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 Typesort icon Year Agency Penalty Amount
CashCall Inc. CashCall Inc. consumer protection violation 2017 SC-FIN $9,650,000
Bannockburn Global Forex, LLC First Financial Bancorp. consumer protection violation 2016 TX-FIN $23,608
ALLIED CASH ADVANCE VIRGINIA CNG Financial consumer protection violation 2008 VA-FIN $38,000
ALLIED HOME MORTGAGE CAPITAL Americus Mortgage consumer protection violation 2008 VA-FIN $5,000
ALLIED HOME MORTGAGE CAPITAL Americus Mortgage consumer protection violation 2010 VA-FIN $25,000
ACE CASH EXPRESS, INC. ACE Cash Express consumer protection violation 2010 VA-FIN $150,000
FREEDOM MORTGAGE CORPORATION Freedom Mortgage consumer protection violation 2016 VA-FIN $17,000
ACE CASH EXPRESS, INC. ACE Cash Express consumer protection violation 2016 VA-FIN $45,000
Prosper Marketplace Inc. Prosper Marketplace consumer protection violation 2016 VT-FIN $60,000
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2016 WA-FIN $59,678
Ocwen Loan Servicing, LLC Ocwen Financial consumer protection violation 2016 WA-FIN $900,000
ACE Cash Express, Inc. ACE Cash Express consumer protection violation 2016 WA-FIN $76,421
Quicken Loans Inc. Quicken Loans consumer protection violation 2016 WA-FIN $250,000
MLD Mortgage, Inc. d/b/a The Money Store and Mortgage Loan Direct MLD Mortgage Inc. dba The Money Store consumer protection violation 2016 WA-FIN $407,103
Cash Call Inc. and Western Sky Financial LLC CashCall Inc. consumer protection violation 2015 WA-FIN $2,000,000
New Day Financial, LLC d/b/a NewDay USA New Day Financial LLC consumer protection violation 2015 WA-FIN $120,000
CashCall, Inc. CashCall Inc. consumer protection violation 2014 WA-FIN $6,390,670
Fifth Third Mortgage Co. Fifth Third Bancorp consumer protection violation 2014 WA-FIN $228,626
Countrywide Home Loans Inc. Bank of America consumer protection violation 2010 WA-FIN $650,000
American General Financial Services OneMain Holdings consumer protection violation 2009 WA-FIN $74,984
Freedom Mortgage Corp. Freedom Mortgage consumer protection violation 2009 WA-FIN $52,791
Allstate Financial Services, Inc. Allstate consumer protection violation 2003 WA-FIN $58,988
MLD Mortgage Inc. dba The Money Store MLD Mortgage Inc. dba The Money Store consumer protection violation 2018 MULTI-FIN $720,000
Mortgage Access Corp. dba Weichert Financial Services Weichert Financial Services consumer protection violation 2011 MULTI-FIN $3,000,000
TD Bank, N.A. Toronto-Dominion Bank consumer protection violation 2020 CFPB $122,000,000
Freedom Mortgage Corp. Freedom Mortgage consumer protection violation 2020 MA-BKG $25,000
Mutual of Omaha Mortgage, Inc. Mutual of Omaha consumer protection violation 2020 PA-BKG $7,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 VT-AG $105,000
Morgan Stanley Smith Barney FA Notes Holdings LLC Morgan Stanley consumer protection violation 2020 CA-DFPI $1,000,000
PHH Mortgage Corporation Ocwen Financial consumer protection violation 2020 CA-DFPI $62,000
Freedom Mortgage Corporation Freedom Mortgage consumer protection violation 2020 CA-DFPI $75,000
Nationstar Mortgage, LLC dba Mr. Cooper Mr. Cooper Group consumer protection violation 2020 CFPB $74,500,000
Washington Federal Bank, N.A. Washington Federal Inc. consumer protection violation 2020 CFPB $200,000
Encore Capital Group, Inc. Encore Capital Group consumer protection violation 2020 CFPB $15,079,308
Nationstar Mortgage dba Mr. Cooper Mr. Cooper Group consumer protection violation 2020 MULTI-AG (*) $86,300,000
New York Life Insurance & Annuity Corporation New York Life Insurance consumer protection violation 2021 NY-DFS $10,929,000
Discover Bank et al. Discover Financial Services consumer protection violation 2020 CFPB $35,000,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 CFPB $4,750,000
PayPal, Inc. dba Venmo PayPal Holdings consumer protection violation 2020 MN-FIN $20,000
Citibank Citigroup consumer protection violation 2021 MULTI-AG $4,200,000
BB&T Equipment Finance LLC Truist Financial consumer protection violation 2021 CA-DFPI $75,000
E-Trade Financial Corporate Services, Inc. Morgan Stanley consumer protection violation 2021 CT-BKG $10,000
Santander Consumer USA, Inc. Banco Santander consumer protection violation 2021 CO-AG $3,065,000
United States Fire Insurance Co. Fairfax Financial Holdings consumer protection violation 2021 CO-AG $50,000
LendingClub Corp. LendingClub Corp. consumer protection violation 2021 FTC $18,000,000
Moneygram Payment Systems, Inc. MoneyGram International consumer protection violation 2021 FL-OFR $9,625
Credit Acceptance Corporation Credit Acceptance Corp. consumer protection violation 2021 MA-AG $27,200,000
U.S. Bank U.S. Bancorp consumer protection violation 2021 MA-AG $230,000
Santander Banco Santander consumer protection violation 2021 MS-AG $3,700,000
Highmark, Inc. Highmark Inc. campaign finance violation 2005 FEC $54,078
Fannie Mae Fannie Mae campaign finance violation 2004 FEC $10,000
Branch Banking & Trust Corporation Truist Financial campaign finance violation 2001 FEC $22,000
FIRST NIAGARA FINANCIAL GROUP, INC. KeyCorp benefit plan administrator violation 2011 EBSA $10,001
FIRST NBC BANK Hancock Whitney Corp. benefit plan administrator violation 2011 EBSA $10,001
