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
BB&T Truist Financial economic sanction violation 2007 OFAC $10,000
American Express Travel Related Services Co., Inc. American Express economic sanction violation 2007 OFAC $16,625
National Australia Bank Ltd. National Australia Bank economic sanction violation 2007 OFAC $100,000
Wachovia Bank Wells Fargo economic sanction violation 2007 OFAC $11,000
Keybank National Association KeyCorp banking violation 2007 OCC $27,750
First Tennessee Bank National Association First Horizon National banking violation 2007 OCC $125,000
Lasalle Bank MidWest National Association Bank of America banking violation 2007 OCC $125,000
Lasalle Bank National Association Bank of America banking violation 2007 OCC $79,524
Federal Home Loan Mortgage Corporation (Freddie Mac) Freddie Mac (Federal Home Loan Mortgage Corporation) investor protection violation 2007 SEC $50,000,000
Evergreen Investment Management Company Wells Fargo investor protection violation 2007 SEC $32,500,000
HSBC Bank USA, N.A. HSBC investor protection violation 2007 SEC $10,500,000
Swiss Re Financial Products Corporation Swiss Re investor protection violation 2007 SEC $95,000
General American Life Insurance Company MetLife investor protection violation 2007 SEC $3,300,000
First BanCorp First Bancorp (Puerto Rico) accounting fraud or deficiencies 2007 SEC $8,500,000
Barclays Bank PLC Barclays insider trading 2007 SEC $10,943,561
The BISYS Group Citigroup accounting fraud or deficiencies 2007 SEC $25,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2007 SEC $7,957,200
Zurich Capital Markets Inc. Zurich Insurance investor protection violation 2007 SEC $16,800,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2007 SEC $3,860,000
Banc of America Securities LLC Bank of America fraud 2007 SEC $26,000,000
Goldman Sachs Execution and Clearing L.P. Goldman Sachs investor protection violation 2007 SEC $2,000,000
RenaissanceRe Holdings Ltd. RenaissanceRe Holdings accounting fraud or deficiencies 2007 SEC $15,000,000
MBIA Inc. MBIA accounting fraud or deficiencies 2007 SEC $50,000,000
Fred Alger Management, Inc. Alger Associates investor protection violation 2007 SEC $40,000,000
First American Title Insurance Company First American Financial kickbacks and bribery 2007 HUD $5,000,000
FRED ALGER & COMPANY, INCORPORATED Alger Associates benefit plan administrator violation 2007 EBSA $50,001
J P Morgan Chase JPMorgan Chase Family and Medical Leave Act 2007 WHD $5,008
General Revenue Corporation Navient wage and hour violation 2007 WHD $13,854
Fifth Third Bancorp Fifth Third Bancorp wage and hour violation 2007 WHD $9,038
UBS Financial Services, Inc. UBS wage and hour violation 2007 WHD $27,152
Lehman Brothers, Inc. Lehman Brothers wage and hour violation 2007 WHD $17,557
Trafigura AG Trafigura wage and hour violation 2007 WHD $11,839
HSBC HSBC wage and hour violation 2007 WHD $16,545
International Matex Tank Terminals Macquarie railroad safety violation 2007 FRA $5,250
International Matex Tank Terminals Macquarie railroad safety violation 2007 FRA $14,000
Omega Advisors Omega Advisors Foreign Corrupt Practices Act 2007 USAO $500,000
National City Mortgage Co. PNC Financial Services wage and hour violation 2007 CA-LCO $76,000
First NLC Arlington Asset Investment Corp. wage and hour violation 2007 private lawsuit-federal $14,000,000
A.G. Edwards Wells Fargo wage and hour violation 2007 private lawsuit-federal $20,000,000
E-Loan Inc. Popular Inc. wage and hour violation 2007 private lawsuit-federal $13,600,000
UBS UBS wage and hour violation 2007 private lawsuit-federal $44,000,000
Bank of America Bank of America wage and hour violation 2007 private lawsuit-state $2,500,000
UBS UBS wage and hour violation 2007 private lawsuit-federal $45,000,000
Wells Fargo Wells Fargo wage and hour violation 2007 private lawsuit-federal $12,800,000
Harris N.A. Bank of Montreal benefit plan administrator violation 2007 EBSA $274,600
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2007 SEC $17,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2007 SEC $7,500,000
Smith Barney Fund Management LLC Franklin Resources investor protection violation 2007 SEC $450,000
Putnam Investment Management, LLC Power Financial Corporation investor protection violation 2007 SEC $350,000
AllianceBernstein, L.P. Equitable Holdings investor protection violation 2007 SEC $450,000
John Hancock Investment Management Services, LLC Manulife Financial investor protection violation 2007 SEC $19,787,879
