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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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.

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CompanyCurrent ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
US Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2010FINRA$275,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010FINRA$650,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2010FINRA$200,000
H&R Block Financial Advisors, Inc.H&R Blockinvestor protection violation2010FINRA$200,000
El Paso Electric CompanyJPMorgan Chaseutility administrative violation2010NM-PRC$5,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2010TX-PUC$38,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2010TX-PUC$50,000
Metropolitan Life Insurance Co.MetLifeconsumer protection violation2010private lawsuit-federal$50,000,000
State Farm Fire and Casualty CompanyState Farm Insuranceconsumer protection violation2010private lawsuit-federal$30,000,000
Wells Fargo Home Mortgage IncWells Fargowage and hour violation2010MI-LEO$9,222
Comerica Securities IncComericawage and hour violation2010MI-LEO$24,968
Bank Of AmericaBank of Americawage and hour violation2010MI-LEO$15,406
Bank Of AmericaBank of Americawage and hour violation2010MI-LEO$14,000
Chase BankJPMorgan Chasewage and hour violation2010MI-LEO$15,000
CITIBANK, N.A.Citigroupworkplace safety or health violation2010OSHA$5,000
IFCO SYSTEMS NORTH AMERICA INCTriton Investments Advisersworkplace safety or health violation2010OSHA$11,200
IMPERIAL SUGAR CO.Louis Dreyfusworkplace safety or health violation2010OSHA$7,200
EL PASO ELECTRICJPMorgan Chaseworkplace safety or health violation2010OSHA$6,000
FARMERS INSURANCE EXCHANGEFarmers Insurance Exchangeworkplace safety or health violation2010OSHA$5,000
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2010OSHA$12,600
R.R. DONNELLEYChatham Asset Managementworkplace safety or health violation2010OSHA$11,600
WHEELABRATOR SHASTA ENERGY CO, INCMacquarieworkplace safety or health violation2010OSHA$10,000
WHEELABRATOR PORTSMOUTHMacquarieworkplace safety or health violation2010OSHA$6,890
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2010OSHA$8,750
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2010OSHA$8,000
IFCO SYSTEMS N.A., INC.Triton Investments Advisersworkplace safety or health violation2010OSHA$7,000
IFCO SYSTEMS NA INC DBA PALLET COMPANIES INCTriton Investments Advisersworkplace safety or health violation2010OSHA$44,000
NYRSTAR CLARKSVILLE, INC.Trafiguraenvironmental violation2010EPA$45,524
LOUIS DREYFUS AGRICULTURAL INDUSTRIES, LLC.Louis Dreyfusenvironmental violation2010EPA$77,628
HSBC North AmericaHSBCenvironmental violation2010EPA$36,083
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2010MSHA$5,080
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2010MSHA$5,080
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2010MSHA$18,271
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$6,200
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$6,062
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$10,200
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$7,578
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$5,503
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$6,800
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$7,176
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$5,961
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$38,925
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$38,925
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$5,000
Citigroup Private Bank GP, Inc.Citigroupdata submission deficiencies2009CFTC$100,000
J.P. Morgan Futures, Inc.JPMorgan Chasedata submission deficiencies2009CFTC$300,000
UBS Fund Advisor, LLCUBSdata submission deficiencies2009CFTC$50,000
1ST FINANCIAL BANK USA1st Financial Bank USAbanking violation2009FDIC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $140,000
AFB&TSynovus Financialbanking violation2009FDIC$7,040
BANK OF KENTUCKY, INC., THETruist Financialbanking violation2009FDIC$30,415
American Express Centurion BankAmerican Expressbanking violation2009FDIC$250,000
REPUBLIC BANK & TRUST COMPANYRepublic Bancorpbanking violation2009FDIC$22,000
CITIZENS BUSINESS BANKCVB Financialbanking violation2009FDIC$16,200
WELLS FARGO FINANCIAL BANKWells Fargobanking violation2009FDIC$125,000
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
NYRSTAR CLARKSVILLE, INC.Trafigurarailroad safety violation2009FRA$10,000
Regions BankRegions Financialbanking violation2009FED$135,000
Compass BankPNC Financial Servicesbanking violation2009FED$70,625
Credit Suisse AGUBSeconomic sanction violation2009DOJ_CRIMINAL$268,000,000
Lloyds TSB Bank PLCLloyds Banking Groupeconomic sanction violation2009DOJ_CRIMINAL$175,000,000
UBS AGUBStax violations2009DOJ_TAX$780,000,000
Australia and New Zealand Bank Group, Ltd.Australia and New Zealand Banking Groupeconomic sanction violation2009OFAC$5,750,000
National City BankPNC Financial Servicesbanking violation2009OCC$34,265
Wells Fargo Bank, National AssociationWells Fargobanking violation2009OCC$51,205
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2009OCC$100,000
First National Bank of OmahaFirst National of Nebraskabanking violation2009OCC$100,000
Capital One, National AssociationCapital One Financialbanking violation2009OCC$125,000
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2009PHMSA$7,500
ICAP plcCME Groupinvestor protection violation2009SEC$25,000,000
J.P. Morgan Securities Inc.JPMorgan Chasekickbacks and bribery2009SEC$75,000,000
Regions BankRegions Financialinvestor protection violation2009SEC$1,000,000
Bank of America CorporationBank of Americainvestor protection violation2009SEC$33,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2009SEC$500,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009SEC$17,300,000
Evergreen Investment Management Company LLCWells Fargoinvestor protection violation2009SEC$40,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2009SEC$7,000,000
UBS AGUBStax violations2009SEC$200,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2009SEC$1,000,000
Allstate Insurance CompanyAllstateemployment discrimination2009EEOC$4,500,000
NationwideNationwidewage and hour violation2009WHD$28,290
JPMorgan Chase Bank, NAJPMorgan Chasewage and hour violation2009WHD$6,996
Zions BancorporationZions Bancorporationwage and hour violation2009WHD$15,347
The Travelers Indemnity CompanyTravelerswage and hour violation2009WHD$21,283
Sun Life Assurance Company of Canada (U.S.)Sun Life Financialwage and hour violation2009WHD$6,366
Gerber Life Insurance CompanyWestern & Southern Financial Groupwage and hour violation2009WHD$172,799
Sun Life Assurance Company of Canada (U.S.)Sun Life Financialwage and hour violation2009WHD$25,744
Barclays Capital Inc.Barclayswage and hour violation2009WHD$9,707
IFCO Systems North America, Inc.Triton Investments Adviserswage and hour violation2009WHD$22,377
Metropolitan Life Insurance CompanyMetLifeFamily and Medical Leave Act2009WHD$6,375
CitigroupCitigroupwage and hour violation2009WHD$38,926
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$37,951
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$28,560
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$85,353
National City CorporationPNC Financial Serviceslabor relations violation2009NLRB$24,083
El Paso Electric CompanyJPMorgan Chaselabor relations violation2009NLRB$11,500
Washington Mutual BankJPMorgan Chasewage and hour violation2009private lawsuit-federal$38,000,000
Wachovia SecuritiesWells Fargowage and hour violation2009private lawsuit-federal$39,000,000
Prudential FinancialPrudential Financialwage and hour violation2009private lawsuit-federal$11,000,000
TD AmeritradeCharles Schwab Corp.wage and hour violation2009private lawsuit-federal$2,500,000
AXA FinancialEquitable Holdingswage and hour violation2009private lawsuit-federal$6,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.