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
Citigroup Private Bank GP, Inc. Citigroup data submission deficiencies 2009 CFTC $100,000
J.P. Morgan Futures, Inc. JPMorgan Chase data submission deficiencies 2009 CFTC $300,000
UBS Fund Advisor, LLC UBS data submission deficiencies 2009 CFTC $50,000
1ST FINANCIAL BANK USA 1st Financial Bank USA banking violation 2009 FDIC (*) $140,000
AFB&T Synovus Financial banking violation 2009 FDIC $7,040
BANK OF KENTUCKY, INC., THE Truist Financial banking violation 2009 FDIC $30,415
DORAL BANK Doral Financial banking violation 2009 FDIC $38,030
American Express Centurion Bank American Express banking violation 2009 FDIC $250,000
REPUBLIC BANK & TRUST COMPANY Republic Bancorp banking violation 2009 FDIC $22,000
CITIZENS BUSINESS BANK CVB Financial banking violation 2009 FDIC $16,200
WELLS FARGO FINANCIAL BANK Wells Fargo banking violation 2009 FDIC $125,000
THE GAS COMPANY LLC Macquarie motor vehicle safety violation 2009 FMCSA $28,440
THE GAS COMPANY LLC Macquarie motor vehicle safety violation 2009 FMCSA $28,440
Regions Bank Regions Financial banking violation 2009 FED $135,000
Compass Bank Banco Bilbao Vizcaya Argentaria banking violation 2009 FED $70,625
MoneyGram International, Inc. MoneyGram International consumer protection violation 2009 FTC $18,000,000
Credit Suisse AG Credit Suisse economic sanction violation 2009 DOJ_CRIMINAL $268,000,000
Lloyds TSB Bank PLC Lloyds Banking Group economic sanction violation 2009 DOJ_CRIMINAL $175,000,000
UBS AG UBS tax violations 2009 DOJ_TAX $780,000,000
National City Bank PNC Financial Services banking violation 2009 OCC $34,265
Wells Fargo Bank, National Association Wells Fargo banking violation 2009 OCC $51,205
First Tennessee Bank National Association First Horizon National banking violation 2009 OCC $100,000
First National Bank of Omaha First National of Nebraska banking violation 2009 OCC $100,000
Capital One, National Association Capital One Financial banking violation 2009 OCC $125,000
ICAP plc ICAP investor protection violation 2009 SEC $25,000,000
J.P. Morgan Securities Inc. JPMorgan Chase kickbacks and bribery 2009 SEC $75,000,000
Regions Bank Regions Financial investor protection violation 2009 SEC $1,000,000
Bank of America Corporation Bank of America investor protection violation 2009 SEC $33,000,000
Morgan Stanley Morgan Stanley investor protection violation 2009 SEC $500,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2009 SEC $17,300,000
Evergreen Investment Management Company LLC Wells Fargo investor protection violation 2009 SEC $40,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2009 SEC $7,000,000
UBS AG UBS tax violations 2009 SEC $200,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2009 SEC $1,000,000
Allstate Insurance Company Allstate employment discrimination 2009 EEOC $4,500,000
Nationwide Nationwide wage and hour violation 2009 WHD $28,290
JPMorgan Chase Bank, NA JPMorgan Chase wage and hour violation 2009 WHD $6,996
Zions Bancorporation Zions Bancorporation wage and hour violation 2009 WHD $15,347
The Travelers Indemnity Company Travelers wage and hour violation 2009 WHD $21,283
Sun Life Assurance Company of Canada (U.S.) Sun Life Financial wage and hour violation 2009 WHD $6,366
Gerber Life Insurance Company Western & Southern Financial Group wage and hour violation 2009 WHD $172,799
Sun Life Assurance Company of Canada (U.S.) Sun Life Financial wage and hour violation 2009 WHD $25,744
Barclays Capital Inc. Barclays wage and hour violation 2009 WHD $9,707
Metropolitan Life Insurance Company MetLife Family and Medical Leave Act 2009 WHD $6,375
Citigroup Citigroup wage and hour violation 2009 WHD $38,926
Safeco Insurance Company of America Liberty Mutual Insurance wage and hour violation 2009 WHD $37,951
Safeco Insurance Company of America Liberty Mutual Insurance wage and hour violation 2009 WHD $28,560
Safeco Insurance Company of America Liberty Mutual Insurance wage and hour violation 2009 WHD $85,353
National City Corporation PNC Financial Services labor relations violation 2009 NLRB $24,083
Taylor, Bean & Whitaker Corp. Taylor, Bean & Whitaker wage and hour violation 2009 WA-DLI $11,268
Washington Mutual Bank JPMorgan Chase wage and hour violation 2009 private lawsuit-federal $38,000,000
Wachovia Securities Wells Fargo wage and hour violation 2009 private lawsuit-federal $39,000,000
Prudential Financial Prudential Financial wage and hour violation 2009 private lawsuit-federal $11,000,000
TD Ameritrade Charles Schwab Corp. wage and hour violation 2009 private lawsuit-federal $2,500,000
