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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
Cincinnati Life Insurance CompanyCincinnati Financialdiscriminatory practices (non-employment)2004private lawsuit-state$1,900,000
Flagstar BankFlagstar Bancorpdiscriminatory practices (non-employment)2004private lawsuit-federal$1,100,000
SYNAGRO CTL LLCGoldman Sachsenvironmental violation2004PA-ENV$20,000
Pro Line Printing, Inc.Chatham Asset Managementenvironmental violation2004CT-ENV$11,125
WHEELABRATOR RIDGE ENERGY, INC.Macquarieenvironmental violation2004FL-DEP$19,000
THE HENNEGAN COMPANYChatham Asset Managementenvironmental violation2004KY-ENV$70,000
GOODRICH AVIATION TECH SRV INCMacquarieenvironmental violation2004WA-ENV$9,000
H&R Block Financial Advisors, Inc.H&R Blockinvestor protection violation2004FINRA$825,000
Knight Securities, L.P.Virtu Financialinvestor protection violation2004FINRA$12,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$275,000
Morgan Stanley DW IncMorgan Stanleyinvestor protection violation2004FINRA$336,510
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2004FINRA$1,600,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2004FINRA$700,000
Wachovia Securities LLCWells Fargoinvestor protection violation2004FINRA$650,000
Prudential Equity Group LLCPrudential Financialinvestor protection violation2004FINRA$550,000
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2004FINRA$400,000
Metropolitan Life Insurance Co.MetLifeinvestor protection violation2004FINRA$375,000
NYLife Securities, Inc.New York Life Insuranceinvestor protection violation2004FINRA$350,000
Edward Jones & Co., LPJones Financialinvestor protection violation2004FINRA$300,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2004FINRA$250,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2004FINRA$250,000
MML Investor Services, Inc.Massachusetts Mutual Life Insuranceinvestor protection violation2004FINRA$250,000
Banc of America Investment Services Inc.Bank of Americainvestor protection violation2004FINRA$200,000
ING Financial Partners, Inc.Voya Financialinvestor protection violation2004FINRA$200,000
New England SecuritiesMetLifeinvestor protection violation2004FINRA$200,000
Allstate Financial Services LLCAllstateinvestor protection violation2004FINRA$150,000
RBC Dain Rauscher, Inc.Royal Bank of Canadainvestor protection violation2004FINRA$150,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2004FINRA$150,000
World Group Securities, Inc.Aegoninvestor protection violation2004FINRA$150,000
Jefferson Pilot Securities CorporationLincoln Nationalinvestor protection violation2004FINRA$125,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2004FINRA$100,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$250,000
Credit Suisse First Boston, L.L.C.Credit Suisseinvestor protection violation2004FINRA$50,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2004FINRA$15,000
Schwab Capital Markets, L.P.UBSinvestor protection violation2004FINRA$70,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2004FINRA$16,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsinvestor protection violation2004FINRA$75,000
UBS Securities, L.L.C.UBSinvestor protection violation2004FINRA$10,000
SG Cowen, LLCCowen Inc.investor protection violation2004FINRA$800,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$2,200,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2004FINRA$5,000,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2004FINRA$5,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2004FINRA$5,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2004FINRA$250,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$250,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2004FINRA$2,400,000
Charles Schwab & Co, Inc.Charles Schwab Corp.investor protection violation2004FINRA$60,869
Edward JonesJones Financialinvestor protection violation2004FINRA$25,181
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2004FINRA$109,527
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$38,312
Prudential Equity Group, LLCPrudential Financialinvestor protection violation2004FINRA$17,306
UBS Financial Services Inc.UBSinvestor protection violation2004FINRA$200,666
Wachovia Securities, LLC.Wells Fargoinvestor protection violation2004FINRA$39,486
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004FINRA$150,000
Stifel Nicolaus & CompanyStifel Financialinvestor protection violation2004FINRA$125,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2004FINRA$300,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2004FINRA$4,950,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2004FINRA$5,290,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2004FINRA$5,390,000
Ameritrade, Inc.Charles Schwab Corp.investor protection violation2004FINRA$10,000,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2004FINRA$250,000
State Street Research Investment Services, Inc.BlackRockinvestor protection violation2004FINRA$1,500,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2004FINRA$280,469
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2004FINRA$36,971
Credit Suisse First Boston LLCCredit Suisseinvestor protection violation2004FINRA$770,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLCPrudential Financialinvestor protection violation2004FINRA$11,500,000
Fannie MaeFannie Maecampaign finance violation2004FEC$10,000
Cleco PowerMacquarieutility administrative violation2004LA-PSC$18,000,000
R.R. DONNELLEYChatham Asset Managementworkplace safety or health violation2004OSHA$5,000
WELLS FARGO SECURITIES, LLC.Wells Fargoworkplace safety or health violation2004OSHA$5,000
IFCO SYSTEMS NORTH AMERICATriton Investments Advisersworkplace safety or health violation2004OSHA$5,250
SYNAGRO TECHNOLOGIES, INC.Goldman Sachsworkplace safety or health violation2004OSHA$5,725
KEYBANK NATIONAL ASSOCIATIONKeyCorpworkplace safety or health violation2004OSHA$28,000
Credit Lyonnais Rouse LimitedCredit Agricoleinvestor protection violation2005CFTC$85,000
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2005FAA$5,000
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2005FAA$90,000
First Interstate BankFirst Interstate Bancsystembanking violation2005FED$15,750
Capital City Mortgage CorporationCapital City Bank Groupconsumer protection violation2005FTC$750,000
Bank of ChinaBank of Chinaeconomic sanction violation2005OFAC$11,000
Fidelity Brokerage Services, Inc. dba Fidelity InvestmentsFidelity Investmentseconomic sanction violation2005OFAC$63,853
PNC BankPNC Financial Serviceseconomic sanction violation2005OFAC$8,200
Seabury & Smith Inc.Marsh & McLennaneconomic sanction violation2005OFAC$46,341
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$40,423
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$30,800
The Bank of New YorkBank of New York Melloneconomic sanction violation2005OFAC$5,844
Union Bank of CaliforniaMitsubishi UFJ Financial Groupeconomic sanction violation2005OFAC$5,500
Wachovia BankWells Fargoeconomic sanction violation2005OFAC$5,500
Wells Fargo BankWells Fargoeconomic sanction violation2005OFAC$42,833
Lasalle Bank MidWest National AssociationBank of Americabanking violation2005OCC$6,250,000
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2005OCC$180,000
Wells Fargo Bank, National AssociationWells Fargobanking violation2005OCC$115,000
City National BankRoyal Bank of Canadabanking violation2005OCC$750,000
First National Bank of OmahaFirst National of Nebraskabanking violation2005OCC$20,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$15,000,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$30,000,000
Federated Investors, Inc.Federated Hermesinvestor protection violation2005SEC$72,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceinvestor protection violation2005SEC$125,000,000
Huntington Bancshares, Inc.Huntington Bancsharesaccounting fraud or deficiencies2005SEC$7,500,000
Citigroup, Inc.Citigroupinvestor protection violation2005SEC$208,000,000
New York Stock Exchange, Inc.IntercontinentalExchange Groupinvestor protection violation2005SEC$20,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.