Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
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$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
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.
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Company Parent Primary Offense Typesort icon Year Agency Penalty Amount
Citigroup Citigroup mortgage abuses 2015 MA-AG $675,000
Countrywide Financial Corp. Bank of America mortgage abuses 2009 CO-AG $6,000,000
Countrywide Financial Corp. Bank of America mortgage abuses 2009 RI-AG $1,146,000
Countrywide Financial Corporation Bank of America mortgage abuses 2010 MULTI-AG $3,004,100,000
Countrywide Financial Corporation Bank of America mortgage abuses 2009 OR-AG $1,000,000
Countrywide Financial Corporation Bank of America mortgage abuses 2009 PA-AG $150,000,000
Countrywide Financial Corporation Bank of America mortgage abuses 2009 SD-AG $161,805
Countrywide Financial Corporation Bank of America mortgage abuses 2009 WI-AG $41,100,000
Countrywide Financial Corporation Bank of America mortgage abuses 2009 WV-AG $340,901
Countrywide Home Loans Bank of America mortgage abuses 2008 MULTI-AG $8,680,000,000
Countrywide Home Loans Bank of America mortgage abuses 2009 IN-AG $2,800,000
Countrywide Securities Corp. Bank of America mortgage abuses 2013 MA-AG $17,300,000
Goldman Sachs & Co. Goldman Sachs mortgage abuses 2009 MA-AG $60,000,000
Household Finance Corp. HSBC mortgage abuses 2002 MULTI-AG $484,000,000
HSBC HSBC mortgage abuses 2016 MULTI-AG (*) $59,500,000
HSBC Securities HSBC mortgage abuses 2018 MA-AG $26,800,000
JP Morgan Chase JPMorgan Chase mortgage abuses 2015 MA-AG $675,000
JPMorgan Chase JPMorgan Chase mortgage abuses 2012 MULTI-AG (*) $1,121,188,661
JPMorgan Chase Bank JPMorgan Chase mortgage abuses 2015 MD-AG $400,000
Lender Processing Services, Inc. Fidelity National Financial mortgage abuses 2013 MULTI-AG $120,000,000
Lender Processing Services, Inc. Fidelity National Financial mortgage abuses 2012 CO-AG $1,800,000
Lender Processing Services, Inc. Fidelity National Financial mortgage abuses 2012 DE-AG $250,000
Lender Processing Services, Inc. Fidelity National Financial mortgage abuses 2013 MI-AG $2,500,000
Lender Processing Services, Inc. Fidelity National Financial mortgage abuses 2012 MO-AG $2,000,000
Lender Processing Services, Inc. Fidelity National Financial mortgage abuses 2014 NV-AG $6,000,000
Nationstar Mortgage LLC dba Mr. Cooper Mr. Cooper Group mortgage abuses 2018 MA-AG $500,000
Ocwen Financial Corp. Ocwen Financial mortgage abuses 2014 MA-AG $3,700,000
Ocwen Financial Services Ocwen Financial mortgage abuses 2013 MULTI-AG (*) $127,300,000
Ocwen Loan Servicing LLC Ocwen Financial mortgage abuses 2019 MA-AG $2,000,000
PHH Mortgage Corp. Ocwen Financial mortgage abuses 2018 MULTI-AG $45,000,000
PHH Mortgage Corporation Ocwen Financial mortgage abuses 2013 NJ-AG $6,250,000
SunTrust Mortgage Inc. Truist Financial mortgage abuses 2014 MULTI-AG (*) $40,000,000
Wells Fargo Wells Fargo mortgage abuses 2012 MULTI-AG (*) $1,005,233,716
Wells Fargo Wells Fargo mortgage abuses 2010 CA-AG $33,868,615
Wells Fargo Wells Fargo mortgage abuses 2012 MD-AG $940,056
Wells Fargo Bank Wells Fargo mortgage abuses 2015 MA-AG $675,000
Wells Fargo Bank Wells Fargo mortgage abuses 2015 MD-AG $13,800,000
Countrywide Financial Corp. Bank of America mortgage abuses 2008 HI-DCCA $84,548,000
Household Finance Corp. of California and Beneficial California, Inc. HSBC mortgage abuses 2002 CA-DFPI $8,900,000
SunTrust Mortgage, Inc. Truist Financial mortgage abuses 2016 CA-DFPI $50,000
Ocwen Loan Servicing, LLC Ocwen Financial mortgage abuses 2017 CA-DFPI $225,000,000
PHH Mortgage Corp. Ocwen Financial mortgage abuses 2012 IL-BKG $150,000
Freedom Mortgage Corp. Freedom Mortgage mortgage abuses 2016 MA-BKG $2,000,000
Prospect Mortgage, LLC Homebridge Financial Services mortgage abuses 2013 NY-DFS $3,427,155
PHH Mortgage Corporation Ocwen Financial mortgage abuses 2016 NY-DFS $28,000,000
James B. Nutter & Company James B. Nutter & Company mortgage abuses 2012 MULTI-FIN $492,050
Prospect Mortgage LLC Homebridge Financial Services mortgage abuses 2015 MULTI-FIN $7,035,300
Seterus Inc. Mr. Cooper Group mortgage abuses 2019 MULTI-FIN $350,000
Taylor, Bean & Whitaker Mortgage Corp. Taylor, Bean & Whitaker mortgage abuses 2009 MULTI-FIN $9,000,000
Nationstar Mortgage, LLC Mr. Cooper Group mortgage abuses 2020 DOJ_UTP $40,000,000