Citigroup Global Markets, Inc. Citigroup investor protection violation 2007 SEC $200,000
Deutsche Bank Trust Company Americas Deutsche Bank investor protection violation 2007 SEC $750,000
The Bank Of New York Bank of New York Mellon investor protection violation 2007 SEC $750,000
Wilmington Trust Company M&T Bank investor protection violation 2007 SEC $100,000
Morgan Stanley Morgan Stanley employment discrimination 2007 private lawsuit-federal $46,000,000
St Paul Travelers Companies Inc. Travelers benefit plan administrator violation 2007 private lawsuit-federal $4,450,000
Comerica Incorporated Comerica benefit plan administrator violation 2007 private lawsuit-federal $2,020,000
ACE Limited Chubb Limited price-fixing or anti-competitive practices 2007 PA-AG $9,000,000
ACE Group Holdings, Inc. Chubb Limited price-fixing or anti-competitive practices 2007 MULTI-AG $4,500,000
Allianz Life Insurance Company of North America Allianz investor protection violation 2007 MN-AG $500,000
Allstate Company, Inc. Allstate wage and hour violation 2007 MA-AG $125,000
American Heritage Life Insurance Co. Allstate consumer protection violation 2007 TX-AG $1,700,000
American International Group American International Group False Claims Act and related 2007 MA-AG $58,500,000
American National Insurance Co. American National Insurance consumer protection violation 2007 TX-AG $6,500,000
Citibank Citigroup consumer protection violation 2007 NY-AG $2,000,000
Fred Alger Management, Inc. Alger Associates investor protection violation 2007 NY-AG (*) $45,000,000
Hartford Financial Services Group, Inc. Hartford Financial Services price-fixing or anti-competitive practices 2007 MULTI-AG $115,000,000
HSBC Bank USA, N.A. HSBC environmental violation 2007 NY-AG $918,000
Jackson Hewitt, Inc. Jackson Hewitt consumer protection violation 2007 CA-AG $5,000,000
Liberty Mutual Liberty Mutual Insurance consumer protection violation 2007 MA-AG $50,000
MBIA, Inc. MBIA investor protection violation 2007 NY-AG $25,000,000
Nelnet Inc. Nelnet consumer protection violation 2007 NY-AG $2,000,000
Principal Financial Group Principal Financial kickbacks and bribery 2007 CT-AG $5,000,000
Protective Life Insurance Co. Dai-ichi Life consumer protection violation 2007 TX-AG $1,570,000
Sallie Mae Navient consumer protection violation 2007 NY-AG $2,000,000
Smith Barney Morgan Stanley investor protection violation 2007 NJ-AG $5,000,000
Smith Barney Morgan Stanley investor protection violation 2007 NJ-AG $978,000
Student Loan Xpress, Inc. CIT consumer protection violation 2007 NY-AG $3,000,000
The Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2007 MA-AG $20,000
Time Insurance Company Haven Holdings consumer protection violation 2007 MA-AG $16,000
TravelersCompanies, Inc. Travelers price-fixing or anti-competitive practices 2007 MULTI-AG $6,000,000
UBS Financial Services, Inc. UBS investor protection violation 2007 NY-AG $23,300,000
Union Security Insurance Company Assurant consumer protection violation 2007 MA-AG $28,000
United States Fidelity & Guaranty Travelers False Claims Act and related 2007 CT-AG $17,500,000
Wachovia Capital Markets, LLC Wells Fargo investor protection violation 2007 MD-AG $402,386
Willis Group Holdings Ltd. Willis Towers Watson consumer protection violation 2007 FL-AG $2,600,000
VITOL, S.A. Vitol kickbacks and bribery 2007 NY-MANDA $17,500,000
Liberty Mutual Group Liberty Mutual Insurance insurance violation 2007 AK-INS $32,500
Moneygram Payment Systems, Inc. MoneyGram International consumer protection violation 2007 AZ-DFS $125,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $10,000
Harleysville Mutual Insurance Co. Nationwide insurance violation 2007 CA-INS $299,500
Metropolitan Life Insurance Co. MetLife insurance violation 2007 CA-INS $700,000
21st Century Insurance Co. and 21st Century Casualty Co. Zurich Insurance insurance violation 2007 CA-INS $50,000
QBE Insurance Corp. QBE Insurance insurance violation 2007 CA-INS $120,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $5,000
Stewart Title Guaranty Co. and Electronic Closing Services, Inc. dba E-Title Stewart Information Services insurance violation 2007 CA-INS $1,500,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $5,000
Farmers Insurance Exchange et al. Farmers Insurance Exchange insurance violation 2007 CA-INS $2,000,000
Infinity Insurance Companies Kemper insurance violation 2007 CA-INS $750,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2007 CA-INS $1,000,400
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)