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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
American Express CompanyAmerican Expresseconomic sanction violation2004OFAC$5,500
Arab Banking Corp.Arab Banking Corp.economic sanction violation2004OFAC$5,500
Bank of AmericaBank of Americaeconomic sanction violation2004OFAC$13,573
Bank of ChinaBank of Chinaeconomic sanction violation2004OFAC$10,000
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$137,500
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$34,623
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$27,500
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$5,500
Bank OneJPMorgan Chaseeconomic sanction violation2004OFAC$5,500
Bank OneJPMorgan Chaseeconomic sanction violation2004OFAC$6,682
Barclays Bank PLCBarclayseconomic sanction violation2004OFAC$14,970
California United BankPacWest Bancorpeconomic sanction violation2004OFAC$7,250
CitibankCitigroupeconomic sanction violation2004OFAC$5,500
Citicorp Vendor Finance LtdCitigroupeconomic sanction violation2004OFAC$7,379
Commerzbank AGCommerzbankeconomic sanction violation2004OFAC$5,500
Deutsche BankDeutsche Bankeconomic sanction violation2004OFAC$5,500
First Union BankWells Fargoeconomic sanction violation2004OFAC$18,740
Hanmi BankHanmi Financial Corp.economic sanction violation2004OFAC$7,000
HSBC Bank USAHSBCeconomic sanction violation2004OFAC$5,500
HSBC Bank USAHSBCeconomic sanction violation2004OFAC$8,375
JP Morgan ChaseJPMorgan Chaseeconomic sanction violation2004OFAC$26,980
JP Morgan Chase & Co.JPMorgan Chaseeconomic sanction violation2004OFAC$17,303
JP Morgan Chase & Co.JPMorgan Chaseeconomic sanction violation2004OFAC$73,281
JP Morgan Chase BankJPMorgan Chaseeconomic sanction violation2004OFAC$9,748
JP Morgan Chase BankJPMorgan Chaseeconomic sanction violation2004OFAC$18,094
Mellon Bank N.A.Bank of New York Melloneconomic sanction violation2004OFAC$10,400
Merrill Lynch, Pierce, Fenner & Smith, IncBank of Americaeconomic sanction violation2004OFAC$22,904
Ruesch International, Inc.Western Unioneconomic sanction violation2004OFAC$7,811
Santander Bank & Trust (Bahamas) LtdBanco Santandereconomic sanction violation2004OFAC$20,000
Wachovia BankWells Fargoeconomic sanction violation2004OFAC$11,000
Old National BankOld National Bancorpbanking violation2004OCC$12,500
Old National BankOld National Bancorpbanking violation2004OCC$7,500
Riggs Bank National AssociationPNC Financial Servicesanti-money-laundering deficiencies2004OCC$25,000,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2004SEC$75,000,000
Knight Securities, L.P.Virtu Financialinvestor protection violation2004SEC$66,500,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc.Franklin Resourcesinvestor protection violation2004SEC$20,000,000
American International Group, Inc.American International Groupinvestor protection violation2004SEC$46,000,000
Wachovia CorporationWells Fargoinvestor protection violation2004SEC$37,000,000
AIM Advisors, Inc. and AIM Distributors, Inc.Invescoinvestor protection violation2004SEC$50,000,000
Invesco Funds Group, Inc.Invescoinvestor protection violation2004SEC$325,000,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004SEC$2,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzinvestor protection violation2004SEC$11,600,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2004SEC$350,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzinvestor protection violation2004SEC$50,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2004SEC$87,500,000
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2004SEC$12,500,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2004SEC$125,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2004SEC$875,000
Morgan Keegan & Co., Inc.Raymond James Financialinvestor protection violation2004SEC$875,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.Prudential Financialinvestor protection violation2004SEC$375,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities CorporationCowen Inc.investor protection violation2004SEC$125,000
Janus Capital Management LLCJanus Hendersoninvestor protection violation2004SEC$100,000,000
Conseco, Inc.CNO Financialinvestor protection violation2004SEC$15,000,000
