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
Interactive Brokers, LLC Interactive Brokers Group investor protection violation 2019 NJ-AG $100,000
Jackson Hewitt Tax Service Inc. Jackson Hewitt consumer protection violation 2019 MA-AG $187,000
JP Morgan Chase Bank N.A. JPMorgan Chase wage and hour violation 2019 WHD $38,336
LPL Financial LLC LPL Financial investor protection violation 2019 MULTI-AG $25,848,000
Merrill Lynch Commodities Inc. Bank of America price-fixing or anti-competitive practices 2019 DOJ_CRIMINAL $25,000,000
Merrill Lynch Commodities, Inc. Bank of America investor protection violation 2019 CFTC (*) $24,900,000
Metropolitan Property & Casualty Co. MetLife consumer protection violation 2019 MS-AG $3,167,173
Morgan Stanley Morgan Stanley investor protection violation 2019 CA-AG $150,000,000
Mutual of Omaha Insurance Co. Mutual of Omaha consumer protection violation 2019 MA-AG $25,000
Nomura Securities International Inc. Nomura investor protection violation 2019 SEC $26,400,000
Ocwen Financial Corporation Ocwen Financial consumer protection violation 2019 ME-AG $84,000
Ocwen Loan Servicing LLC Ocwen Financial mortgage abuses 2019 MA-AG $2,000,000
Premera Blue Cross Premera Blue Cross privacy violation 2019 MULTI-AG $10,000,000
Prudential Insurance Company Of America Prudential Financial benefit plan administrator violation 2019 private lawsuit-federal $9,000,000
Santander Securities LLC Banco Santander consumer protection violation 2019 MA-AG $100,000
State Street Bank and Trust Company State Street Corp. investor protection violation 2019 SEC $88,780,000
State Street Corp. State Street Corp. consumer protection violation 2019 MA-AG $53,500,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2019 SEC $8,100,000
Wilmington Savings Fund Society, Federal Savings Bank WSFS Financial Corp. banking violation 2019 OCC $85,265
World Acceptance Corporation World Acceptance Corporation wage and hour violation 2019 WHD $5,549
World Acceptance Corporation, Inc World Acceptance Corporation wage and hour violation 2019 WHD $6,582
BGC Financial, L.P. BGC Partners investor protection violation 2019 CFTC $3,000,000
Wells Fargo Bank, N.A. Wells Fargo investor protection violation 2019 CFTC $14,475,000
BGC Financial, LP BGC Partners investor protection violation 2019 CFTC $15,000,000
GFI Securities, LLC BGC Partners investor protection violation 2019 CFTC $10,000,000
Morgan Stanley Capital Group Inc. Morgan Stanley investor protection violation 2019 CFTC $1,500,000
PNC Bank, National Association PNC Financial Services investor protection violation 2019 CFTC $300,000
Bank of New York Mellon Bank of New York Mellon investor protection violation 2019 CFTC $750,000
NatWest Markets Plc Royal Bank of Scotland investor protection violation 2019 CFTC $850,000
Northern Trust Company Northern Trust investor protection violation 2019 CFTC $1,000,000
Societe Generale International Limited Societe Generale investor protection violation 2019 CFTC $2,500,000
HSBC Bank USA, N.A. HSBC investor protection violation 2019 CFTC $650,000
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2019 CFTC $5,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2019 CFTC $300,000
HomeStreet Bank HomeStreet Inc. banking violation 2019 FDIC $1,350,000
Vitol Inc. Vitol energy market violation 2019 FERC $2,742,881
BGC Financial LP BGC Partners foreign exchange market manipulation 2019 NY-AG $7,500,000
GFI Securities LLC BGC Partners foreign exchange market manipulation 2019 NY-AG $5,000,000
Citibank, N.A. Citigroup banking violation 2019 OCC $30,000,000
Goldman Sachs Goldman Sachs employment discrimination 2019 OFCCP $9,995,000
Wells Fargo Bank N.A. Wells Fargo employment discrimination 2019 OFCCP $283,697
Bank of America Bank of America employment discrimination 2019 OFCCP $4,200,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2019 SEC $1,545,758
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc. Hilltop Holdings investor protection violation 2019 SEC $810,785
Wedbush Securities Inc. Wedbush Securities investor protection violation 2019 SEC $1,852,540
Virtu Americas LLC Virtu Financial investor protection violation 2019 SEC $1,500,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. Bank of Montreal investor protection violation 2019 SEC $37,980,000
Barclays PLC Barclays Foreign Corrupt Practices Act 2019 SEC $6,308,726
