Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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
Fidelity Management Trust Company Fidelity Investments benefit plan administrator violation 2007 private lawsuit-federal $10,850,000
J.P. Morgan Securities, Inc. JPMorgan Chase investor protection violation 2007 FINRA $500,000
Wachovia Capital Markets, LLC Wells Fargo investor protection violation 2007 FINRA $300,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2007 FINRA $1,000,000
UBS Financial Services, Inc. UBS investor protection violation 2007 FINRA $370,000
Morgan Stanley & Co. Morgan Stanley investor protection violation 2007 FINRA $12,500,000
AXA Advisors, LLC Equitable Holdings investor protection violation 2007 FINRA $2,600,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2007 FINRA $6,100,000
MML Investors Services, Inc. Massachusetts Mutual Life Insurance investor protection violation 2007 FINRA $473,000
NYLIFE Securities LLC New York Life Insurance investor protection violation 2007 FINRA $354,000
Northwestern Mutual Investment Services, LLC Northwestern Mutual investor protection violation 2007 FINRA $100,000
Wells Fargo Securities, LLC Wells Fargo investor protection violation 2007 FINRA $250,000
Wachovia Securities LLC Wells Fargo investor protection violation 2007 FINRA $2,000,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2007 FINRA $15,200,000
HSBC Brokerage HSBC investor protection violation 2007 FINRA $250,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Corporation Fidelity Investments investor protection violation 2007 FINRA $400,000
Raymond James Financial Services Inc. Raymond James Financial investor protection violation 2007 FINRA $2,750,000
Banc of America Investment Services Inc. Bank of America anti-money-laundering deficiencies 2007 FINRA $3,000,000
Putnam Retail Management Limited Partnership Power Financial Corporation investor protection violation 2007 FINRA $175,000
AllianceBernstein Investments, Inc. Equitable Holdings investor protection violation 2007 FINRA $100,000
Fidelity Distributors Corp. et al. Fidelity Investments investor protection violation 2007 FINRA $3,750,000
CITIMORTGAGE, INC. Citigroup workplace safety or health violation 2007 OSHA $5,097
WASHINGTON MUTUAL JPMorgan Chase workplace safety or health violation 2007 OSHA $5,000
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
Canyon Fuel Company 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 $10,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $6,000
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 $9,288
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 $5,503
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
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,996
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,080
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 $11,500
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $9,634
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 $15,971
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $11,600
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $18,800
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 $25,000
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 $10,705
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $8,421
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $6,458
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 $40,000
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
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,460
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
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