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 Year Agency Penalty Amountsort icon
Wells Fargo Wells Fargo wage and hour violation 2011 private lawsuit-federal $6,660,000
UBS Securities LLC UBS investor protection violation 2010 TX-SEC $6,640,432
BNY Mellon Bank of New York Mellon investor protection violation 2017 SEC $6,600,000
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $6,600,000
American Express Bank, FSB American Express banking violation 2012 OCC $6,500,000
Fifth Third Bancorp Fifth Third Bancorp accounting fraud or deficiencies 2013 SEC $6,500,000
Wells Fargo Wells Fargo toxic securities abuses 2012 SEC $6,500,000
AXA Financial Equitable Holdings wage and hour violation 2009 private lawsuit-federal $6,500,000
American National Insurance Co. American National Insurance consumer protection violation 2007 TX-AG $6,500,000
U.S. Bank National Association U.S. Bancorp wage and hour violation 2020 private lawsuit-federal $6,500,000
Countrywide Financial Corp. Bank of America privacy violation 2010 private lawsuit-federal $6,500,000
U.S. Bancorp U.S. Bancorp wage and hour violation 2014 private lawsuit-federal $6,450,000
Citizens Bank Citizens Financial Group banking violation 2013 FDIC $6,400,000
Liberty Mutual Liberty Mutual Insurance wage and hour violation 2005 private lawsuit-federal $6,400,000
Mastercard International Inc. MasterCard price-fixing or anti-competitive practices 2008 WV-AG $6,400,000
Visa USA Inc. Visa price-fixing or anti-competitive practices 2008 WV-AG $6,400,000
CashCall, Inc. CashCall Inc. consumer protection violation 2014 WA-FIN $6,390,670
Standard Chartered Bank (Switzerland) SA, en liquidation Standard Chartered tax violations 2015 DOJ_TAX $6,337,000
Barclays PLC Barclays Foreign Corrupt Practices Act 2019 SEC $6,308,726
American Security Insurance Co. Assurant consumer protection violation 2017 MA-AG $6,300,000
Lasalle Bank MidWest National Association Bank of America banking violation 2005 OCC $6,250,000
KeyCorp KeyCorp wage and hour violation 2012 private lawsuit-federal $6,250,000
PHH Mortgage Corporation Ocwen Financial mortgage abuses 2013 NJ-AG $6,250,000
AmeriSave Mortgage Corporation AmeriSave Mortgage privacy violation 2020 private lawsuit-federal $6,250,000
USAA Casualty Insurance and United Services Auto Association USAA insurance violation 2003 NJ-DBI $6,200,000
TIAA-CREF Life Insurance Company TIAA insurance violation 2013 MULTI-FIN $6,200,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $6,168,545
Ditech Ditech Holding Corporation wage and hour violation 2002 private lawsuit-federal $6,150,000
Farmers Insurance Exchange Farmers Insurance Exchange employment discrimination 2016 private lawsuit-federal $6,140,000
New York Life Investment Management LLC New York Life Insurance investor protection violation 2009 SEC $6,100,784
AIG Federal Savings Bank and Wilmington Finance Inc. American International Group discriminatory practices (non-employment) 2010 DOJ_RIGHTS $6,100,000
Imperial Sugar Company Louis Dreyfus workplace safety or health violation 2010 OSHA $6,050,000
HSBC Finance Corporation et al. HSBC discriminatory practices (non-employment) 2010 private lawsuit-federal $6,050,000
Stifel and Nicolaus & Company, Incorporated Stifel Financial investor protection violation 2019 SEC $6,037,175
Transamerica Financial Advisors, Inc. Aegon investor protection violation 2019 SEC $6,023,072
Santander Bank, National Association Banco Santander banking violation 2015 OCC $6,000,000
THE BANK OF NEW YORK MELLON Bank of New York Mellon banking violation 2012 FED $6,000,000
Chicago Board Options Exchange CBOE Holdings investor protection violation 2013 SEC $6,000,000
Vitol Inc. and Vitol Capital Management Ltd. Vitol investor protection violation 2010 CFTC $6,000,000
Citibank N.A. Citigroup consumer protection violation 2017 CFPB $6,000,000
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $6,000,000
PNC Financial Services PNC Financial Services wage and hour violation 2016 private lawsuit-federal $6,000,000
TD Bank Toronto-Dominion Bank wage and hour violation 2014 private lawsuit-federal $6,000,000
Combined Insurance Company of America Chubb Limited wage and hour violation 2010 private lawsuit-federal $6,000,000
New York Life Insurance New York Life Insurance employment discrimination 2006 private lawsuit-federal $6,000,000
First Horizon National Corporation First Horizon National benefit plan administrator violation 2012 private lawsuit-federal $6,000,000
Fifth Third Bancorp Fifth Third Bancorp benefit plan administrator violation 2016 private lawsuit-federal $6,000,000
BB&T Leasing Corporation Truist Financial consumer protection violation 2006 MULTI-AG $6,000,000
Countrywide Financial Corp. Bank of America mortgage abuses 2009 CO-AG $6,000,000