U.S. Bank National Association U.S. Bancorp mortgage abuses 2020 DOJ_UTP $29,000,000
PNC Bank, NA PNC Financial Services mortgage abuses 2020 DOJ_UTP $5,000,000
Ocwen Financial Corporation Ocwen Financial mortgage abuses 2020 FL-AG $11,600,000
Torchmark Corporation Globe Life Inc. Medicare Parts C and D Enforcement Action 2014 CMS $40,000
Torchmark Corporation Globe Life Inc. Medicare Parts C and D Enforcement Action 2013 CMS $150,000
Blue Shield of California Promise Health Plan California Physicians' Service Medicare Parts C and D Enforcement Action 2020 CMS $148,506
TIAA-CREF TIAA labor relations violation 2016 NLRB $304,216
Grandbridge Real Estate Capital, LLC Truist Financial labor relations violation 2015 NLRB $70,000
Seterus, Inc. Mr. Cooper Group labor relations violation 2013 NLRB $72,162
Bank of America, National Association Bank of America labor relations violation 2013 NLRB $18,634
UBS Inc. UBS labor relations violation 2010 NLRB $26,351
National City Corporation PNC Financial Services labor relations violation 2009 NLRB $24,083
National City Corporation d/b/a National City Bank PNC Financial Services labor relations violation 2008 NLRB $49,597
PNC Bank PNC Financial Services labor relations violation 2006 NLRB $40,000
TD Banknorth Toronto-Dominion Bank labor relations violation 2006 NLRB $5,000
J.P. Morgan Chase & Co. and Forum Temporary Services JPMorgan Chase labor relations violation 2006 NLRB $60,760
Mercury Air Centers, Inc. Macquarie labor relations violation 2006 NLRB $40,000
USAA Insurance USAA labor relations violation 2005 NLRB $125,361
Watson Wyatt & Co. Willis Towers Watson labor relations violation 2005 NLRB $91,000
Wheelabrator Westchester, L.P. Macquarie labor relations violation 2005 NLRB $13,000
MetLife Financial Services MetLife labor relations violation 2002 NLRB $18,500
CNG FINANCIAL CORPORATION CNG Financial labor relations violation 2001 NLRB $6,000
First Union Bank Wells Fargo labor relations violation 2000 NLRB $9,116
The Prudential Insurance Company of America Prudential Financial labor relations violation 2018 NLRB $17,842
J.P. Morgan Securities Inc. JPMorgan Chase kickbacks and bribery 2009 SEC $75,000,000
Fidelity Investments Fidelity Investments kickbacks and bribery 2008 SEC $8,000,000
JPMorgan Securities JPMorgan Chase kickbacks and bribery 2016 DOJ_CRIMINAL $72,000,000
Prospect Mortgage, LLC Homebridge Financial Services kickbacks and bribery 2011 HUD $3,100,000
Fidelity National Financial, Inc. Fidelity National Financial kickbacks and bribery 2011 HUD $4,500,000
First American Title Insurance Company First American Financial kickbacks and bribery 2007 HUD $5,000,000
First American Title Insurance Company First American Financial kickbacks and bribery 2005 HUD $680,000
Metropolitan Life Insurance Company MetLife kickbacks and bribery 2010 USAO $13,500,000
Liberty Mutual Insurance Co. Liberty Mutual Insurance kickbacks and bribery 2010 CT-AG $2,000,000
Marsh & McLennan Companies, Inc. Marsh & McLennan kickbacks and bribery 2009 CT-AG $2,400,000
Mutual of Omaha Insurance Co. Mutual of Omaha kickbacks and bribery 2008 CT-AG $1,700,000
Principal Financial Group Principal Financial kickbacks and bribery 2007 CT-AG $5,000,000
Unum Group Unum kickbacks and bribery 2008 USAO $5,550,000
Metropolitan Life Insurance MetLife kickbacks and bribery 2008 CA-MULTI $500,000
Prudential Insurance Co. Prudential Financial kickbacks and bribery 2008 CA-MULTI $350,000
Unum Insurance Co. Unum kickbacks and bribery 2008 CA-MULTI $250,000
VITOL, S.A. Vitol kickbacks and bribery 2007 NY-MANDA $17,500,000
Barclays Capital Inc. Barclays investor protection violation 2016 SEC $35,000,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2016 SEC $54,300,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2016 SEC $15,000,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2016 SEC $4,000,000
Morgan Stanley Investment Management Morgan Stanley investor protection violation 2015 SEC $8,800,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A. JPMorgan Chase investor protection violation 2015 SEC $267,000,000
ICBC Standard Bank Plc Industrial and Commercial Bank of China investor protection violation 2015 SEC $4,200,000
UBS Willow Management LLC and UBS Fund Advisor LLC UBS investor protection violation 2015 SEC $17,500,000
UBS AG UBS investor protection violation 2015 SEC $19,500,000
UBS Financial Services Inc. of Puerto Rico UBS investor protection violation 2015 SEC $15,000,000
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