Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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 Year Agency Penalty Amountsort icon
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $7,000,000
PNC Bank PNC Financial Services wage and hour violation 2014 private lawsuit-federal $7,000,000
First American Title Insurance Company First American Financial consumer protection violation 2002 CA-AG $7,000,000
Marsh and McLennan Marsh & McLennan price-fixing or anti-competitive practices 2009 MULTI-AG $7,000,000
Zurich American Insurance Company Zurich Insurance price-fixing or anti-competitive practices 2006 OH-AG $7,000,000
HSBC HSBC False Claims Act and related 2020 CA-AG $7,000,000
ING America Insurance Holdings Inc. Voya Financial investor protection violation 2006 FINRA $7,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2016 FINRA $7,030,000
Prospect Mortgage LLC Homebridge Financial Services mortgage abuses 2015 MULTI-FIN $7,035,300
PNC Bank N.A PNC Financial Services False Claims Act and related 2013 DOJ_CIVIL $7,100,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC Goldman Sachs investor protection violation 2009 SEC $7,200,000
Banc of America Investment Services Bank of America employment discrimination 2009 private lawsuit-federal $7,200,000
National City Commercial Capital Company LLC PNC Financial Services consumer protection violation 2008 MULTI-AG $7,200,000
Nationwide Mutual Insurance Company Nationwide insurance violation 2012 MULTI-AG $7,200,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2020 FINRA $7,200,000
Morgan Stanley & Co. Morgan Stanley investor protection violation 2009 FINRA $7,200,000
Fannie Mae Fannie Mae benefit plan administrator violation 2010 private lawsuit-federal $7,250,000
Conseco Finance Servicing Corp. CNO Financial consumer protection violation 2002 KS-BKG $7,275,000
CIT Group, Inc., and CIT Bank, N.A., dba OneWest Bank CIT discriminatory practices (non-employment) 2019 HUD $7,300,000
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2015 FINRA $7,300,000
PNC Investments LLC PNC Financial Services investor protection violation 2018 SEC $7,307,770
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2005 NH-BSR $7,375,000
CashCall, Inc., WS Funding, LLC, and Delbert Services Corporation CashCall Inc. consumer protection violation 2016 CO-AG $7,384,005
MetLife MetLife wage and hour violation 2009 private lawsuit-federal $7,400,000
Louis Dreyfus Energy Service Louis Dreyfus energy market violation 2014 FERC $7,406,257
Wells Fargo & Company Wells Fargo benefit plan administrator violation 2015 private lawsuit-federal $7,420,000
Regions Bank Regions Financial consumer protection violation 2015 CFPB $7,500,000
American Express Bank, FSB American Express banking violation 2013 OCC $7,500,000
RBS Citizens, National Association Citizens Financial Group banking violation 2013 OCC $7,500,000
Huntington Bancshares, Inc. Huntington Bancshares accounting fraud or deficiencies 2005 SEC $7,500,000
Morgan Stanley & Co. LLC Morgan Stanley investor protection violation 2016 SEC $7,500,000
H&R Block H&R Block wage and hour violation 2012 private lawsuit-state $7,500,000
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2007 SEC $7,500,000
Edward Jones & Co. Jones Financial investor protection violation 2008 CA-AG $7,500,000
Old Second Bancorp, Inc. Old Second Bancorp benefit plan administrator violation 2013 private lawsuit-federal $7,500,000
Wheelabrator Saugus, Wheelabrator Andover and Wheelabrator Millbury Macquarie environmental violation 2011 MA-AG $7,500,000
BGC Financial LP BGC Partners foreign exchange market manipulation 2019 NY-AG $7,500,000
Bank of America Corp. Bank of America anti-money-laundering deficiencies 2006 NY-MANDA $7,500,000
American General American International Group insurance violation 2000 MULTI-FIN $7,500,000
Wells Fargo Wells Fargo discriminatory practices (non-employment) 2012 private lawsuit-federal $7,500,000
Wells Fargo Bank, N.A. Wells Fargo discriminatory practices (non-employment) 2012 private lawsuit-federal $7,500,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2010 FINRA $7,500,000
Bank of America Corporation Bank of America investor protection violation 2014 SEC $7,650,000
PayPal Inc. PayPal Holdings economic sanction violation 2015 OFAC $7,658,300
Globe Life Insurance Company of New York Globe Life Inc. insurance violation 2019 NY-DFS $7,769,000
CitiMortgage, Inc. Citigroup consumer protection violation 2019 CA-DFPI $7,800,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2010 NC-SEC $7,800,000
Wells Fargo Bank, N.A. Wells Fargo employment discrimination 2020 OFCCP $7,800,000
Citibank Citigroup consumer protection violation 2016 CFPB $7,890,000
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2007 SEC $7,957,200
