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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $339,976,074,213
Number of Records: 6,952
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$82,898,016,192264
JPMorgan Chase$36,107,446,133199
Citigroup$25,540,645,217156
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
UBS$16,879,318,334102
Goldman Sachs$16,399,485,79387
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,148,363,95019
Credit Suisse$10,732,400,12649

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
American International Group, Inc.American International Groupbenefit plan administrator violation2008private lawsuit-federal$24,200,000
BNY Mellon Securities LLCBank of New York Melloninvestor protection violation2011SEC$24,045,447
JPMorgan ChaseJPMorgan Chaseemployment discrimination2018private lawsuit-federal$24,000,000
BB&T CorporationTruist Financialbenefit plan administrator violation2019private lawsuit-federal$24,000,000
Hartford Life Insurance CompanyHartford Financial Servicesinsurance violation2012NY-DFS$24,000,000
Wells FargoWells Fargoconsumer protection violation2010MULTI-AG$23,700,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2017NY-AG$23,500,000
UBS Financial Services, Inc.UBSinvestor protection violation2007NY-AG$23,300,000
Voya Financial Advisors, Inc.Voya Financialinvestor protection violation2020SEC$22,919,155
TIAA-CREFTIAAbenefit plan administrator violation2014private lawsuit-federal$22,800,000
Regions Financial Corp.Regions Financialbenefit plan administrator violation2014private lawsuit-federal$22,500,000
Morgan StanleyMorgan Stanleytoxic securities abuses2016IL-AG$22,500,000
Goldman SachsGoldman Sachsinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $22,500,000
Citigroup Inc.Citigroupbanking violation2012FED$22,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2012SEC$22,000,000
Bank of AmericaBank of Americawage and hour violation2001private lawsuit-state$22,000,000
Santander Consumer USA Holdings Inc.Banco Santanderconsumer protection violation2017MA-AG$22,000,000
Deutsche Bank Americas Holding Corp.Deutsche Bankbenefit plan administrator violation2019private lawsuit-federal$21,900,000
World Acceptance CorporationWorld Acceptance CorporationForeign Corrupt Practices Act2020SEC$21,700,000
Union Bank of California, N.A.Mitsubishi UFJ Financial Groupanti-money-laundering deficiencies2007DOJ_CRIMINAL$21,600,000
Banco Popular de Puerto RicoPopular Inc.anti-money-laundering deficiencies2003DOJ_CRIMINAL$21,600,000
Fifth Third BankFifth Third Bancorpconsumer protection violation2015CFPB$21,500,000
QBE Holdings Inc.QBE Insuranceinsurance violation2017MULTI-FIN$21,164,000
SunTrust Mortgage Inc.Truist Financialbanking violation2012DOJ_RIGHTS$21,000,000
Merrill LynchBank of Americawage and hour violation2013private lawsuit-federal$21,000,000
Edward D. Jones & Co.Jones Financialwage and hour violation2008private lawsuit-federal$21,000,000
Western Asset Management CompanyFranklin Resourcesbenefit plan administrator violation2014EBSA$21,000,000
Bank of America CorpBank of Americabenefit plan administrator violation2011private lawsuit-federal$21,000,000
IFCO SystemsTriton Investments Adviserswork visa violations2008USAO$20,700,000
CitigroupCitigrouptoxic securities abuses2011NCUA$20,500,000
Jackson National Life Insurance CompanyJackson Financialemployment discrimination2020EEOC$20,500,000
UniCredit Bank Austria AGUniCrediteconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $20,326,340
Oppenheimer & Co., Inc.Oppenheimer Holdingsanti-money-laundering deficiencies2015FINCEN$20,000,000
BAC Home Loans Servicing LP fka Countrywide Home Loans Servicing LPBank of Americamortgage abuses2011DOJ_CIVIL$20,000,000
Edward D. Jones & Co. LPJones Financialinvestor protection violation2015SEC$20,000,000
JPMorgan Chase BankJPMorgan Chaseaccounting fraud or deficiencies2012CFTC$20,000,000
Guggenheim Partners Investment Management LLCGuggenheim Partnersinvestor protection violation2015SEC$20,000,000
New York Stock Exchange, Inc.IntercontinentalExchange Groupinvestor protection violation2005SEC$20,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2005SEC$20,000,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc.Franklin Resourcesinvestor protection violation2004SEC$20,000,000
Wells Fargo Bank, National AssociationWells FargoServicemembers Civil Relief Act2016OCC$20,000,000
Bank of America CorporationBank of Americainvestor protection violation2014SEC$20,000,000
Wells FargoWells Fargowage and hour violation2010private lawsuit-federal$20,000,000
A.G. EdwardsWells Fargowage and hour violation2007private lawsuit-federal$20,000,000
Washington Mutual Pension PlanJPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$20,000,000
CitigroupCitigrouptoxic securities abuses2008MA-AG$20,000,000
