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
First Tennessee Bank National Association First Horizon National banking violation 2017 OCC $1,000,000
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2017 SEC $8,000,000
Brown & Brown Brown & Brown employment discrimination 2017 EEOC $100,000
Deutsche Bank AG Deutsche Bank anti-money-laundering deficiencies 2017 FED $41,000,000
SunTrust Bank Truist Financial banking violation 2017 FED $1,501,000
Deutsche Bank AG Deutsche Bank interest rate benchmark manipulation 2017 FED $156,600,000
DB Group Services (UK) Limited Deutsche Bank interest rate benchmark manipulation 2017 DOJ_ANTITRUST $150,000,000
Financial Freedom CIT False Claims Act and related 2017 DOJ_CIVIL $89,000,000
Banamex USA Citigroup anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $97,440,000
UBS UBS toxic securities abuses 2017 NCUA $445,000,000
Bank of America Bank of America employment discrimination 2017 OFCCP $1,000,000
Barclays Capital Barclays investor protection violation 2017 SEC $97,037,659
Louis Dreyfus Commodities Grand Junction LLC Louis Dreyfus tax violations 2017 ATTTB $14,000
Royal Bank of Scotland PLC Royal Bank of Scotland toxic securities abuses 2017 FHFA $5,500,000,000
BNP Paribas S.A. BNP Paribas foreign exchange market manipulation 2017 FED $246,000,000
Bank of New York Mellon Corporation Bank of New York Mellon banking violation 2017 FED $3,000,000
Farmers Insurance Exchange Farmers Insurance Exchange discriminatory practices (non-employment) 2017 HUD $15,000
American International Group American International Group economic sanction violation 2017 OFAC $148,698
U.S. Bank National Association U.S. Bancorp banking violation 2017 OCC $15,000,000
Rabobank National Association Rabobank banking violation 2017 OCC $58,000
American Express American Express consumer protection violation 2017 CFPB $96,000,000
JPMorgan Chase Bank, N.A. JPMorgan Chase consumer protection violation 2017 CFPB $4,600,000
PHH Corp. Ocwen Financial False Claims Act and related 2017 DOJ_CIVIL $74,453,802
UMB Bank, NA UMB Financial Corp. banking violation 2017 OCC $1,500,000
State Street Bank and Trust Company State Street Corp. investor protection violation 2017 SEC $35,300,000
Banca IMI Securities Corp. Intesa Sanpaolo investor protection violation 2017 SEC $35,300,000
INTL FCStone Financial Inc. INTL FCStone investor protection violation 2017 CFTC $280,000
Morgan Stanley Morgan Stanley data submission deficiencies 2017 CFTC $350,000
Morgan Stanley Morgan Stanley investor protection violation 2017 CFTC $500,000
Citibank N.A. Citigroup data submission deficiencies 2017 CFTC $550,000
Merrill Lynch Bank of America investor protection violation 2017 CFTC $2,500,000
Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer Services Wells Fargo Servicemembers Civil Relief Act 2017 DOJ_RIGHTS $5,400,000
CitiFinancial Credit Company Citigroup Servicemembers Civil Relief Act 2017 DOJ_RIGHTS $907,000
HSBC Holdings HSBC banking violation 2017 FED $175,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2017 OCC $183,920
American Express American Express economic sanction violation 2017 OFAC $204,277
State Street Corporation State Street Corp. employment discrimination 2017 OFCCP $4,492,174
SunTrust Banks Truist Financial investor protection violation 2017 SEC $1,100,000
BlackRock Inc. BlackRock investor protection violation 2017 SEC $340,000
RBS Securities Inc. Royal Bank of Scotland toxic securities abuses 2017 USAO $44,000,000
ZB N.A. (fka Zions First National Bank) Zions Bancorporation consumer protection violation 2017 USAO $3,600,000
Bank of America Bank of America investor protection violation 2017 USAO $2,500,000
Allied Home Mortgage Americus Mortgage fraud 2017 USAO $296,298,325
Prospect Mortgage Company LLC Homebridge Financial Services mortgage abuses 2017 USAO $4,157,000
HSBC Bank USA N.A. HSBC False Claims Act and related 2017 USAO $2,118,861
Societe Generale S.A. Societe Generale toxic securities abuses 2017 USAO $50,000,000
Deutsche Bank Deutsche Bank tax violations 2017 USAO $95,000,000
Citibank N.A. Citigroup consumer protection violation 2017 CFPB $6,000,000
IBERIABANK First Horizon National False Claims Act and related 2017 DOJ_CIVIL $11,692,149
Citibank N.A. Citigroup banking violation 2017 OCC $452,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America anti-money-laundering deficiencies 2017 SEC $13,000,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2017 SEC $8,750,000
