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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
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$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
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
Compass Bank Banco Bilbao Vizcaya Argentaria wage and hour violation 2005 WHD $810,122
Compass Bank Banco Bilbao Vizcaya Argentaria wage and hour violation 2005 WHD $5,105
Fidelity National Financial, Inc. Fidelity National Financial wage and hour violation 2005 WHD $778,391
Bank of America Bank of America wage and hour violation 2005 WHD $12,824
Washington Mutual, Inc. JPMorgan Chase wage and hour violation 2005 WHD $404,982
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2005 WHD $9,830
TIAA TIAA wage and hour violation 2005 WHD $327,168
The First American Title Insurance, Co. First American Financial wage and hour violation 2005 WHD $24,067
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank wage and hour violation 2005 WHD $55,208
Goodrich Aviation Technical Services, Inc. Macquarie wage and hour violation 2005 WHD $47,369
USAA Insurance USAA labor relations violation 2005 NLRB $125,361
Watson Wyatt & Co. Willis Towers Watson labor relations violation 2005 NLRB $91,000
Wheelabrator Westchester, L.P. Macquarie labor relations violation 2005 NLRB $13,000
CIT Group Inc. CIT export control violation 2005 BIS $74,800
The Bank of New York Bank of New York Mellon anti-money-laundering deficiencies 2005 USAO $38,000,000
Riggs Bank PNC Financial Services anti-money-laundering deficiencies 2005 USAO $16,000,000
Liberty Mutual Liberty Mutual Insurance wage and hour violation 2005 private lawsuit-federal $6,400,000
Allstate Insurance Allstate wage and hour violation 2005 private lawsuit-state $120,000,000
Countrywide Financial Bank of America wage and hour violation 2005 private lawsuit-state $30,000,000
State Farm State Farm Insurance wage and hour violation 2005 private lawsuit-state $135,000,000
Combined Insurance Company of America Chubb Limited employment discrimination 2005 private lawsuit-federal $8,500,000
Ocwen Financial Ocwen Financial employment discrimination 2005 private lawsuit-state $2,000,000
WHEELABRATOR SOUTH BROWARD, INC 120110211900314 Macquarie environmental violation 2005 EPA $14,450
SUN LIFE ASSURANCE CO OF CANADA Sun Life Financial environmental violation 2005 EPA $31,635
BANK OF NEW YORK MELLON - 101 BARCLAY Bank of New York Mellon environmental violation 2005 EPA $15,000
IAC SPRINGFIELD, LLC Invesco environmental violation 2005 EPA $17,500
CIBC World Markets Corporation Canadian Imperial Bank of Commerce investor protection violation 2005 SEC $496,598
Legg Mason Wood Walker, Incorporated Franklin Resources investor protection violation 2005 SEC $1,000,000
U.S. Bank National Association U.S. Bancorp investor protection violation 2005 SEC $500,000
Prudential Equity Group, LLC Prudential Financial investor protection violation 2005 SEC $125,000
UBS Securities LLC UBS investor protection violation 2005 SEC $700,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLC Bank of America investor protection violation 2005 SEC $1,500,000
Credit Suisse First Boston, LLC Credit Suisse investor protection violation 2005 SEC $200,000
Fiserv Securities, Inc. Fidelity Investments investor protection violation 2005 SEC $15,000,000
Putnam Investment Management, LLC Power Financial Corporation investor protection violation 2005 SEC $40,000,001
J.P. Morgan Securities Inc. JPMorgan Chase investor protection violation 2005 SEC $700,000
HSBC Bank USA HSBC benefit plan administrator violation 2005 private lawsuit-federal $9,350,000
1st Financial Bank U.S.A. 1st Financial Bank USA banking violation 2005 WI-AG $43,142
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2005 NJ-AG $5,000,000
Aon Corporation Aon price-fixing or anti-competitive practices 2005 MULTI-AG $190,000,000
Arthur J. Gallagher & Co. Arthur J. Gallagher & Co. consumer protection violation 2005 IL-AG $27,000,000
BB&T Leasing Company Truist Financial consumer protection violation 2005 NY-AG $159,097
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce investor protection violation 2005 NY-AG (*) $125,000,000
Capital One Bank Capital One Financial banking violation 2005 WI-AG $80,032
CIT Group/Equipment Financing, Inc. CIT consumer protection violation 2005 MULTI-AG $10,000,000
CIT Technology Financing Services, Inc. CIT consumer protection violation 2005 NJ-AG $4,360,000
De Lage Landen Financial Services, Inc. Rabobank consumer protection violation 2005 MULTI-AG $872,000
Federated Investors, Inc. Federated Hermes investor protection violation 2005 NY-AG (*) $100,000,000
HealthNow New York Highmark Inc. consumer protection violation 2005 NY-AG $5,000
