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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 TypeYearAgencyPenalty Amount sort icon
Trustmark National BankTrustmarkbanking violation2021OCC$4,000,000
Goldman Sachs Asset Management, L.P.Goldman Sachsinvestor protection violation2022SEC$4,000,000
American Express Bank FSBAmerican Expressconsumer protection violation2016private lawsuit-federal$4,000,000
BMO HarrisBank of Montrealconsumer protection violation2013private lawsuit-federal$4,000,000
Washington MutualJPMorgan Chaseconsumer protection violation2012private lawsuit-federal$4,000,000
M&T BankM&T Bankconsumer protection violation2015private lawsuit-federal$4,000,000
PayPal, Inc.PayPal Holdingsconsumer protection violation2017private lawsuit-federal$4,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2023SEC$4,000,000
Wells Fargo BankWells Fargoconsumer protection violation2016CFPB$4,010,000
Nasdaq, Inc.Nasdaq Inc.economic sanction violation2023OFAC$4,040,923
Wells Fargo BankWells FargoFalse Claims Act and related2008USAO$4,046,786
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.Louis Dreyfusworkplace safety or health violation2008OSHA$4,050,000
Louis Dreyfus Energy ServicesLouis DreyfusFalse Claims Act and related2012DOJ_CIVIL$4,084,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2016DOJ_RIGHTS$4,100,000
Bank of AmericaBank of Americawage and hour violation2003private lawsuit-state$4,100,000
Litton Loan Servicing LPOcwen Financialconsumer protection violation2016private lawsuit-federal$4,121,000
Prospect Mortgage Company LLCHomebridge Financial Servicesmortgage abuses2017USAO$4,157,000
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinainvestor protection violation2015SEC$4,200,000
Morgan StanleyMorgan Stanleywage and hour violation2014private lawsuit-federal$4,200,000
CIT Technology Financing Services, Inc.First Citizens BancSharesconsumer protection violation2004NY-AG$4,200,000
Bank of AmericaBank of Americaemployment discrimination2019OFCCP$4,200,000
Raymond James and Associates Inc.Raymond James Financialinvestor protection violation2016VT-FIN$4,200,000
CitibankCitigroupconsumer protection violation2021MULTI-AG$4,200,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2012NJ-DBI$4,233,100
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2022private lawsuit-federal$4,245,000
Credit Suisse Securities (USA) LLCUBSdata submission deficiencies2015SEC$4,250,000
OZ Management LPSculptor Capital Managementdata submission deficiencies2015SEC$4,250,000
Santander Bank, N.A.Banco Santanderwage and hour violation2022private lawsuit-federal$4,250,000
OneMain Financial Group LLCOneMain Holdingsprivacy violation2023NY-DFS$4,250,000
Farmers Insurance GroupZurich Insurancediscriminatory practices (non-employment)2001OH-AG$4,300,000
GFI Securities LLCBGC Partnersinvestor protection violation2019SEC$4,300,000
Buckeye Pipe Line Co.IFM Investorsenvironmental violation2021EPA$4,350,000
CIT Technology Financing Services, Inc.First Citizens BancSharesconsumer protection violation2005NJ-AG$4,360,000
USAA CASUALTY INSURANCE CO ET AL.USAAinsurance violation2018VA-INS$4,396,720
U.S. BancorpU.S. Bancorpmortgage abuses2018FED$4,400,000
Chase Bank USA, N.A.JPMorgan Chaseconsumer protection violation2009NY-AG$4,400,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2018SEC$4,450,000
St Paul Travelers Companies Inc.Travelersbenefit plan administrator violation2007private lawsuit-federal$4,450,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2005FINRA$4,478,000
Freedom Mortgage CorporationFreedom Mortgagewage and hour violation2019private lawsuit-federal$4,480,000
State Street CorporationState Street Corp.employment discrimination2017OFCCP$4,492,174
HealthNowHighmark Inc.insurance violation2011NY-DFS$4,492,327
Commonwealth Land Title Insurance Co. et al.Fidelity National Financialinsurance violation2006CA-INS$4,499,997
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2014SEC$4,500,000
Fidelity National Financial, Inc.Fidelity National Financialkickbacks and bribery2011HUD$4,500,000
Allstate Insurance CompanyAllstateemployment discrimination2009EEOC$4,500,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2018SEC$4,500,000
MBNA Corp.Bank of Americabenefit plan administrator violation2009private lawsuit-federal$4,500,000
ACE Group Holdings, Inc.Chubb Limitedprice-fixing or anti-competitive practices2007MULTI-AG$4,500,000