GFI Securities LLC BGC Partners investor protection violation 2019 SEC $4,300,000
Raymond James & Associates, Inc. et al. Raymond James Financial investor protection violation 2019 SEC $15,000,000
Morgan Stanley Smith Barney, LLC Morgan Stanley investor protection violation 2019 SEC $225,000
Stifel, Nicolaus & Co., Inc. Stifel Financial investor protection violation 2019 SEC $2,700,000
BMO Capital Markets Corp. Bank of Montreal investor protection violation 2019 SEC $1,950,000
Prudential Financial Inc. Prudential Financial investor protection violation 2019 SEC $32,600,000
Great American Financial Resources, Inc. American Financial Group wage and hour violation 2019 private lawsuit-federal $1,250,000
Fidelity Investments Fidelity Investments wage and hour violation 2019 private lawsuit-federal $1,200,000
UniCredit Bank AG UniCredit economic sanction violation 2019 NY-MANDA $316,000,000
UniCredit Bank Austria AG UniCredit economic sanction violation 2019 NY-MANDA $20,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2019 NY-MANDA $292,000,000
Wells Fargo Bank N.A. Wells Fargo wage and hour violation 2019 WHD $57,675
JPMorgan Chase Bank, N.A. JPMorgan Chase employment discrimination 2019 private lawsuit-federal $5,000,000
Edward D. Jones & Co., L.P. Jones Financial benefit plan administrator violation 2019 private lawsuit-federal $3,175,000
JPMorgan Chase Bank, National Association JPMorgan Chase wage and hour violation 2019 private lawsuit-federal $1,850,000
HSBC Private Bank (Suisse) SA HSBC tax violations 2019 USAO $192,350,000
Goldman Sachs & Co. LLC Goldman Sachs investor protection violation 2019 CFTC $1,000,000
Coutts & Co Ltd. Royal Bank of Scotland tax violations 2019 DOJ_TAX $27,900,000
Allianz Global Risks U.S. Insurance Compan Allianz economic sanction violation 2019 OFAC $170,535
ACE Limited Chubb Limited economic sanction violation 2019 OFAC $66,212
MetLife, Inc. MetLife investor protection violation 2019 SEC $10,000,000
LPL Financial LLC LPL Financial investor protection violation 2019 AK-DBS $499,000
Marsh & McLennan Agency LLC Marsh & McLennan insurance violation 2019 AK-INS $20,000
Marsh USA Inc. Marsh & McLennan insurance violation 2019 AK-INS $30,000
Encompass Indemnity Co. and Encompass Insurance Company of America Allstate insurance violation 2019 AR-INS $40,000
LPL Financial LLC LPL Financial investor protection violation 2019 AR-SEC $40,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2019 AR-SEC $5,000
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc. Wells Fargo insurance violation 2019 CA-INS $5,345,816
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $85,000
Cash America Advance, Inc. FirstCash payday lending violation 2019 CA-DFPI $10,000
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2019 CA-DFPI $349,015
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $6,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $10,000
Ameritas Investment Corp. Ameritas Mutual Holding Company insurance violation 2019 CA-INS $15,000
Oscar Health Plan of California Mulberry Health insurance violation 2019 CA-MHC $5,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2019 CA-MHC $65,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2019 CA-MHC $10,000
CitiMortgage, Inc. Citigroup consumer protection violation 2019 CA-DFPI $7,800,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $5,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2019 CA-MHC $150,000
Mercury Insurance Co. and Mercury Casualty Co. and California Automobile Insurance Co. Mercury General Corporation insurance violation 2019 CA-INS $41,188,505
Oscar Health Plan of California Mulberry Health insurance violation 2019 CA-MHC $5,000
OneMain Financial Group, LLC OneMain Holdings consumer protection violation 2019 CA-DFPI $150,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2019 CA-MHC $20,000
National Western Life Insurance Co. National Western Life insurance violation 2019 CO-INS $34,500
Companion Life Insurance Co. BlueCross BlueShield of South Carolina insurance violation 2019 CO-INS $147,775
Permanent General Assurance Corp. American Family Insurance insurance violation 2019 CO-INS $56,494
Permanent General Assurance Corporation of Ohio American Family Insurance insurance violation 2019 CO-INS $50,974
Mid-Century Insurance Co. Zurich Insurance insurance violation 2019 CT-INS $64,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)