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.
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
Citibank NA Citigroup export control violation 2018 BIS $60,000
Nationwide Mutual Insurance Company Nationwide Fair Credit Reporting Act violation 2006 private lawsuit-federal $19,250,000
M&T Bank Corp. M&T Bank False Claims Act and related 2016 DOJ_CIVIL $64,000,000
Freedom Mortgage Corporation Freedom Mortgage False Claims Act and related 2016 DOJ_CIVIL $113,000,000
Wells Fargo Bank, National Association Wells Fargo False Claims Act and related 2016 DOJ_CIVIL $1,200,000,000
First Tennessee Bank N.A. First Horizon National False Claims Act and related 2015 DOJ_CIVIL $212,500,000
MetLife Home Loans LLC MetLife False Claims Act and related 2015 DOJ_CIVIL $123,500,000
U.S. Bank U.S. Bancorp False Claims Act and related 2014 DOJ_CIVIL $200,000,000
JPMorgan Chase JPMorgan Chase False Claims Act and related 2014 DOJ_CIVIL $614,000,000
PNC Bank N.A PNC Financial Services False Claims Act and related 2013 DOJ_CIVIL $7,100,000
Capmark Finance LLC Capmark Bank False Claims Act and related 2012 DOJ_CIVIL $3,900,000
Walter Investment Management Corp. Ditech Holding Corporation False Claims Act and related 2015 DOJ_CIVIL $29,630,000
Fireman's Fund Insurance Company Allianz False Claims Act and related 2015 DOJ_CIVIL $44,000,000
BNP Paribas BNP Paribas False Claims Act and related 2014 DOJ_CIVIL $80,000,000
SunTrust Mortgage Inc. Truist Financial False Claims Act and related 2014 DOJ_CIVIL $418,000,000
Louis Dreyfus Energy Services Louis Dreyfus False Claims Act and related 2012 DOJ_CIVIL $4,084,000
Nelnet Inc. Nelnet False Claims Act and related 2010 DOJ_CIVIL $47,000,000
National City Mortgage Inc. PNC Financial Services False Claims Act and related 2008 DOJ_CIVIL $4,600,000
Mellon Bank, N.A. Bank of New York Mellon False Claims Act and related 2007 DOJ_CIVIL $16,500,000
Crawford and Company Crawford & Co. False Claims Act and related 2006 DOJ_CIVIL $1,363,204
Highmark, Inc. Highmark Inc. False Claims Act and related 2004 DOJ_CIVIL $1,500,000
General American Life Insurance Company, Inc. MetLife False Claims Act and related 2002 DOJ_CIVIL $76,000,000
Regions Bank Regions Financial False Claims Act and related 2016 DOJ_CIVIL $52,400,000
Branch Banking & Trust Company (BB&T) Truist Financial False Claims Act and related 2016 DOJ_CIVIL $83,000,000
Financial Freedom CIT False Claims Act and related 2017 DOJ_CIVIL $89,000,000
PHH Corp. Ocwen Financial False Claims Act and related 2017 DOJ_CIVIL $74,453,802
HSBC Bank USA N.A. HSBC False Claims Act and related 2017 USAO $2,118,861
PNC Bank N.A. PNC Financial Services False Claims Act and related 2016 USAO $9,500,000
IBERIABANK First Horizon National False Claims Act and related 2017 DOJ_CIVIL $11,692,149
Philadelphia Indemnity Insurance Company Tokio Marine False Claims Act and related 2018 USAO $30,508
ACE American Insurance Company ET AL. Chubb Limited False Claims Act and related 2010 NY-AG $70,000,000
American International Group American International Group False Claims Act and related 2008 MA-AG $218,920
American International Group American International Group False Claims Act and related 2007 MA-AG $58,500,000
Bank of America Bank of America False Claims Act and related 2001 AK-AG $35,600,000
Insurance Company of the State of Pennsylvania American International Group False Claims Act and related 2016 NV-AG $300,000
United States Fidelity & Guaranty Travelers False Claims Act and related 2007 CT-AG $17,500,000
