Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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
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
Wells Fargo & Company Wells Fargo benefit plan administrator violation 2015 private lawsuit-federal $7,420,000
Louis Dreyfus Energy Service Louis Dreyfus energy market violation 2014 FERC $7,406,257
MetLife MetLife wage and hour violation 2009 private lawsuit-federal $7,400,000
CashCall, Inc., WS Funding, LLC, and Delbert Services Corporation CashCall Inc. consumer protection violation 2016 CO-AG $7,384,005
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2005 NH-BSR $7,375,000
PNC Investments LLC PNC Financial Services investor protection violation 2018 SEC $7,307,770
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
Conseco Finance Servicing Corp. CNO Financial consumer protection violation 2002 KS-BKG $7,275,000
Fannie Mae Fannie Mae benefit plan administrator violation 2010 private lawsuit-federal $7,250,000
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
PNC Bank N.A PNC Financial Services False Claims Act and related 2013 DOJ_CIVIL $7,100,000
Prospect Mortgage LLC Homebridge Financial Services mortgage abuses 2015 MULTI-FIN $7,035,300
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2016 FINRA $7,030,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2015 SEC $7,000,000
Goldman Sachs Execution & Clearing LP Goldman Sachs investor protection violation 2012 CFTC $7,000,000
Citigroup Global Markets Citigroup data submission deficiencies 2016 SEC $7,000,000
Banco Espirito Santo S.A. Banco Espirito Santo investor protection violation 2011 SEC $7,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2009 SEC $7,000,000
U.S. Bancorp U.S. Bancorp wage and hour violation 2017 private lawsuit-federal $7,000,000
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
HSBC HSBC wage and hour violation 2016 private lawsuit-federal $6,982,000
Merrill Lynch Bank of America wage and hour violation 2014 private lawsuit-federal $6,900,000
Wells Fargo Wells Fargo wage and hour violation 2011 private lawsuit-federal $6,900,000
Citigroup, Inc. Citigroup benefit plan administrator violation 2019 private lawsuit-federal $6,900,000
Morgan Stanley & Co. LLC Morgan Stanley toxic securities abuses 2016 VA-AG $6,900,000
Raymond James Financial Services Advisors, Inc. Raymond James Financial investor protection violation 2019 SEC $6,877,048
Farmers Group, Inc. Zurich Insurance benefit plan administrator violation 2012 private lawsuit-federal $6,850,000
Premera Blue Cross Premera Blue Cross privacy violation 2020 HHSOCR $6,850,000
Wells Fargo Wells Fargo wage and hour violation 2011 private lawsuit-federal $6,720,000
Bank One, KY, N.A. JPMorgan Chase discriminatory practices (non-employment) 2005 private lawsuit-federal $6,715,000
Warburg Dillon Read LLC UBS investor protection violation 2000 SEC $6,680,000
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
John Nuveen & Co., Inc. TIAA investor protection violation 2000 FINRA $6,630,000
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
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2019 FINRA $6,500,000
Deutsche Bank Securities, Inc. Deutsche Bank investor protection violation 2013 FINRA $6,500,000
U.S. Bancorp U.S. Bancorp wage and hour violation 2014 private lawsuit-federal $6,450,000
Santander Securities LLC Banco Santander investor protection violation 2015 FINRA $6,421,000
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
LPL Financial LLC LPL Financial investor protection violation 2015 FINRA $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
Citigroup Global Markets, Inc. Citigroup investor protection violation 2005 FINRA $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
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2007 FINRA $6,100,000
Morgan Stanley DW, Inc. Morgan Stanley investor protection violation 2005 FINRA $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
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)