Fidelity Brokerage Services, LLCFidelity Investmentsinvestor protection violation2004SEC$1,000,000
Franklin Advisers, Inc.Franklin Resourcesinvestor protection violation2004SEC$50,000,000
Banc One Investment Advisors CorporationJPMorgan Chaseinvestor protection violation2004SEC$50,000,000
Wilmington Trust CompanyM&T Bankinvestor protection violation2004SEC$125,000
Strong Capital Management, Inc.Wells Fargoinvestor protection violation2004SEC$80,000,000
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2004SEC$50,000,000
Spear, Leeds & Kellogg Specialists LLCGoldman Sachsinvestor protection violation2004SEC$45,272,478
FleetBoston Financial CorporationBank of Americainvestor protection violation2004SEC$140,000,000
Banc of America Securities LLCBank of Americainvestor protection violation2004SEC$10,000,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2004SEC$3,706,693
Legg Mason Wood Walker, Inc.Franklin Resourcesinvestor protection violation2004SEC$2,315,467
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2004SEC$2,595,129
UBS Financial Services Inc.UBSinvestor protection violation2004SEC$4,621,768
Wachovia Securities, LLCWells Fargoinvestor protection violation2004SEC$4,844,465
Massachusetts Financial Services Co.Sun Life Financialinvestor protection violation2004SEC$225,000,000
AmSouthRegions Financialanti-money-laundering deficiencies2004FINCEN$10,000,000
Morgan StanleyMorgan Stanleyemployment discrimination2004EEOC$54,000,000
National City Mortgage, Co.PNC Financial Serviceswage and hour violation2004WHD$6,150
American Express Travel Related Services CompAmerican ExpressFamily and Medical Leave Act2004WHD$26,722
First Horizon National CorporationFirst Horizon Nationalwage and hour violation2004WHD$9,344
Ace America's Cash Express, Inc.ACE Cash Expresswage and hour violation2004WHD$26,295
Towers PerrinWillis Towers Watsonwage and hour violation2004WHD$376,093
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2004WHD$228,209
Bank of America CorporationBank of Americawage and hour violation2004WHD$5,972
AON Consulting Corporation IncAonwage and hour violation2004WHD$47,131
JPMorgan Chase BankJPMorgan Chasewage and hour violation2004WHD$19,373
Santander Mortgage CorporationBanco Santanderwage and hour violation2004WHD$62,895
Countrywide Financial CorporationBank of Americawage and hour violation2004WHD$54,453
Sentry Insurance a Mutual CompanySentry Insurancewage and hour violation2004WHD$46,524
Fidelity National Financial, IncFidelity National Financialwage and hour violation2004WHD$7,945
Allied Home MortgageAmericus Mortgagewage and hour violation2004WHD$14,037
Banco Popular North America, Inc.Popular Inc.wage and hour violation2004WHD$17,363
Wachovia BankWells Fargowage and hour violation2004WHD$5,798,744
CINCINNATI BELLMacquarielabor relations violation2004NLRB$39,200
AmSouth BancorporationRegions Financialfraud2004USAO$40,000,000
Ace America's Cash ExpressACE Cash Expresswage and hour violation2004CA-LCO$75,000
ProgressiveProgressivewage and hour violation2004private lawsuit-federal$5,400,000
Spencer Press of MaineChatham Asset Managementemployment discrimination2004private lawsuit-federal$480,552
R.R. Donnelley & SonsChatham Asset Managementemployment discrimination2004private lawsuit-federal$15,000,000
Donaldson, Lufkin & Jenrette Securities Corp.Credit Suisseinvestor protection violation2004SEC$1,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2004SEC$2,000,000
Household InternationalHSBCbenefit plan administrator violation2004private lawsuit-federal$46,500,000
AIM AdvisorsInvescoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Allianz Dresdner Asset Management of America LPAllianzinvestor protection violation2004NJ-AG$18,000,000
Banc of America Capital Management LLC et al.Bank of Americainvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $375,000,000
Banc One Investment Advisors CorporationJPMorgan Chaseinvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,000,000
CIT Technology Financing Services, Inc.First Citizens BancSharesconsumer protection violation2004NY-AG$4,200,000
Conseco, Inc.CNO Financialinvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $15,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.