,000
Merrill Lynch Life Insurance CompanyBank of Americainsurance violation2000SC-INS$5,000
Standard Fire Insurance CompanyTravelersinsurance violation2000SC-INS$10,000
Mid-Century Insurance Co. of TexasZurich Insuranceinsurance violation2000TX-INS$11,000,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2000TX-SEC$9,000
Principal Life Insurance Co.Principal Financialinsurance violation2000WA-INS$100,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2000WA-INS$350,000
AIG Warranty Guard, Inc.American International Groupinsurance violation2000WI-INS$100,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2000WI-INS$15,000
American GeneralAmerican International Groupinsurance violation2000MULTI-FIN$7,500,000
American General Life InsuranceAmerican International Groupdiscriminatory practices (non-employment)2000private lawsuit-federal$214,000,000
BUCKEYE PIPELINE CO LLPIFM Investorsenvironmental violation2000NJ-ENV$14,000
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieenvironmental violation2000NJ-ENV$11,600
Fleet National BankBank of Americaenvironmental violation2000RI-ENV$18,034
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2000FINRA$200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2000FINRA$97,000
E-TRADE Securities, Inc.Morgan Stanleyinvestor protection violation2000FINRA$20,000
John Nuveen & Co., Inc.TIAAinvestor protection violation2000FINRA$6,630,000
First Union Securities, Inc.Wells Fargoinvestor protection violation2000FINRA$350,000
J. P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2000FINRA$200,000
Kemper Distributors, Inc.Kemperinvestor protection violation2000FINRA$100,000
E-TRADE Securities, Inc.Morgan Stanleyinvestor protection violation2000FINRA$20,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2000FINRA$5,890,000
Raymond James & Associates Inc.Raymond James Financialinvestor protection violation2000FINRA$3,410,000
CS First Boston Corp.Credit Suisseinvestor protection violation2000FINRA$1,240,000
Piper Jaffray Inc.Piper Sandlerinvestor protection violation2000FINRA$933,000
Southwest Securities Inc.Hilltop Holdingsinvestor protection violation2000FINRA$500,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2000FINRA$100,000
Morgan Stanley & Co., Inc.Morgan Stanleyinvestor protection violation2000FINRA$495,000
Countrywide Home LoansBank of Americaenvironmental violation2000CA-SCAQMD$5,000
WHEELABRATOR SHASTA ENERGY CO.Macquarieworkplace safety or health violation2000OSHA$10,275
DEPOSITORY TRUST & CLEARING CORP.Depository Trustworkplace safety or health violation2000OSHA$13,000
BUCKEYE PIPELINEIFM Investorsenvironmental violation2000EPA$15,000
Republic New York Securities CorporationHSBCinvestor protection violation2001CFTC$5,000,000
U.S. Trust CorporationBank of Americabanking violation2001FED$5,000,000
Salomon Smith BarneyMorgan Stanleyemployment discrimination2001EEOC$635,000
CNG FINANCIAL CORPORATIONCNG Financiallabor relations violation2001NLRB$6,000
Republic New York SecuritiesHSBCfraud2001USAO$569,000,000
Bank of AmericaBank of Americawage and hour violation2001private lawsuit-state$22,000,000
Farmers Insurance ExchangeFarmers Insurance Exchangewage and hour violation2001private lawsuit-state$90,009,208
Western Asset Management Co.Franklin Resourcesinvestor protection violation2001SEC$50,000
Legg Mason Fund Adviser, Inc.Franklin Resourcesinvestor protection violation2001SEC$50,000
ABN AMRO IncorporatedABN AMROinvestor protection violation2001SEC$200,000
Legg Mason Wood Walker, IncorporatedFranklin Resourcesinvestor protection violation2001SEC$50,000
Prudential Securities IncorporatedWells Fargoinvestor protection violation2001SEC$800,000
Bank of AmericaBank of AmericaFalse Claims Act and related2001AK-AG$35,600,000
Farmers Insurance GroupZurich Insurancediscriminatory practices (non-employment)2001OH-AG$4,300,000
FleetBoston Financial CorporationBank of Americaprivacy violation2001NY-AG$100,000
H&R Block Financial AdvisorsH&R Blockprivacy violation2001MO-AG$15,000
Progressive Insurance Company of OhioProgressiveconsumer protection violation2001IA-AG$127,500
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2001CO-INS$17,250
Janney Montgomery Scott, Inc.Penn Mutualinvestor protection violation2001DE-SEC$210,909
COMMERCE AND INDUSTRY INSURANCE COMPANYAmerican International Groupinsurance violation2001FL-OFR$11,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.