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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
Morgan Stanley Morgan Stanley employment discrimination 2008 private lawsuit-federal $16,000,000
Citigroup Global Markets, Inc. Citigroup consumer protection violation 2014 NY-AG $16,000,000
Waddell & Reed, Inc. Macquarie investor protection violation 2005 FINRA (*) $16,000,000
U.S. Bancorp Investments, Inc. U.S. Bancorp investor protection violation 2020 SEC $15,992,441
Midland States Bancorp Midland States Bancorp discriminatory practices (non-employment) 2014 HUD $15,950,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2018 SEC $15,700,000
HSBC Bank HSBC wage and hour violation 2013 private lawsuit-federal $15,625,000
USAA Federal Savings Bank USAA consumer protection violation 2019 CFPB $15,500,000
CashCall, Inc. CashCall Inc. consumer protection violation 2017 VA-AG $15,335,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2007 FINRA $15,200,000
Encore Capital Group, Inc. Encore Capital Group consumer protection violation 2020 CFPB $15,079,308
Guaranteed Rate Inc. Guaranteed Rate Inc. False Claims Act and related 2020 DOJ_CIVIL $15,060,000
UBS Financial Services UBS investor protection violation 2016 SEC $15,025,882
ACE Cash Express ACE Cash Express consumer protection violation 2014 CFPB $15,000,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2016 SEC $15,000,000
UBS Financial Services Inc. of Puerto Rico UBS investor protection violation 2015 SEC $15,000,000
Citigroup Global Markets Citigroup investor protection violation 2015 SEC $15,000,000
Barclays Capital Inc. Barclays investor protection violation 2014 SEC $15,000,000
Balli Aviation Ltd. and Balli Group PLC Balli Group export control violation 2010 BIS $15,000,000
Macquarie Capital (USA) Inc. Macquarie investor protection violation 2015 SEC $15,000,000
TD Bank Toronto-Dominion Bank investor protection violation 2013 SEC $15,000,000
RenaissanceRe Holdings Ltd. RenaissanceRe Holdings accounting fraud or deficiencies 2007 SEC $15,000,000
Ameriprise Financial, Inc. Ameriprise Financial investor protection violation 2005 SEC $15,000,000
Conseco, Inc. CNO Financial investor protection violation 2004 SEC $15,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2017 OCC $15,000,000
UBS AG UBS investor protection violation 2018 CFTC $15,000,000
US Bancorp U.S. Bancorp banking violation 2018 FED $15,000,000
Wells Fargo Wells Fargo wage and hour violation 2014 private lawsuit-federal $15,000,000
PNC Bank, National Association PNC Financial Services banking violation 2018 OCC $15,000,000
Fiserv Securities, Inc. Fidelity Investments investor protection violation 2005 SEC $15,000,000
Conseco, Inc. CNO Financial investor protection violation 2004 NY-AG (*) $15,000,000
New York Life Insurance Company New York Life Insurance insurance violation 2013 MULTI-AG $15,000,000
UnumProvident Corporation Unum consumer protection violation 2004 MULTI-AG $15,000,000
BGC Financial, LP BGC Partners investor protection violation 2019 CFTC $15,000,000
Raymond James & Associates, Inc. et al. Raymond James Financial investor protection violation 2019 SEC $15,000,000
Athene Life Insurance Company of New York Athene Holding insurance violation 2018 NY-DFS $15,000,000
Barclays Bank PLC Barclays workplace whistleblower retaliation 2018 NY-DFS $15,000,000
Farmers Insurance Group Zurich Insurance insurance violation 2002 TX-INS $15,000,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2008 MULTI-FIN $15,000,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2008 MULTI-FIN (*) $15,000,000
Interactive Brokers LLC Interactive Brokers Group anti-money-laundering deficiencies 2020 FINRA $15,000,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. BNP Paribas anti-money-laundering deficiencies 2019 FINRA $15,000,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2015 FINRA $15,000,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2014 FINRA $15,000,000
ING Life Insurance & Annuity Co. Voya Financial benefit plan administrator violation 2014 private lawsuit-federal $14,950,000
BNY Mellon Bank of New York Mellon Foreign Corrupt Practices Act 2015 SEC $14,800,000
Aon Corporation Aon Foreign Corrupt Practices Act 2011 SEC $14,545,020
Wells Fargo Bank, N.A. Wells Fargo investor protection violation 2019 CFTC $14,475,000
UBS Securities LLC UBS investor protection violation 2015 SEC $14,400,000
Morgan Stanley Capital Group Morgan Stanley data submission deficiencies 2010 CFTC $14,000,000
Goldman Sachs Goldman Sachs mortgage abuses 2018 FED $14,000,000