OppenheimerFunds Inc.Invescoinvestor protection violation2009OR-AG$20,000,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2018IL-AG$20,000,000
The Hartford Financial Services GroupHartford Financial Servicesinvestor protection violation2006MULTI-AG$20,000,000
UniCredit Bank Austria AGUniCrediteconomic sanction violation2019NY-MANDA$20,000,000
ABN AMROABN AMROeconomic sanction violation2005NY-DFS$20,000,000
AXA EquitableEquitable Holdingsinsurance violation2014NY-DFS$20,000,000
Wells Fargo & Co.Wells Fargoinvestor protection violation2020MD-AG$20,000,000
John Hancock Investment Management Services, LLCManulife Financialinvestor protection violation2007SEC$19,787,879
UBS AGUBSinvestor protection violation2015SEC$19,500,000
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americatoxic securities abuses2016VA-AG$19,500,000
Western Asset Management CompanyFranklin Resourcesinvestor protection violation2014SEC$19,400,000
Deutsche Investment Management Americas, Inc. et al.Deutsche Bankinvestor protection violation2006SEC$19,329,729
Amerisave Mortgage Corporation and Novo Appraisal Management CompanyAmeriSave Mortgageconsumer protection violation2014CFPB$19,300,000
Nationwide Mutual Insurance CompanyNationwideFair Credit Reporting Act violation2006private lawsuit-federal$19,250,000
Cash America International Inc.FirstCashpayday lending violation2013CFPB$19,000,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003SEC$19,000,000
Edward D. Jones & Co.Jones Financialwage and hour violation2008private lawsuit-federal$19,000,000
Metropolitan Life Insurance CompanyMetLifeconsumer protection violation2006NY-AG$19,000,000
Wells Fargo & Co.Wells Fargoemployment discrimination2021private lawsuit-federal$18,700,000
Citizens Bank, N.A.Citizens Financial Groupconsumer protection violation2015CFPB$18,500,000
Discover BankDiscover Financial Servicesconsumer protection violation2015CFPB$18,500,000
Wilmington TrustM&T Bankaccounting fraud or deficiencies2014SEC$18,500,000
Deutsche BankDeutsche Bankinvestor protection violation2016SEC$18,500,000
UBS Financial Services Incorporated of Puerto RicoUBSinvestor protection violation2015FINRA$18,500,000
Citigroup Global MarketsCitigroupinvestor protection violation2017SEC$18,300,000
Pruco Securities, LLCPrudential Financialinvestor protection violation2020SEC$18,252,341
Allstate Life Insurance Company of New YorkAllstateinsurance violation2007NY-DFS$18,250,000
Mellon Bank N.A.Bank of New York MellonFalse Claims Act and related2006USAO$18,130,405
U.S. Bank National AssociationU.S. Bancorpinvestor protection violation2015CFTC$18,000,000
MoneyGram International, Inc.MoneyGram Internationalconsumer protection violation2009FTC$18,000,000
Coast National InsuranceZurich Insurancewage and hour violation2002private lawsuit-state$18,000,000
Allianz Dresdner Asset Management of America LPAllianzinvestor protection violation2004NJ-AG$18,000,000
Franklin/Templeton Distributors, Inc.Franklin Resourcesinvestor protection violation2004CA-AG$18,000,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005MULTI-FIN$18,000,000
RBS Financial Products, Inc.NatWest Group PLCtoxic securities abuses2020MD-AG$18,000,000
Charles Schwab & Company, Inc.Charles Schwab Corp.investor protection violation2011FINRA$18,000,000
LendingClub Corp.LendingClub Corp.consumer protection violation2021FTC$18,000,000
Cleco PowerMacquarieutility administrative violation2004LA-PSC$18,000,000
Citibank, N.A.Citigroupbanking violation2020OCC$17,998,510
Societe Generale Private Banking (Suisse) SASociete Generaletax violations2015DOJ_TAX$17,807,000
UBS Willow Management LLC and UBS Fund Advisor LLCUBSinvestor protection violation2015SEC$17,500,000
Wells Fargo & CompanyWells Fargobenefit plan administrator violation2011private lawsuit-federal$17,500,000
United States Fidelity & GuarantyTravelersFalse Claims Act and related2007CT-AG$17,500,000
VITOL, S.A.Vitolkickbacks and bribery2007NY-MANDA$17,500,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2013MA-SEC$17,500,000
UnumProvident CorporationUnumconsumer protection violation2006NY-AG$17,400,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2019SEC$17,363,847
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009SEC$17,300,000
Countrywide Securities Corp.Bank of Americamortgage abuses2013MA-AG$17,300,000
Wells FargoWells Fargotoxic securities abuses2018IL-AG$17,250,000
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc.Deutsche Bankinvestor protection violation2006SEC$17,200,000
Kemper Corp.Kemperprivacy violation2022private lawsuit-federal$17,100,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2007SEC$17,000,000
ChubbChubb Limitedprice-fixing or anti-competitive practices2006MULTI-AG$17,000,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2012MULTI-AG$17,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.