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
CHUBB INDEMNITY INSURANCE, ET AL. Chubb Limited insurance violation 2007 VA-INS $5,000
MERCURY CASUALTY COMPANY Mercury General Corporation insurance violation 2007 VA-INS $25,600
OppenheimerFunds Distributor, Inc. Invesco investor protection violation 2007 WA-FIN $669,500
Asurion Warranty Services, Inc. Asurion insurance violation 2007 WI-INS $5,000
Austin Mutual Insurance Co. American Family Insurance insurance violation 2007 WI-INS $8,000
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2007 WI-FIN $50,000
CUNA Mutual Insurance Society CUNA Mutual insurance violation 2007 MULTI-FIN $584,622
Wachovia Capital Markets LLC Wells Fargo investor protection violation 2007 MULTI-FIN $24,650,000
CITIMORTGAGE, INC. Citigroup workplace safety or health violation 2007 OSHA $5,097
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INC Invesco workplace safety or health violation 2007 OSHA $5,200
INTERNATIONAL AUTOMOTIVE COMPONENTS Invesco workplace safety or health violation 2007 OSHA $5,625
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $15,971
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $6,996
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $9,625
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $11,600
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $6,996
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $18,800
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,188
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $25,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $8,421
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $9,288
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $5,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $9,625
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,503
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $7,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,961
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,705
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $6,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,503
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $6,458
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,745
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $5,211
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $8,893
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $29,529
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $27,259
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,996
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,188
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $40,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $11,500
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $40,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,080
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $9,634
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,460
Allstate Corporation Allstate discriminatory practices (non-employment) 2007 private lawsuit-federal $11,720,000
Vitol Vitol environmental violation 2007 CA-ARB $150,000
Citizens Bank of Rhode Island Citizens Financial Group environmental violation 2007 RI-ENV $7,510
Sherwin Alumina, L.P. Glencore environmental violation 2007 TX-ENV $20,488
Fidelity Management Trust Company Fidelity Investments benefit plan administrator violation 2007 private lawsuit-federal $10,850,000
WASHINGTON MUTUAL JPMorgan Chase workplace safety or health violation 2007 OSHA $5,000
BNP Paribas Commodity Futures, Ltd. BNP Paribas data submission deficiencies 2008 CFTC $25,000
CompuCredit Corporation Atlanticus Holdings banking violation 2008 FDIC $116,400,000
BANK OF THE CASCADES First Interstate Bancsystem banking violation 2008 FDIC $43,550
UMPQUA BANK Umpqua Holdings banking violation 2008 FDIC $90,240
CATHAY BANK Cathay General Bancorp banking violation 2008 FDIC $55,500
IMTT BAYONNE Macquarie railroad safety violation 2008 FRA $5,625
IMTT BAYONNE Macquarie railroad safety violation 2008 FRA $7,500
INTERNATIONAL MATEX TANK TERMINALS Macquarie railroad safety violation 2008 FRA $9,500
INTERNATIONAL MATEX TANK TERMINALS Macquarie railroad safety violation 2008 FRA $8,000
INTERNATIONAL MATEX TANK TERMINALS Macquarie railroad safety violation 2008 FRA $8,000
INTERNATIONAL MATEX TANK TERMINALS Macquarie railroad safety violation 2008 FRA $10,500
Heritage Bank of Commerce Heritage Commerce Corp. banking violation 2008 FED $6,840
CompuCredit Corporation Atlanticus Holdings consumer protection violation 2008 FTC $114,000,000
Bear Stearns Companies, LLC JPMorgan Chase mortgage abuses 2008 FTC $28,000,000
National City Mortgage Inc. PNC Financial Services False Claims Act and related 2008 DOJ_CIVIL $4,600,000
A.G. Edwards and Sons Inc. Wells Fargo economic sanction violation 2008 OFAC $122,358
BankAtlantic Truist Financial economic sanction violation 2008 OFAC $7,500
Citigroup, N. A. Citigroup economic sanction violation 2008 OFAC $16,250
Key Bank National Association KeyCorp economic sanction violation 2008 OFAC $200,000
Old National Bank Old National Bancorp banking violation 2008 OCC $56,000
Northern Trust, National Association Northern Trust banking violation 2008 OCC $125,000
Wachovia Bank, National Association Wells Fargo banking violation 2008 OCC $168,900,000
Zurich Financial Services Zurich Insurance accounting fraud or deficiencies 2008 SEC $25,000,000
AmSouth Bank Regions Financial investor protection violation 2008 SEC $11,400,000
Scottrade, Inc. Charles Schwab Corp. investor protection violation 2008 SEC $950,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2008 SEC $9,763,634
Fidelity Investments Fidelity Investments kickbacks and bribery 2008 SEC $8,000,000
E*Trade Group, Inc. Morgan Stanley benefit plan administrator violation 2008 EBSA $50,001
U.S. Bank U.S. Bancorp wage and hour violation 2008 WHD $140,787
Merrill Lynch Bank of America employment discrimination 2008 EEOC $1,550,000
Vanguard Group, Inc. Vanguard Group employment discrimination 2008 EEOC $500,000
Provident Funding Associates, LP Provident Funding Associates wage and hour violation 2008 WHD $8,453
JPMorgan Chase Bank, N.A. JPMorgan Chase wage and hour violation 2008 WHD $9,622
Fidelity National Financial, Inc Fidelity National Financial wage and hour violation 2008 WHD $27,858
Fidelity National Financial, Inc Fidelity National Financial wage and hour violation 2008 WHD $17,845
Key Bank National Association KeyCorp wage and hour violation 2008 WHD $12,691
Merrill Lynch & Co., Inc. Bank of America wage and hour violation 2008 WHD $516,924
Bank of America Bank of America Family and Medical Leave Act 2008 WHD $6,500
Bank of America Bank of America wage and hour violation 2008 WHD $6,209
Equitable Life & Casualty Insurance Company Equitable Holdings wage and hour violation 2008 WHD $19,445
Mastercard International, Inc MasterCard wage and hour violation 2008 WHD $5,777
U.S. Central Federal Credit Union U.S. Central Federal Credit Union wage and hour violation 2008 WHD $111,319
National City Corporation d/b/a National City Bank PNC Financial Services labor relations violation 2008 NLRB $49,597
National City Mortgage PNC Financial Services wage and hour violation 2008 private lawsuit-federal $27,500,000
Edward D. Jones & Co. Jones Financial wage and hour violation 2008 private lawsuit-federal $21,000,000
UBS as successor to Piper Jaffray UBS wage and hour violation 2008 private lawsuit-federal $5,500,000
E-Trade Morgan Stanley wage and hour violation 2008 private lawsuit-federal $900,000
Citigroup Citigroup wage and hour violation 2008 private lawsuit-federal $98,000,000
Edward D. Jones & Co. Jones Financial wage and hour violation 2008 private lawsuit-federal $19,000,000
USAA USAA wage and hour violation 2008 private lawsuit-federal $738,423
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