Zions First National Bank Zions Bancorporation banking violation 2011 OCC $8,000,000
UBS Securities LLC UBS investor protection violation 2011 SEC $8,000,000
Nationwide Life Insurance Company Nationwide investor protection violation 2015 SEC $8,000,000
Credit Agricole S.A. Credit Agricole banking violation 2004 FED $8,000,000
Crawford Healthcare Management of Norfolk & Baltimore Crawford & Co. fraud 2003 DOJ_CRIMINAL $8,000,000
Fidelity Investments Fidelity Investments kickbacks and bribery 2008 SEC $8,000,000
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2017 SEC $8,000,000
Morgan Stanley Morgan Stanley mortgage abuses 2018 FED $8,000,000
Farmers Insurance Exchange Farmers Insurance Exchange wage and hour violation 2010 private lawsuit-federal $8,000,000
American International Group Inc. American International Group investor protection violation 2010 OR-AG $8,000,000
Wells Fargo Wells Fargo consumer protection violation 2016 WV-AG $8,000,000
Western Union Financial Services, Inc. Western Union anti-money-laundering deficiencies 2002 NY-DFS $8,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2019 FINRA $8,000,000
Brown Brothers Harriman & Co. Brown Brothers Harriman anti-money-laundering deficiencies 2014 FINRA $8,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2019 SEC $8,014,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2019 SEC $8,100,000
Popular, Inc. Popular Inc. benefit plan administrator violation 2012 private lawsuit-federal $8,200,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2018 private lawsuit-federal $8,333,333
SG Americas Securities, LLC Societe Generale investor protection violation 2009 SEC $8,384,932
First BanCorp First Bancorp (Puerto Rico) accounting fraud or deficiencies 2007 SEC $8,500,000
Combined Insurance Company of America Chubb Limited employment discrimination 2005 private lawsuit-federal $8,500,000
Citigroup Inc. Citigroup benefit plan administrator violation 2014 private lawsuit-federal $8,500,000
Wells Fargo Bank Wells Fargo privacy violation 2016 CA-AG $8,500,000
Israel Discount Bank of New York Israel Discount Bank anti-money-laundering deficiencies 2005 NY-MANDA $8,500,000
Morgan Stanley & Co. Morgan Stanley investor protection violation 2009 MULTI-FIN $8,500,000
Western Union Financial Services Western Union consumer protection violation 2005 MULTI-AG $8,529,000
Charles Schwab & Co., Inc. et al. Charles Schwab Corp. investor protection violation 2011 IL-SEC $8,567,364
Unum Life Insurance Company of America et al. Unum insurance violation 2005 CA-INS $8,598,503
Citigroup Citigroup banking violation 2018 FED $8,600,000
Providian Financial Corp. JPMorgan Chase benefit plan administrator violation 2003 private lawsuit-federal $8,600,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2015 FINRA $8,700,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2017 SEC $8,750,000
Citizens Bank Citizens Financial Group banking violation 2015 FDIC $8,800,000
Morgan Stanley Investment Management Morgan Stanley investor protection violation 2015 SEC $8,800,000
Transamerica Financial Advisors, Inc. Aegon investor protection violation 2020 FINRA $8,800,000
Merrill Lynch, Pierce and Fenner & Smith Incorporated Bank of America investor protection violation 2018 SEC $8,872,723
Merrill Lynch, Pierce, Fenner & Smith Bank of America investor protection violation 2018 SEC $8,900,000
Household Finance Corp. of California and Beneficial California, Inc. HSBC mortgage abuses 2002 CA-DFPI $8,900,000
Provident Funding Associates Provident Funding Associates consumer protection violation 2015 CFPB $9,000,000
AMERICAN EXPRESS COMPANY American Express banking violation 2012 FED $9,000,000
TMX Finance LLC TMX Finance consumer protection violation 2016 CFPB $9,000,000
Union Savings Bank and Guardian Savings Bank Union Savings Bank discriminatory practices (non-employment) 2016 DOJ_RIGHTS $9,000,000
Bank of America Bank of America wage and hour violation 2015 private lawsuit-federal $9,000,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2012 private lawsuit-federal $9,000,000
Bank of America Bank of America wage and hour violation 2006 private lawsuit-federal $9,000,000
ACE Limited Chubb Limited price-fixing or anti-competitive practices 2007 PA-AG $9,000,000
American International Group American International Group price-fixing or anti-competitive practices 2010 OH-AG $9,000,000
Barclays Capital Inc. Barclays toxic securities abuses 2016 VA-AG $9,000,000
CashCall and Western Sky CashCall Inc. consumer protection violation 2016 NC-AG $9,000,000
Prudential Insurance Company Of America Prudential Financial benefit plan administrator violation 2019 private lawsuit-federal $9,000,000
Taylor, Bean & Whitaker Mortgage Corp. Taylor, Bean & Whitaker mortgage abuses 2009 MULTI-FIN $9,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)