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
Oppenheimer & Company, Inc. Oppenheimer Holdings anti-money-laundering deficiencies 2005 FINCEN $2,800,000
First American Title Insurance Company First American Financial kickbacks and bribery 2005 HUD $680,000
Chicago Title Insurance Company Fidelity National Financial mortgage abuses 2005 HUD $5,000,000
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLAN American International Group benefit plan administrator violation 2005 EBSA $50,001
Huntington National Bank Huntington Bancshares wage and hour violation 2005 WHD $51,259
J P Morgan Chase Bank JPMorgan Chase wage and hour violation 2005 WHD $6,688
Nationwide Mutual Insurance Company Nationwide wage and hour violation 2005 WHD $16,185
Ace Cash Express, Inc. ACE Cash Express wage and hour violation 2005 WHD $12,796
Nationwide Credit, Inc. Altisource Portfolio Solutions wage and hour violation 2005 WHD $68,433
Scott Danahy Naylon Co. Inc. Financial Institutions Inc. wage and hour violation 2005 WHD $5,495
Compass Bank PNC Financial Services wage and hour violation 2005 WHD $810,122
Compass Bank PNC Financial Services 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
Towers Perrin Willis Towers Watson wage and hour violation 2005 WHD $105,865
Towers, Perrin, Forrester & Crosby Willis Towers Watson wage and hour violation 2005 WHD $294,279
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
CIBC World Markets Corporation Canadian Imperial Bank of Commerce investor protection violation 2005 SEC $496,598
State Street Research & Management Company State Street Corp. investor protection violation 2005 SEC $585,743
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
Kemper Investors Life Insurance Co. et al. Kemper insurance violation 2005 CA-INS $21,000
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
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)