AXA Financial Equitable Holdings wage and hour violation 2009 private lawsuit-federal $6,500,000
A.G. Edwards Wells Fargo wage and hour violation 2009 private lawsuit-federal $12,000,000
MetLife MetLife wage and hour violation 2009 private lawsuit-federal $7,400,000
Janney Montgomery Scott Penn Mutual wage and hour violation 2009 private lawsuit-federal $2,880,000
Morgan Stanley Morgan Stanley wage and hour violation 2009 private lawsuit-federal $50,000,000
HSBC Auto Finance HSBC wage and hour violation 2009 private lawsuit-federal $420,000
Banco Popular Popular Inc. wage and hour violation 2009 private lawsuit-federal $1,050,000
Champion Mortgage and KeyBank KeyCorp wage and hour violation 2009 private lawsuit-federal $1,200,000
Home Loan Center Inc. LendingTree wage and hour violation 2009 private lawsuit-federal $2,500,000
Hewitt Associates Aon wage and hour violation 2009 private lawsuit-federal $4,900,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2009 SEC $150,000
AXA Advisors, LLC Equitable Holdings investor protection violation 2009 SEC $50,000
New York Life Investment Management LLC New York Life Insurance investor protection violation 2009 SEC $6,100,784
American Skandia Investment Services, Inc. Prudential Financial investor protection violation 2009 SEC $68,000,000
TD Options LLC Toronto-Dominion Bank investor protection violation 2009 SEC $1,000,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC Goldman Sachs investor protection violation 2009 SEC $7,200,000
Knight Financial Products, LLC Virtu Financial investor protection violation 2009 SEC $2,040,000
RBC Capital Markets Corporation Royal Bank of Canada investor protection violation 2009 SEC $125,000
Oppenheimer & Co. Inc Oppenheimer Holdings investor protection violation 2009 SEC $850,000
SG Americas Securities, LLC Societe Generale investor protection violation 2009 SEC $8,384,932
Ferris, Baker Watts, Inc. Royal Bank of Canada investor protection violation 2009 SEC $800,656
Gabelli Funds, LLC Gamco Investors Inc. investor protection violation 2009 SEC $450,000
Bank of Hawaii Bank of Hawaii benefit plan administrator violation 2009 EBSA $2,500,000
First Hawaiian Bank BNP Paribas benefit plan administrator violation 2009 EBSA $2,500,000
Banc of America Investment Services Bank of America employment discrimination 2009 private lawsuit-federal $7,200,000
Liberty Mutual Insurance Liberty Mutual Insurance employment discrimination 2009 private lawsuit-federal $2,163,401
Merrill Lynch & Co., Inc. Bank of America benefit plan administrator violation 2009 private lawsuit-federal $75,000,000
Countrywide Financial Corporation Bank of America benefit plan administrator violation 2009 private lawsuit-federal $55,000,000
Wachovia Securities Wells Fargo benefit plan administrator violation 2009 private lawsuit-federal $1,005,000
Bank of New York Mellon Corporation Bank of New York Mellon benefit plan administrator violation 2009 private lawsuit-federal $2,200,000
MBNA Corp. Lloyds Banking Group benefit plan administrator violation 2009 private lawsuit-federal $4,500,000
American International Group American International Group wage and hour violation 2009 MA-AG $900,000
Ameriprise Financial Services, Inc. Ameriprise Financial consumer protection violation 2009 MA-AG $200,000
Bank of America Bank of America privacy violation 2009 CT-AG $350,000
Chase Bank USA, N.A. JPMorgan Chase consumer protection violation 2009 NY-AG $4,400,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2009 DE-AG $309,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2009 NJ-AG $3,300,932
Countrywide Financial Corp. Bank of America mortgage abuses 2009 CO-AG $6,000,000
Countrywide Financial Corp. Bank of America mortgage abuses 2009 RI-AG $1,146,000
Countrywide Financial Corporation Bank of America mortgage abuses 2009 OR-AG $1,000,000
Countrywide Financial Corporation Bank of America mortgage abuses 2009 PA-AG $150,000,000
Countrywide Financial Corporation Bank of America mortgage abuses 2009 SD-AG $161,805
Countrywide Financial Corporation Bank of America mortgage abuses 2009 WI-AG $41,100,000
Countrywide Financial Corporation Bank of America mortgage abuses 2009 WV-AG $340,901
Countrywide Home Loans Bank of America mortgage abuses 2009 IN-AG $2,800,000
Deutsche Bank Securities, Inc. Deutsche Bank investor protection violation 2009 NJ-AG $1,057,350
Encore Capital Group Inc., Midland Credit Management, Inc. and Midland Funding LLC Encore Capital Group consumer protection violation 2009 MD-AG $998,000
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