E*Trade Group, Inc. Morgan Stanley benefit plan administrator violation 2008 EBSA $50,001
FRED ALGER & COMPANY, INCORPORATED Alger Associates benefit plan administrator violation 2007 EBSA $50,001
FIRST FINANCIAL BANCORP First Financial Bancorp. benefit plan administrator violation 2007 EBSA $50,001
FRED ALGER & COMPANY, INCORPORATED Alger Associates benefit plan administrator violation 2006 EBSA $10,001
HORACE MANN SERVICE CORPORATION Horace Mann Educators Corp. benefit plan administrator violation 2006 EBSA $10,001
LAVA TRADING INC. Citigroup benefit plan administrator violation 2006 EBSA $50,001
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLAN American International Group benefit plan administrator violation 2005 EBSA $50,001
Wachovia National Bank, N.A. Wells Fargo benefit plan administrator violation 2000 EBSA $30,000,000
Harris N.A. Bank of Montreal benefit plan administrator violation 2007 EBSA $274,600
Bank of Hawaii Bank of Hawaii benefit plan administrator violation 2009 EBSA $2,500,000
First Hawaiian Bank BNP Paribas benefit plan administrator violation 2009 EBSA $2,500,000
Independent Bank Independent Bank Corp. (Michigan) benefit plan administrator violation 2011 EBSA $95,700
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America benefit plan administrator violation 2011 EBSA $170,854
Morgan Keegan and Co. Inc. Raymond James Financial benefit plan administrator violation 2012 EBSA $633,715
ING Life Insurance and Annuity Co. Voya Financial benefit plan administrator violation 2013 EBSA $5,200,000
Western Asset Management Company Franklin Resources benefit plan administrator violation 2014 EBSA $21,000,000
Bank of New York Mellon Bank of New York Mellon benefit plan administrator violation 2015 EBSA $84,000,000
Invesco Trust Company Invesco benefit plan administrator violation 2016 EBSA $10,270,000
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2018 EBSA $10,001
FleetBoston Financial Corp Bank of America benefit plan administrator violation 2008 private lawsuit-federal $83,401,000
J.P. Morgan Chase Retirement Plan JPMorgan Chase benefit plan administrator violation 2010 private lawsuit-federal $604,957
SunTrust Banks, Inc. Truist Financial benefit plan administrator violation 2018 private lawsuit-federal $4,750,000
Washington Mutual Inc. JPMorgan Chase benefit plan administrator violation 2010 private lawsuit-federal $49,000,000
Washington Mutual Pension Plan JPMorgan Chase benefit plan administrator violation 2010 private lawsuit-federal $20,000,000
Marsh & McLennan Companies, Inc. Marsh & McLennan benefit plan administrator violation 2010 private lawsuit-federal $35,000,000
Bank of America Corp Bank of America benefit plan administrator violation 2011 private lawsuit-federal $21,000,000
U.S. Bank Pension Plan U.S. Bancorp benefit plan administrator violation 2012 private lawsuit-federal $9,600,000
First Horizon National Corporation First Horizon National benefit plan administrator violation 2012 private lawsuit-federal $6,000,000
Regions Financial Corp. Regions Financial benefit plan administrator violation 2014 private lawsuit-federal $22,500,000
United Community Banks, Inc. United Community Banks Inc. benefit plan administrator violation 2013 private lawsuit-federal $3,500,000
Flagstar Bancorp, Inc. Flagstar Bancorp benefit plan administrator violation 2013 private lawsuit-federal $3,000,000
ING Life Insurance & Annuity Co. Voya Financial benefit plan administrator violation 2014 private lawsuit-federal $14,950,000
Nationwide Life Insurance Nationwide benefit plan administrator violation 2015 private lawsuit-federal $140,000,000
State Street Corporation State Street Corp. benefit plan administrator violation 2014 private lawsuit-federal $10,000,000
Prudential Insurance Prudential Financial benefit plan administrator violation 2014 private lawsuit-federal $39,100,000
TIAA-CREF TIAA benefit plan administrator violation 2014 private lawsuit-federal $22,800,000
American International Group, Inc. American International Group benefit plan administrator violation 2015 private lawsuit-federal $40,000,000
Northern Trust Investments, N.A. Northern Trust benefit plan administrator violation 2015 private lawsuit-federal $36,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America benefit plan administrator violation 2017 private lawsuit-federal $25,000,000
Liberty Mutual Retirement Benefit Plan Liberty Mutual Insurance benefit plan administrator violation 2018 private lawsuit-federal $30,000,000
Deutsche Bank Americas Holding Corp. Deutsche Bank benefit plan administrator violation 2019 private lawsuit-federal $21,900,000
Merrill Lynch Bank of America benefit plan administrator violation 2012 private lawsuit-federal $10,000,000
JPMorgan Chase Bank, N.A. JPMorgan Chase benefit plan administrator violation 2012 private lawsuit-federal $150,000,000
Bear Stearns Companies, Inc. JPMorgan Chase benefit plan administrator violation 2012 private lawsuit-federal $10,000,000
Fannie Mae Fannie Mae benefit plan administrator violation 2010 private lawsuit-federal $7,250,000
Merrill Lynch & Co., Inc. Bank of America benefit plan administrator violation 2009 private lawsuit-federal $75,000,000
Countrywide Financial Corporation Bank of America benefit plan administrator violation 2009 private lawsuit-federal $55,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)