New York Stock Exchange IntercontinentalExchange Group investor protection violation 2018 SEC $14,000,000
Merrill Lynch Bank of America wage and hour violation 2016 private lawsuit-federal $14,000,000
First NLC Arlington Asset Investment Corp. wage and hour violation 2007 private lawsuit-federal $14,000,000
New York Life Insurance New York Life Insurance benefit plan administrator violation 2008 private lawsuit-federal $14,000,000
Union Bancaire Privee, UBP SA Union Bancaire Privee tax violations 2020 DOJ_TAX $14,000,000
Assurant, Inc. Assurant insurance violation 2013 NY-DFS $14,000,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America investor protection violation 2005 FINRA $14,000,000
Robertson Stephens, Inc. Bank of America investor protection violation 2003 FINRA (*) $14,000,000
Wells Fargo Bank Wells Fargo mortgage abuses 2015 MD-AG $13,800,000
Hartford Life Insurance Company Hartford Financial Services benefit plan administrator violation 2010 private lawsuit-federal $13,775,000
Barclays Capital, Inc. Barclays investor protection violation 2015 FINRA $13,750,000
Merrill Lynch Bank of America toxic securities abuses 2008 MA-AG $13,700,000
E-Loan Inc. Popular Inc. wage and hour violation 2007 private lawsuit-federal $13,600,000
Bank of America Bank of America fraud 2010 DC-AG $13,502,852
Metropolitan Life Insurance Company MetLife kickbacks and bribery 2010 USAO $13,500,000
LaSalle Bank Bank of America benefit plan administrator violation 2011 private lawsuit-federal $13,500,000
US Bank U.S. Bancorp housing code violation 2016 CA-LACA $13,500,000
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2015 FINRA $13,500,000
State Farm State Farm Insurance insurance violation 2017 CA-INS $13,335,701
John Hancock Life Insurance Company Manulife Financial insurance violation 2012 MULTI-FIN $13,300,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2017 FINRA $13,030,000
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2017 SEC $13,000,000
Mastercard International Inc. MasterCard consumer protection violation 2017 CFPB $13,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America anti-money-laundering deficiencies 2017 SEC $13,000,000
Wells Fargo Wells Fargo wage and hour violation 2017 private lawsuit-state $13,000,000
Bank of America Bank of America fraud 2016 DC-AG $13,000,000
CashCall Inc. CashCall Inc. consumer protection violation 2015 WV-AG $13,000,000
MoneyGram Payment Systems MoneyGram International consumer protection violation 2016 MULTI-AG $13,000,000
American Express Financial Advisors Ameriprise Financial investor protection violation 2005 FINRA $13,000,000
Dain Rauscher Incorporated Royal Bank of Canada investor protection violation 2000 SEC $12,941,191
Citigroup Global Markets Inc. Citigroup investor protection violation 2018 SEC $12,937,475
Barclays PLC Barclays foreign exchange market manipulation 2018 DOJ_CRIMINAL $12,896,011
Wells Fargo Wells Fargo wage and hour violation 2007 private lawsuit-federal $12,800,000
Willis Group Willis Towers Watson employment discrimination 2008 private lawsuit-federal $12,757,949
Barclays Capital Inc. Barclays investor protection violation 2017 SEC $12,710,040
Lincoln National Life Insurance Company Lincoln National insurance violation 2013 MULTI-AG $12,600,000
HSBC Private Bank (Suisse) HSBC investor protection violation 2014 SEC $12,500,000
Thomas Weisel Partners LLC Stifel Financial investor protection violation 2004 SEC $12,500,000
Merrill Lynch Bank of America investor protection violation 2016 SEC $12,500,000
Prudential Financial Prudential Financial wage and hour violation 2017 private lawsuit-federal $12,500,000
Bank of China Bank of China banking violation 2018 OCC $12,500,000
American International Group, Inc. American International Group price-fixing or anti-competitive practices 2008 MULTI-AG $12,500,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2003 MULTI-FIN (*) $12,500,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2016 FINRA $12,500,000
Morgan Stanley & Co. Morgan Stanley investor protection violation 2007 FINRA $12,500,000
Knight Securities, L.P. Virtu Financial investor protection violation 2004 FINRA $12,500,000
Allianz SE Allianz Foreign Corrupt Practices Act 2012 SEC $12,396,423
Wachovia Corporation Wells Fargo benefit plan administrator violation 2011 private lawsuit-federal $12,350,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2005 FINRA $12,300,000
Interactive Brokers LLC Interactive Brokers Group anti-money-laundering deficiencies 2020 CFTC $12,206,214
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)