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
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $49,489
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $10,373
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $54,988
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $6,257
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $15,085
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $12,855
Bowie Refined Coal, LLC Trafigura workplace safety or health violation 2020 MSHA $5,469
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $16,762
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $5,049
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $6,778
MASS MUTUAL INSTITUTIONAL FUNDS Massachusetts Mutual Life Insurance workplace safety or health violation 2020 OSHA $9,639
WHEELABRATOR FALLS INC Macquarie environmental violation 2020 PA-ENV $12,000
California Physicians' Service dba. Blue Shield of California California Physicians' Service insurance violation 2020 CA-MHC $5,000
Oscar Health Plan of California Mulberry Health insurance violation 2020 CA-MHC $5,000
California Physicians' Service dba. Blue Shield of California California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service dba. Blue Shield of California California Physicians' Service insurance violation 2020 CA-MHC $10,000
Discover Bank et al. Discover Financial Services consumer protection violation 2020 CFPB $35,000,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 CFPB $4,750,000
RBS Financial Products, Inc. Royal Bank of Scotland toxic securities abuses 2020 MD-AG $18,000,000
American Family Mutual Insurance Co. and American Family Insurance Co. American Family Insurance insurance violation 2020 MN-FIN $35,000
PayPal, Inc. dba Venmo PayPal Holdings consumer protection violation 2020 MN-FIN $20,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2020 NH-BSR $26,250,000
IMTT BAYONNE LLC Macquarie environmental violation 2020 NJ-ENV $8,000
USAA Federal Savings Bank USAA banking violation 2020 OCC $382,500
State Farm Bank, FSB State Farm Insurance banking violation 2020 OCC $547,200
Pruco Securities, LLC Prudential Financial investor protection violation 2020 SEC $18,252,341
Voya Financial Advisors, Inc. Voya Financial investor protection violation 2020 SEC $22,919,155
Ameritas Life Insurance Corp. Ameritas Mutual Holding Company insurance violation 2020 TN-INS $30,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2020 TX-INS $15,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2020 TX-INS $9,500
Unitrin County Mutual Insurance Company Kemper insurance violation 2020 TX-INS $80,000
Liberty Mutual Insurance Company Liberty Mutual Insurance insurance violation 2020 TX-INS $8,500
Indemnity Insurance Company of North America Chubb Limited insurance violation 2020 TX-INS $8,500
Hartford Casualty Insurance Company Hartford Financial Services insurance violation 2020 TX-INS $7,500
Erie Insurance Company and Erie Insurance Exchange Erie Indemnity insurance violation 2020 VA-INS $19,371
Lincoln National Life Insurance Company Lincoln National insurance violation 2020 VA-INS $7,800
TIAA Bank, FSB TIAA wage and hour violation 2020 private lawsuit-federal $3,500,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $5,395
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $6,418
ASURION, LLC. Asurion workplace safety or health violation 2020 OSHA $5,783
Deutsche Bank Americas Holding Corp. Deutsche Bank benefit plan administrator violation 2019 private lawsuit-federal $21,900,000
Citigroup, Inc. Citigroup benefit plan administrator violation 2019 private lawsuit-federal $6,900,000
Enova International, Inc. Enova International consumer protection violation 2019 CFPB $3,200,000
USAA Federal Savings Bank USAA consumer protection violation 2019 CFPB $15,500,000
Asurion, LLC Asurion employment discrimination 2019 EEOC $50,000
Wintrust Financial Corporation Wintrust Financial Corp. banking violation 2019 FED $1,012,500
PHH Mortgage Corporation Ocwen Financial Servicemembers Civil Relief Act 2019 DOJ_RIGHTS $750,000
Citibank, N.A. Citigroup banking violation 2019 OCC $25,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2019 SEC $8,014,000
Wells Fargo Securities Wells Fargo investor protection violation 2019 SEC $812,500
Wedbush Securities Inc. Wedbush Securities investor protection violation 2019 SEC $250,000
BB&T Securities Truist Financial investor protection violation 2019 SEC $5,709,753
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2019 SEC $17,363,847
