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 Typesort icon Year Agency Penalty Amount
HSBC Holdings plc HSBC economic sanction violation 2012 NY-MANDA (*) $187,500,000
Standard Chartered Bank Standard Chartered economic sanction violation 2012 NY-MANDA (*) $113,500,000
ING Bank, NV ING economic sanction violation 2012 NY-MANDA (*) $309,500,000
Barclays plc Barclays economic sanction violation 2010 NY-MANDA (*) $149,000,000
Credit Suisse AG Credit Suisse economic sanction violation 2009 NY-MANDA $268,000,000
Lloyds TSB Bank plc Lloyds Banking Group economic sanction violation 2009 NY-MANDA $175,000,000
Allianz Global Risks U.S. Insurance Compan Allianz economic sanction violation 2019 OFAC $170,535
ACE Limited Chubb Limited economic sanction violation 2019 OFAC $66,212
ABN AMRO ABN AMRO economic sanction violation 2005 NY-DFS $20,000,000
Royal Bank of Scotland Royal Bank of Scotland economic sanction violation 2013 NY-DFS $50,000,000
BNP Paribas BNP Paribas economic sanction violation 2014 NY-DFS $2,240,000,000
Commerzbank Commerzbank economic sanction violation 2015 NY-DFS $610,000,000
Credit Agricole Credit Agricole economic sanction violation 2015 NY-DFS $385,000,000
Deutsche Bank Deutsche Bank economic sanction violation 2015 NY-DFS $200,000,000
Societe Generale SA Societe Generale economic sanction violation 2018 NY-DFS $420,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2019 NY-DFS $180,000,000
UniCredit Group UniCredit economic sanction violation 2019 NY-DFS $405,000,000
Deutsche Bank Trust Company Americas Deutsche Bank economic sanction violation 2020 OFAC $583,100
Ameriprise Financial, Inc. Ameriprise Financial employment discrimination 2016 OFCCP $128,200
Bank of America Corp Bank of America employment discrimination 2013 OFCCP $2,181,593
Vanguard Group Vanguard Group employment discrimination 2010 EEOC $300,000
Branch Banking and Trust (BB&T) Truist Financial employment discrimination 2010 EEOC $24,000
Mercury Air Centers Inc. Macquarie employment discrimination 2010 EEOC $600,000
Bank of the West BNP Paribas employment discrimination 2011 EEOC $48,000
United Insurance Company of America Kemper employment discrimination 2012 EEOC $37,500
Vitol, Inc. Vitol employment discrimination 2012 EEOC $62,500
BMO Harris Bank Bank of Montreal employment discrimination 2013 EEOC $400,000
Regions Financial Corporation Regions Financial employment discrimination 2013 EEOC $95,000
JPMorgan Chase JPMorgan Chase employment discrimination 2014 EEOC $1,450,000
BOK Financial Corporation dba the Bank of Albuquerque BOK Financial employment discrimination 2014 EEOC $230,000
SunTrust Bank Truist Financial employment discrimination 2014 EEOC $300,000
Wells Fargo Bank, N.A. Wells Fargo employment discrimination 2014 EEOC $290,000
Wells Fargo & Company Wells Fargo employment discrimination 2014 EEOC $295,000
Bank of America Bank of America employment discrimination 2014 EEOC $110,000
Bank of America Bank of America employment discrimination 2016 EEOC $30,000
Farmers Insurance Exchange Farmers Insurance Exchange employment discrimination 2016 EEOC $225,000
Simmons First National Bank Simmons First National Corp. employment discrimination 2010 OFCCP $360,187
Wells Fargo Wells Fargo employment discrimination 2015 OFCCP $14,000
Standard Insurance Company Meiji Yasuda Life Insurance employment discrimination 2011 OFCCP $18,505
Allstate Insurance Company Allstate employment discrimination 2009 EEOC $4,500,000
Merrill Lynch Bank of America employment discrimination 2008 EEOC $1,550,000
Vanguard Group, Inc. Vanguard Group employment discrimination 2008 EEOC $500,000
JPMorgan Chase & Co. JPMorgan Chase employment discrimination 2006 EEOC $2,200,000
Morgan Stanley Morgan Stanley employment discrimination 2004 EEOC $54,000,000
Salomon Smith Barney Morgan Stanley employment discrimination 2001 EEOC $635,000
Josephthal & Co. Oppenheimer Holdings employment discrimination 2000 EEOC $330,000
Brown & Brown Brown & Brown employment discrimination 2017 EEOC $100,000
Bank of America Bank of America employment discrimination 2017 OFCCP $1,000,000
Fifth Third Bank Fifth Third Bancorp employment discrimination 2000 OFCCP $440,000
State Street Corporation State Street Corp. employment discrimination 2017 OFCCP $4,492,174
American Express Financial Advisors Ameriprise Financial employment discrimination 2002 private lawsuit-federal $31,000,000
Merrill Lynch Bank of America employment discrimination 2013 private lawsuit-federal $38,225,000
Merrill Lynch Bank of America employment discrimination 2013 private lawsuit-federal $160,000,000
