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
Athene Annuity and Life Company Athene Holding insurance violation 2021 TX-INS $400,000
Solium Financial Services Morgan Stanley investor protection violation 2021 DC-DISB $9,879
JPMorgan Chase Bank JPMorgan Chase discriminatory practices (non-employment) 2021 HUD $50,000
New York Life Insurance & Annuity Corporation New York Life Insurance consumer protection violation 2021 NY-DFS $10,929,000
First American Title Co. First American Financial insurance violation 2021 CA-INS $50,000
California Physicians' Service dba. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $5,000
Oscar Health Plan of California Mulberry Health insurance violation 2021 CA-MHC $75,000
John Hancock Life Insurance Co. Manulife Financial insurance violation 2021 DE-INS $5,000
Deutsche Bank Deutsche Bank Foreign Corrupt Practices Act 2021 DOJ_CRIMINAL $87,091,424
Capital One, National Association Capital One Financial anti-money-laundering deficiencies 2021 FINCEN $290,000,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2021 MN-FIN $10,000
Citibank Citigroup consumer protection violation 2021 MULTI-AG $4,200,000
E*Trade Securities LLC Morgan Stanley investor protection violation 2021 NH-BSR $5,000
American International Group American International Group insurance violation 2021 NY-DFS $12,000,000
Liberty Northwest Insurance Corp. Liberty Mutual Insurance insurance violation 2021 OR-FIN $5,000
Safeco Insurance Company of Oregon Liberty Mutual Insurance insurance violation 2021 OR-FIN $5,000
Deutsche Bank AG Deutsche Bank Foreign Corrupt Practices Act 2021 SEC $43,000,000
Nationwide Mutual Insurance Company et al. Nationwide insurance violation 2021 TX-INS $75,000
Farmers Insurance Exchange and Truck Insurance Exchange Farmers Insurance Exchange insurance violation 2021 VA-INS $15,950
CMFG Life Insurance Company CUNA Mutual insurance violation 2021 VA-INS $7,500
Northwestern Mutual Life Insurance Co. Northwestern Mutual insurance violation 2021 VT-FIN $287,000
Travelers Home and Marine Insurance Company Travelers insurance violation 2021 WA-INS $10,000
Wells Fargo & Co. Wells Fargo employment discrimination 2021 private lawsuit-federal $18,700,000
Wells Fargo & Company Wells Fargo wage and hour violation 2020 private lawsuit-federal $35,000,000
PNC Financial Services Group, Inc. PNC Financial Services wage and hour violation 2020 private lawsuit-federal $2,750,000
Blue Shield of California Promise Health Plan California Physicians' Service Medicare Parts C and D Enforcement Action 2020 CMS $148,506
M&T Bank M&T Bank employment discrimination 2020 EEOC $100,000
Jackson National Life Insurance Company Prudential (UK) employment discrimination 2020 EEOC $20,500,000
Wells Fargo & Company Wells Fargo fraud 2020 DOJ_CIVIL $3,000,000,000
Union Bancaire Privee, UBP SA Union Bancaire Privee tax violations 2020 DOJ_TAX $14,000,000
Citibank, N.A. Citigroup banking violation 2020 OCC $17,998,510
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network Wells Fargo investor protection violation 2020 SEC $35,000,000
Wells Fargo & Co. Wells Fargo investor protection violation 2020 SEC (*) $500,000,000
ABN AMRO Clearing Chicago LLC ABN AMRO investor protection violation 2020 SEC $586,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2020 SEC $1,822,438
LendingClub Corporation LendingClub Corp. consumer protection violation 2020 MA-AG $1,250,000
Wilmington Trust, N.A. M&T Bank benefit plan administrator violation 2020 EBSA $88,000,000
American Security Insurance Company Assurant employment discrimination 2020 EEOC $49,000
East West Bank East West Bancorp banking violation 2020 FED $129,108
Bank Hapoalim B.M, Bank Hapoalim tax violations 2020 FED $37,350,000
Guaranteed Rate Inc. Guaranteed Rate Inc. False Claims Act and related 2020 DOJ_CIVIL $15,060,000
Bank Hapoalim B.M. Bank Hapoalim anti-money-laundering deficiencies 2020 DOJ_CRIMINAL $30,063,317
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd. Bank Hapoalim tax violations 2020 DOJ_TAX $616,910,000
Industrial Bank of Korea Industrial Bank of Korea anti-money-laundering deficiencies 2020 USAO $51,000,000
U.S. Bancorp Investments, Inc. U.S. Bancorp investor protection violation 2020 SEC $15,992,441
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2020 SEC $5,000,000
RBC Capital Markets LLC Royal Bank of Canada investor protection violation 2020 SEC $3,889,007
Merrill Lynch, Pierce and Fenner & Smith, Incorporated Bank of America investor protection violation 2020 SEC $325,376
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2020 SEC $3,200,000