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2019 SEC $11,715,395
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2019 SEC $2,971,462
First Republic Investment Management, Inc. First Republic Bank investor protection violation 2019 SEC $1,005,194
Stifel and Nicolaus & Company, Incorporated Stifel Financial investor protection violation 2019 SEC $6,037,175
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2019 SEC $241,227
Sorrento Pacific Financial, LLC Atria Wealth Solutions investor protection violation 2019 SEC $49,162
CUSO Financial Services, L.P. Atria Wealth Solutions investor protection violation 2019 SEC $296,750
AXA Advisors, LLC Equitable Holdings investor protection violation 2019 SEC $1,134,152
BB&T Securities, LLC Truist Financial investor protection violation 2019 SEC $376,059
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2019 SEC $1,405,349
Bok Financial Securities, Inc. BOK Financial investor protection violation 2019 SEC $197,801
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2019 SEC $3,389,174
Principal Securities, Inc. Principal Financial investor protection violation 2019 SEC $1,764,624
Transamerica Financial Advisors, Inc. Aegon investor protection violation 2019 SEC $6,023,072
Comerica Securities, Inc. Comerica investor protection violation 2019 SEC $186,377
Santander Securities LLC Banco Santander investor protection violation 2019 SEC $270,539
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. Oppenheimer Holdings investor protection violation 2019 SEC $3,528,377
LPL Financial LLC LPL Financial investor protection violation 2019 SEC $9,333,516
TIAA-CREF Individual & Institutional Services, LLC TIAA investor protection violation 2019 SEC $2,395,722
Raymond James Financial Services Advisors, Inc. Raymond James Financial investor protection violation 2019 SEC $6,877,048
ProEquities, Inc. Dai-ichi Life investor protection violation 2019 SEC $1,852,383
Umpqua Bank Umpqua Holdings employment screening violation 2019 private lawsuit-federal $325,000
Freedom Mortgage Corporation Freedom Mortgage mortgage abuses 2019 CFPB $1,750,000
Banca IMI Securities Corp. Intesa Sanpaolo price-fixing or anti-competitive practices 2019 DOJ_ANTITRUST $2,000,000
UniCredit Group UniCredit economic sanction violation 2019 DOJ_CRIMINAL $413,536,632
Standard Chartered Bank Standard Chartered economic sanction violation 2019 DOJ_CRIMINAL $292,210,160
Zurich Life Insurance Company Ltd Zurich Insurance tax violations 2019 DOJ_TAX $5,115,000
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2019 EBSA $10,001
UniCredit, S.p.A. UniCredit banking violation 2019 FED $158,000,000
Standard Chartered plc Standard Chartered banking violation 2019 FED $164,000,000
Western Union Financial Services, Inc. Western Union economic sanction violation 2019 OFAC $401,697
UniCredit Bank AG UniCredit economic sanction violation 2019 OFAC (*) $553,380,759
UniCredit Bank Austria AG UniCredit economic sanction violation 2019 OFAC (*) $20,326,340
UniCredit S.p.A. UniCredit economic sanction violation 2019 OFAC (*) $37,316,322
Standard Chartered Bank Standard Chartered economic sanction violation 2019 OFAC (*) $657,040,033
Deutsche Bank Trust Company Americas Deutsche Bank investor protection violation 2019 SEC $500,000
Ally Financial Services Ally Financial wage and hour violation 2019 WHD $198,311
American Security Insurance Co. Assurant consumer protection violation 2019 MS-AG $767,394
BB&T Corporation Truist Financial benefit plan administrator violation 2019 private lawsuit-federal $24,000,000
BMO Capital Markets Corporation Bank of Montreal investor protection violation 2019 SEC $3,946,000
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2019 SEC $647,000
CIT Group, Inc., and CIT Bank, N.A., dba OneWest Bank CIT discriminatory practices (non-employment) 2019 HUD $7,300,000
Deutsche Bank AG Deutsche Bank Foreign Corrupt Practices Act 2019 SEC $16,178,850
FirstBank Puerto Rico First Bancorp (Puerto Rico) banking violation 2019 FDIC $17,700
Freedom Mortgage Corporation Freedom Mortgage wage and hour violation 2019 private lawsuit-federal $4,480,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China price-fixing or anti-competitive practices 2019 DOJ_ANTITRUST $3,000,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China investor protection violation 2019 SEC $42,700,000
Interactive Brokers, LLC Interactive Brokers Group investor protection violation 2019 NJ-AG $100,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)