Banc of America Investment Services Bank of America employment discrimination 2009 private lawsuit-federal $7,200,000
Combined Insurance Company of America Chubb Limited employment discrimination 2005 private lawsuit-federal $8,500,000
Cincinnati Insurance Company Cincinnati Financial employment discrimination 2006 private lawsuit-federal $537,500
Farmers Insurance Exchange Farmers Insurance Exchange employment discrimination 2016 private lawsuit-federal $6,140,000
JPMorgan Chase JPMorgan Chase employment discrimination 2018 private lawsuit-federal $24,000,000
Liberty Mutual Insurance Liberty Mutual Insurance employment discrimination 2009 private lawsuit-federal $2,163,401
MetLife Securities MetLife employment discrimination 2017 private lawsuit-federal $32,500,000
Metropolitan Life MetLife employment discrimination 2003 private lawsuit-federal $10,000,000
Smith Barney Morgan Stanley employment discrimination 2008 private lawsuit-federal $33,000,000
Morgan Stanley Morgan Stanley employment discrimination 2007 private lawsuit-federal $46,000,000
Morgan Stanley Morgan Stanley employment discrimination 2008 private lawsuit-federal $750,000
Morgan Stanley Morgan Stanley employment discrimination 2008 private lawsuit-federal $16,000,000
New York Life Insurance New York Life Insurance employment discrimination 2006 private lawsuit-federal $6,000,000
Norddeutsche Landesbank Girozentrale Norddeutsche Landesbank employment discrimination 2008 private lawsuit-federal $2,618,600
Wells Fargo Advisors Wells Fargo employment discrimination 2011 private lawsuit-federal $32,000,000
Wells Fargo Advisors Wells Fargo employment discrimination 2017 private lawsuit-federal $35,500,000
Willis Group Willis Towers Watson employment discrimination 2011 private lawsuit-federal $11,595,038
Willis Group Willis Towers Watson employment discrimination 2008 private lawsuit-federal $12,757,949
Liberty Mutual Insurance Liberty Mutual Insurance employment discrimination 2000 private lawsuit-state $348,111
Ocwen Financial Ocwen Financial employment discrimination 2005 private lawsuit-state $2,000,000
State Farm Mutual Insurance Company State Farm Insurance employment discrimination 2013 private lawsuit-state $657,403
Asurion, LLC Asurion employment discrimination 2019 EEOC $50,000
Wilmington Trust Corporation M&T Bank employment discrimination 2018 EEOC $700,000
Bank of New York Mellon Bank of New York Mellon employment discrimination 2010 NJ-AG $188,037
Goldman Sachs Goldman Sachs employment discrimination 2019 OFCCP $9,995,000
Wells Fargo Bank N.A. Wells Fargo employment discrimination 2019 OFCCP $283,697
Bank of America Bank of America employment discrimination 2019 OFCCP $4,200,000
Zenith Insurance Co. Fairfax Financial Holdings employment discrimination 2006 EEOC $180,000
Indiana Insurance Co. Liberty Mutual Insurance employment discrimination 2004 EEOC $178,065
Fifth Third Bank Fifth Third Bancorp employment discrimination 2004 EEOC $225,000
Wilmington Trust Co. M&T Bank employment discrimination 2004 EEOC $70,000
Wells Fargo Financial Texas, Inc. Wells Fargo employment discrimination 2003 EEOC $110,000
JPMorgan Chase Bank, N.A. JPMorgan Chase employment discrimination 2019 private lawsuit-federal $5,000,000
M&T Bank M&T Bank employment discrimination 2020 EEOC $100,000
Jackson National Life Insurance Company Prudential (UK) employment discrimination 2020 EEOC $20,500,000
American Security Insurance Company Assurant employment discrimination 2020 EEOC $49,000
Teachers Insurance and Annuity Association TIAA employment discrimination 2020 OFCCP $1,500,000
Wells Fargo Bank, N.A. Wells Fargo employment discrimination 2020 OFCCP $7,800,000
JPMorgan Chase & Co. JPMorgan Chase employment discrimination 2020 OFCCP $9,000,000
Wells Fargo & Co. Wells Fargo employment discrimination 2021 private lawsuit-federal $18,700,000
Umpqua Bank Umpqua Holdings employment screening violation 2019 private lawsuit-federal $325,000
Wells Fargo Bank Wells Fargo employment screening violation 2016 private lawsuit-federal $12,000,000
Deutsche Bank Energy Trading LL Deutsche Bank energy market manipulation 2013 FERC $1,670,000
JP Morgan Ventures Energy Corporation JPMorgan Chase energy market manipulation 2013 FERC $410,000,000
Barclays Bank PLC Barclays energy market manipulation 2017 FERC $105,000,000
Cleco Power, LLC Macquarie energy market violation 2007 FERC $2,000,000
Cleco Corporation Macquarie energy market violation 2003 FERC $2,850,000
Louis Dreyfus Energy Service Louis Dreyfus energy market violation 2014 FERC $7,406,257
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