Encore Capital Group Inc. Encore Capital Group consumer protection violation 2018 MULTI-AG $6,000,000
Lender Processing Services, Inc. Fidelity National Financial mortgage abuses 2014 NV-AG $6,000,000
TravelersCompanies, Inc. Travelers price-fixing or anti-competitive practices 2007 MULTI-AG $6,000,000
Israel Discount Bank of New York Israel Discount Bank anti-money-laundering deficiencies 2006 NY-DFS $6,000,000
American Modern Insurance Group Inc. Munich Re insurance violation 2015 MULTI-FIN $6,000,000
Principal Life Insurance Company Principal Financial insurance violation 2020 NY-DFS $6,000,000
Morgan Stanley Morgan Stanley wage and hour violation 2016 private lawsuit-federal $5,995,000
National Union Fire Insurance Co. American International Group insurance violation 2013 CA-INS $5,991,132
Transamerica Asset Management, Inc. Aegon investor protection violation 2020 SEC $5,946,782
Transamerica Life Insurance Company Aegon insurance violation 2019 NJ-DBI $5,942,519
Prudential Securities Incorporated Wells Fargo investor protection violation 2000 SEC $5,880,000
Brown & Brown, Inc. Brown & Brown consumer protection violation 2006 FL-AG $5,800,000
Wachovia Bank Wells Fargo wage and hour violation 2004 WHD $5,798,744
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2017 SEC $5,754,714
Nationwide Insurance Nationwide consumer protection violation 2015 WV-AG $5,750,000
Progressive Express Insurance Co. et al. Progressive insurance violation 2002 FL-OFR $5,750,000
BB&T Securities Truist Financial investor protection violation 2019 SEC $5,709,753
JPMorgan Chase JPMorgan Chase wage and hour violation 2017 private lawsuit-federal $5,707,279
Deutsche Bank Securities Inc. Deutsche Bank toxic securities abuses 2016 VA-AG $5,621,897
Unum Group Unum kickbacks and bribery 2008 USAO $5,550,000
ABN AMRO Bank, N.V. ABN AMRO investor protection violation 2013 SEC $5,547,408
UBS as successor to Piper Jaffray UBS wage and hour violation 2008 private lawsuit-federal $5,500,000
Allstate Insurance Company Allstate wage and hour violation 2018 private lawsuit-state $5,500,000
Nationwide Mutual Insurance Company Nationwide privacy violation 2017 MULTI-AG $5,500,000
UBS Financial Services Inc. UBS investor protection violation 2007 CT-SEC $5,500,000
UBS Global Asset Management UBS benefit plan administrator violation 2006 private lawsuit-federal $5,493,000
Stifel Nicolaus & Company, Inc. Stifel Financial investor protection violation 2010 NJ-BOS $5,415,381
Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer Services Wells Fargo Servicemembers Civil Relief Act 2017 DOJ_RIGHTS $5,400,000
Progressive Progressive wage and hour violation 2004 private lawsuit-federal $5,400,000
Santander USA Holdings Inc. Banco Santander consumer protection violation 2015 MA-AG $5,400,000
Farmers Insurance Exchange Farmers Insurance Exchange wage and hour violation 2020 private lawsuit-federal $5,400,000
Wells Fargo Bank, N.A. and Wells Fargo Insurance, Inc. Wells Fargo insurance violation 2019 CA-INS $5,345,816
UBS O'Connor, LLC UBS investor protection violation 2013 SEC $5,297,716
American International Group, Inc. American International Group tax violations 2006 MI-AG $5,279,484
JPMorgan Chase Bank, N.A. JPMorgan Chase economic sanction violation 2018 OFAC $5,263,171
HSBC HSBC toxic securities abuses 2012 NCUA $5,250,000
American Express Travel Related Services Company, Inc. American Express economic sanction violation 2013 OFAC $5,226,120
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2000 SEC $5,200,000
CIT Group Inc. CIT mortgage abuses 2018 FED $5,200,000
ING Life Insurance and Annuity Co. Voya Financial benefit plan administrator violation 2013 EBSA $5,200,000
National Union Fire Insurance Company American International Group insurance violation 2019 NY-DFS $5,200,000
New Day Financial, LLC d/b/a NewDay USA New Day Financial LLC investor protection violation 2015 MULTI-FIN $5,160,000
Zurich Life Insurance Company Ltd Zurich Insurance tax violations 2019 DOJ_TAX $5,115,000
Wells Fargo Advisors LLC Wells Fargo investor protection violation 2018 SEC $5,108,441
Old Republic Title Co. Old Republic International consumer protection violation 2002 CA-MULTI $5,096,963
Premier Insurance Company of Massachusetts Travelers consumer protection violation 2011 MA-AG $5,000,386
Wells Fargo Advisors LLC Wells Fargo investor protection violation 2014 SEC $5,000,000
Morgan Stanley Morgan Stanley investor protection violation 2012 CFTC $5,000,000
LavaFlow Inc. Citigroup investor protection violation 2014 SEC $5,000,000
New York Stock Exchange IntercontinentalExchange Group investor protection violation 2012 SEC $5,000,000
Republic New York Securities Corporation HSBC investor protection violation 2001 CFTC $5,000,000
U.S. Trust Corporation Bank of America banking violation 2001 FED $5,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)