HSBC Securities (USA) Inc. HSBC investor protection violation 2020 SEC $725,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 MULTI-AG $550,000,000
American General Life Insurance Company American International Group insurance violation 2020 MA-AG $363,000
Securian Financial Services, Inc. Securian Financial investor protection violation 2020 AK-DBS $10,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 AK-DBS $10,527
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 AL-SEC $18,874
American Family Connect Property and Casualty Insurance Company American Family Insurance insurance violation 2020 AZ-INS $50,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 CA-DFPI $52,047
Societe Generale Financial Corporation Societe Generale banking violation 2020 CA-DFPI $10,250
Harleysville Insurance Co. Nationwide insurance violation 2020 CT-INS $49,000
Allstate Indemnity Co. Allstate insurance violation 2020 CT-INS $7,500
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 CT-SEC $51,136
American Bankers Insurance Company of Florida Assurant insurance violation 2020 CT-INS $198,000
Hartford Underwriters Insurance Co. et al. Hartford Financial Services insurance violation 2020 DE-INS $34,000
The Travelers Indemnity Company of America et al. Travelers insurance violation 2020 DE-INS $6,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 GA-SEC $22,104
Solium Financial Services, LLC Morgan Stanley investor protection violation 2020 IA-INS $10,147
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 IN-SEC $15,575
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2020 KY-FIN $325,000
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2020 MD-INS $90,000
First American Title Insurance Co. First American Financial insurance violation 2020 MD-INS $52,000
National Union Fire Insurance Company of Pittsburgh, Pennsylvania et al. American International Group insurance violation 2020 MD-INS $20,000
Solium Financial Services, LLC Morgan Stanley investor protection violation 2020 ME-SEC $5,000
Raymond James & Associates, Inc. Raymond James Financial investor protection violation 2020 MI-SEC $50,000
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2020 MN-FIN $15,000
Progressive Casualty Insurance Company Progressive insurance violation 2020 MN-FIN $5,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 MO-SEC $9,130
Great Plains Specialty Finance, Inc. dba Check 'n Go CNG Financial consumer protection violation 2020 NE-DBF $9,700
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 NH-BSR $90,000
Asurion Insurance Services, Inc. and Asurion Protection Services LLC Asurion insurance violation 2020 NY-DFS $4,000,000
Lincoln Life & Annuity Company of New York Lincoln National insurance violation 2020 NY-DFS $193,166
MassMutual Life Insurance Company Massachusetts Mutual Life Insurance insurance violation 2020 NY-DFS $1,399,708
Pacific Life & Annuity Company Pacific Life insurance violation 2020 NY-DFS $425,533
Athene Holding Ltd. Athene Holding insurance violation 2020 NY-DFS $45,000,000
Industrial Bank of Korea Industrial Bank of Korea anti-money-laundering deficiencies 2020 NY-DFS $35,000,000
Bank Hapoalim B.M. Bank Hapoalim tax violations 2020 NY-DFS $220,000,000
Great Plains Specialty Finance Inc. dba Check 'N Go CNG Financial consumer protection violation 2020 OK-DCC $27,500
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 OK-SEC $9,968
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 OR-FIN $10,599
The Prudential Insurance Company of America Prudential Financial insurance violation 2020 OR-FIN $25,000
USAA Casualty Insurance Company USAA insurance violation 2020 RI-FIN $12,000
American General Life Insurance Company American International Group insurance violation 2020 RI-FIN $25,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 TN-SEC $12,994
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2020 TX-SEC $600,000
Marsh & McLennan Agency LLC Marsh & McLennan insurance violation 2020 TX-INS $6,350
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2020 TX-INS $7,025
LendingClub Corporation LendingClub Corp. investor protection violation 2020 TX-SEC $400,000
Elephant Insurance Company Admiral Group insurance violation 2020 TX-INS $80,000
Bristol West Casualty Insurance Company and Bristol West Insurance Company Zurich Insurance insurance violation 2020 VA-INS $27,560
Bristol West Casualty Insurance Company and Bristol West Insurance Company Zurich Insurance insurance violation 2020 VA-INS $91,872
John Hancock Life Insurance Company Manulife Financial insurance violation 2020 VA-INS $60,600
Jefferson National Life Insurance Company Nationwide insurance violation 2020 VA-INS $27,600
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)