Wells Fargo Advisors, LLC Wells Fargo anti-money-laundering deficiencies 2017 SEC $3,500,000
UBS Financial Services, Inc. UBS investor protection violation 2017 SEC $3,500,000
Barclays Capital Inc. Barclays investor protection violation 2017 SEC $12,710,040
Blackrock Fund Advisors BlackRock investor protection violation 2017 SEC $1,500,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2017 SEC $5,754,714
Stifel, Nicolaus & Company, Incorporated Stifel Financial investor protection violation 2017 SEC $300,000
Voya Financial Advisors, Inc. Voya Financial investor protection violation 2017 SEC $3,095,953
Columbia Management Investment Services Corp. Ameriprise Financial investor protection violation 2017 SEC $250,000
International Matex Tank Terminals Macquarie railroad safety violation 2017 FRA $9,150
International Matex Tank Terminals Macquarie railroad safety violation 2017 FRA $8,250
Louis Dreyfus Company LLC Louis Dreyfus railroad safety violation 2017 FRA $8,250
LANSING TRADE GROUP Lansing Trade Group railroad safety violation 2017 FRA $5,000
Bank of America Bank of America export control violation 2017 BIS $44,625
Ameritas Life Insurance Corp Ameritas Mutual Holding Company wage and hour violation 2017 WHD $9,019
Bank of America Bank of America Family and Medical Leave Act 2017 WHD $14,528
Wells Fargo Wells Fargo wage and hour violation 2017 private lawsuit-state $13,000,000
Progressive Progressive wage and hour violation 2017 private lawsuit-federal $46,000
Prudential Financial Prudential Financial wage and hour violation 2017 private lawsuit-federal $12,500,000
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $6,000,000
Wells Fargo Advisors Wells Fargo wage and hour violation 2017 private lawsuit-federal $3,500,000
U.S. Bancorp U.S. Bancorp wage and hour violation 2017 private lawsuit-federal $7,000,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2017 private lawsuit-federal $16,666,667
Ditech Financial LLC Ditech Holding Corporation wage and hour violation 2017 private lawsuit-federal $1,383,000
Farmers Insurance Exchange Farmers Insurance Exchange wage and hour violation 2017 private lawsuit-federal $775,000
Citigroup Citigroup wage and hour violation 2017 private lawsuit-federal $1,080,000
Regions Financial Regions Financial wage and hour violation 2017 private lawsuit-federal $620,634
Fifth Third Bank Fifth Third Bancorp wage and hour violation 2017 private lawsuit-federal $1,111,388
Wells Fargo Wells Fargo wage and hour violation 2017 private lawsuit-federal $685,000
PNC Bank PNC Financial Services wage and hour violation 2017 private lawsuit-federal $16,000,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2017 private lawsuit-federal $5,707,279
U.S. Bancorp U.S. Bancorp wage and hour violation 2017 private lawsuit-federal $1,150,000
Allstate Insurance Allstate wage and hour violation 2017 private lawsuit-state $2,000,000
Wells Fargo Wells Fargo wage and hour violation 2017 private lawsuit-federal $3,900,000
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $7,000,000
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $1,900,000
Farmers Insurance Exchange Farmers Insurance Exchange wage and hour violation 2017 private lawsuit-federal $4,900,000
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $6,600,000
Citigroup Citigroup wage and hour violation 2017 private lawsuit-federal $325,000
MetLife Securities MetLife employment discrimination 2017 private lawsuit-federal $32,500,000
Wells Fargo Advisors Wells Fargo employment discrimination 2017 private lawsuit-federal $35,500,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America benefit plan administrator violation 2017 private lawsuit-federal $25,000,000
New York Life Insurance Company New York Life Insurance benefit plan administrator violation 2017 private lawsuit-federal $3,000,000
Teachers Insurance and Annuity Insurance Association of America TIAA benefit plan administrator violation 2017 private lawsuit-federal $5,000,000
The Gas Company Llc Macquarie motor vehicle safety violation 2017 FMCSA $12,650
Noble Americas Corporation Vitol railroad safety violation 2017 FRA $6,500
Aflac Inc. Aflac insurance violation 2017 MULTI-AG $350,000
American Security Insurance Co. Assurant consumer protection violation 2017 MA-AG $6,300,000
Ameriprise Group Ameriprise Financial insurance violation 2017 MULTI-AG $1,500,000
CashCall Inc., WS Funding CashCall Inc. consumer protection violation 2017 DC-AG $2,962,573
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)