Citigroup Global Markets, Inc.Citigroupconsumer protection violation2015NY-AG$4,500,000
Citibank N.A.Citigroupinvestor protection violation2020CFTC$4,500,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2011FINRA$4,500,000
Wachovia SecuritiesWells Fargoinvestor protection violation2009FINRA$4,500,000
Oppenheimer & Co.Oppenheimer Holdingsinvestor protection violation2008FINRA$4,500,000
Allstate InsuranceAllstateprivacy violation2022private lawsuit-federal$4,500,000
First American Financial CorporationFirst American Financialprice-fixing or anti-competitive practices2023NY-AG$4,500,000
UBS Financial Services, Inc.UBSinvestor protection violation2006MT-FIN$4,503,166
WFS Financial, Inc.Wells Fargodiscriminatory practices (non-employment)2004private lawsuit-federal$4,550,000
VOYA Financial Advisors Inc.Voya Financialinvestor protection violation2016FINRA$4,550,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2013NY-DFS$4,560,000
UBS Financial Services, IncUBSinvestor protection violation2013MULTI-AG$4,580,000
National City Mortgage Inc.PNC Financial ServicesFalse Claims Act and related2008DOJ_CIVIL$4,600,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseconsumer protection violation2017CFPB$4,600,000
UBS Financial Services Inc.UBSinvestor protection violation2013MULTI-FIN$4,600,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2019FINRA$4,600,000
UBS Financial Services Inc.UBSinvestor protection violation2004SEC$4,621,768
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyinvestor protection violation2022SEC$4,628,194
Barclays Capital Inc.Barclaystoxic securities abuses2021NM-AG$4,642,857
Citigroup Global Markets Inc.Citigrouptoxic securities abuses2021NM-AG$4,642,857
Goldman Sachs & Co. LLCGoldman Sachstoxic securities abuses2021NM-AG$4,642,857
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2021NM-AG$4,642,857
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americatoxic securities abuses2021NM-AG$4,642,857
NatWest Markets Securities Inc.NatWest Group PLCtoxic securities abuses2021NM-AG$4,642,857
Washington Mutual Mortgage Securities Corp.JPMorgan Chasetoxic securities abuses2021NM-AG$4,642,857
CitigroupCitigroupwage and hour violation2015private lawsuit-federal$4,650,000
Selective Insurance CompaniesSelective Insurance Groupinsurance violation2018NY-DFS$4,666,268
ING Financial Partners, Inc.Voya Financialinvestor protection violation2008IL-SEC$4,677,326
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2015MULTI-AG$4,700,000
Capital One, N.A.Capital One Financialconsumer protection violation2015private lawsuit-federal$4,724,638
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2016MS-SEC$4,743,815
SunTrust Banks, Inc.Truist Financialbenefit plan administrator violation2018private lawsuit-federal$4,750,000
Citigroup Global Markets Inc.Citigrouptoxic securities abuses2016VA-AG$4,750,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020CFPB$4,750,000
HSBC Bank PLCHSBCprice-fixing or anti-competitive practices2020private lawsuit-federal$4,750,000
Morgan StanleyMorgan Stanleyprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$4,800,000
CashCall, Inc. and WS Funding LLCCashCall Inc.consumer protection violation2022AZ-AG$4,800,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2004SEC$4,844,465
H&R BlockH&R Blockconsumer protection violation2009CA-AG$4,850,000
Merrill LynchBank of Americainvestor protection violation2010NJ-AG$4,871,620
Progressive Advanced Insurance Company et al.Progressiveinsurance violation2019VA-INS$4,876,344
CommerceWest BankCommerceWest Bankfraud2015DOJ_CRIMINAL$4,900,000
Farmers Insurance ExchangeFarmers Insurance Exchangewage and hour violation2017private lawsuit-federal$4,900,000
KeyBankKeyCorpwage and hour violation2013private lawsuit-federal$4,900,000
Hewitt AssociatesAonwage and hour violation2009private lawsuit-federal$4,900,000
Chase Bank USA, N.A.JPMorgan Chaseconsumer protection violation2011private lawsuit-federal$4,900,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2023private lawsuit-federal$4,900,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2004FINRA$4,950,000
Bank of America N.A.Bank of Americaconsumer protection violation2020private lawsuit-federal$4,950,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2014SEC$5,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2012CFTC$5,000,000
LavaFlow Inc.Citigroupinvestor protection violation2014SEC$5,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.