Marsh & McLennan Companies, Inc. Marsh & McLennan price-fixing or anti-competitive practices 2005 MULTI-AG $850,000,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America investor protection violation 2005 NJ-AG $10,000,000
Midland Credit Management, Inc. Encore Capital Group consumer protection violation 2005 WV-AG $3,500,000
Morgan Stanley DW Morgan Stanley investor protection violation 2005 DE-AG $700,000
Nationwide Life Insurance Nationwide consumer protection violation 2005 MA-AG $650,000
St. Paul Travelers Companies Inc. Travelers investor protection violation 2005 NM-AG $67,500,000
State Farm Mutual Automobile Insurance Co. State Farm Insurance consumer protection violation 2005 TX-AG $10,000,000
State Farm Mutual Insurance Company State Farm Insurance consumer protection violation 2005 MULTI-AG $41,000,000
SunTrust Bank Truist Financial banking violation 2005 WI-AG $10,107
U.S. Bancorp U.S. Bancorp consumer protection violation 2005 CA-AG $2,600,000
Unum Life Insurance Co. Unum False Claims Act and related 2005 MA-AG $650,000
Wells Fargo Financial Leasing, Inc. Wells Fargo consumer protection violation 2005 MULTI-AG $10,000,000
Western Union Financial Services Western Union consumer protection violation 2005 MULTI-AG $8,529,000
Willis Group Holdings Ltd. Willis Towers Watson price-fixing or anti-competitive practices 2005 NY-AG $50,000,000
Israel Discount Bank of New York Israel Discount Bank anti-money-laundering deficiencies 2005 NY-MANDA $8,500,000
Watson Wyatt & Company Willis Towers Watson False Claims Act and related 2005 USAO $689,828
Prudential Equity Group, Inc. Prudential Financial investor protection violation 2005 AL-SEC $45,000
Morgan Keegan & Co. Raymond James Financial investor protection violation 2005 AL-SEC $100,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2005 AZ-SEC $1,000,000
Allianz Life Insurance Company of North America Allianz insurance violation 2005 CA-INS $425,000
Coast National Insurance Co. Zurich Insurance insurance violation 2005 CA-INS $120,000
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2005 CA-INS $175,000
American Bankers Insurance Company of Florida et al. Assurant insurance violation 2005 CA-INS $250,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2005 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2005 CA-MHC $100,000
Stewart Title of California, Inc. Stewart Information Services insurance violation 2005 CA-INS $750,000
Allstate Insurance Co. Allstate insurance violation 2005 CA-INS $34,000,000
Wells Fargo Financial California, Inc. Wells Fargo consumer protection violation 2005 CA-DFPI $1,621,010
Infinity Insurance Co. et al. Kemper insurance violation 2005 CA-INS $600,000
American Title Co. dba Ticor Title Company of America Fidelity National Financial insurance violation 2005 CA-INS $1,200,000
Amco Insurance Co. and Allied Property and Casualty Insurance Co. Nationwide insurance violation 2005 CA-INS $20,000
Unum Life Insurance Company of America et al. Unum insurance violation 2005 CA-INS $8,598,503
Harleysville Mutual Insurance Co. Nationwide insurance violation 2005 CA-INS $100,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2005 CO-SEC $259,227
Federal Insurance Co. Chubb Limited insurance violation 2005 CO-INS $16,000
Commerce and Industry Insurance Co. American International Group insurance violation 2005 CO-INS $6,000
Allstate Insurance Co. Allstate insurance violation 2005 CO-INS $10,500
Wilmington Trust Co. M&T Bank investor protection violation 2005 DE-SEC $50,000
American National Property & Casualty Co. American National Insurance insurance violation 2005 FL-OFR $7,500
Amex Assurance Co. American Express insurance violation 2005 FL-OFR $12,500
Axa Re Property and Casualty Insurance Co. AXA insurance violation 2005 FL-OFR $15,000
Scottsdale Insurance Co. Nationwide insurance violation 2005 FL-OFR $5,000
Sentry Insurance A Mutual Company Sentry Insurance insurance violation 2005 FL-OFR $7,500
State Farm Florida Insurance Co. State Farm Insurance insurance violation 2005 FL-OFR $5,000
United Casualty Insurance Company of America Kemper insurance violation 2005 FL-OFR $17,500
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2005 FL-OFR $50,000
Safeco Insurance Company of America et al. Liberty Mutual Insurance insurance violation 2005 FL-OFR $35,350
Ticor Title Insurance Co. Fidelity National Financial insurance violation 2005 FL-OFR $50,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2005 IL-SEC $7,500
Bear, Stearns & Co., Inc. JPMorgan Chase investor protection violation 2005 IL-SEC $10,000
Safeco Insurance Co. of America Liberty Mutual Insurance insurance violation 2005 IN-INS $5,000
American Automobile Insurance Company Allianz insurance violation 2005 MA-INS $9,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)