United States Fidelity and Guaranty Co. Travelers False Claims Act and related 2010 MA-AG $2,925,000
Unum Life Insurance Co. Unum False Claims Act and related 2005 MA-AG $650,000
Zurich American Insurance Company et al. Zurich Insurance False Claims Act and related 2010 NY-AG $37,500,000
Mellon Bank N.A. Bank of New York Mellon False Claims Act and related 2006 USAO $18,130,405
Wells Fargo Bank Wells Fargo False Claims Act and related 2008 USAO $4,046,786
Watson Wyatt & Company Willis Towers Watson False Claims Act and related 2005 USAO $689,828
Travelers Insurance Company Travelers False Claims Act and related 2004 USAO $10,900,000
Guaranteed Rate Inc. Guaranteed Rate Inc. False Claims Act and related 2020 DOJ_CIVIL $15,060,000
HSBC HSBC False Claims Act and related 2020 CA-AG $7,000,000
American Family Life Assurance Co., known as Aflac Aflac Family and Medical Leave Act 2012 WHD $16,882
Univest Corporation of Pennsylvania Univest Financial Family and Medical Leave Act 2016 WHD $5,076
Wells Fargo Bank, N. A. Wells Fargo Family and Medical Leave Act 2016 WHD $11,874
BMO Harris Bank N.A. Bank of Montreal Family and Medical Leave Act 2015 WHD $11,304
IAC Springfield, LLC Invesco Family and Medical Leave Act 2015 WHD $5,377
TitleMax of Missouri, Inc. TMX Finance Family and Medical Leave Act 2015 WHD $11,648
Huntington Bancshares Incorporated Huntington Bancshares Family and Medical Leave Act 2015 WHD $7,788
Asset Acceptance, LLC Encore Capital Group Family and Medical Leave Act 2014 WHD $7,450
TMX Finance LLC TMX Finance Family and Medical Leave Act 2012 WHD $36,596
State Farm Mutual Automobile Insurance Compan State Farm Insurance Family and Medical Leave Act 2010 WHD $27,787
Metropolitan Life Insurance Company MetLife Family and Medical Leave Act 2009 WHD $6,375
Bank of America Bank of America Family and Medical Leave Act 2008 WHD $6,500
J P Morgan Chase JPMorgan Chase Family and Medical Leave Act 2007 WHD $5,008
Wells Fargo Bank Wells Fargo Family and Medical Leave Act 2006 WHD $5,152
American Express Travel Related Services Comp American Express Family and Medical Leave Act 2004 WHD $26,722
Bank of America Bank of America Family and Medical Leave Act 2017 WHD $14,528
Franklin Templeton Distributors, Inc. Franklin Resources Family and Medical Leave Act 2016 WHD $23,252
Aon Corporation Aon Foreign Corrupt Practices Act 2011 DOJ_CRIMINAL $1,760,000
BNY Mellon Bank of New York Mellon Foreign Corrupt Practices Act 2015 SEC $14,800,000
Allianz SE Allianz Foreign Corrupt Practices Act 2012 SEC $12,396,423
Aon Corporation Aon Foreign Corrupt Practices Act 2011 SEC $14,545,020
Och-Ziff Capital Management Group LLC Sculptor Capital Management Foreign Corrupt Practices Act 2016 DOJ_CRIMINAL $213,000,000
Och-Ziff Capital Management Group Sculptor Capital Management Foreign Corrupt Practices Act 2016 SEC $199,045,167
JPMorgan Chase & Co. JPMorgan Chase Foreign Corrupt Practices Act 2016 SEC $130,000,000
Omega Advisors Omega Advisors Foreign Corrupt Practices Act 2007 USAO $500,000
Credit Suisse (Hong Kong) Limited Credit Suisse Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $47,029,916
Societe Generale S.A. Societe Generale Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $860,000
Legg Mason Inc. Franklin Resources Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $64,200,000
Legg Mason Inc. Franklin Resources Foreign Corrupt Practices Act 2018 SEC $34,500,000
Credit Suisse Group AG Credit Suisse Foreign Corrupt Practices Act 2018 SEC $29,700,000
Deutsche Bank AG Deutsche Bank Foreign Corrupt Practices Act 2019 SEC $16,178,850
Barclays PLC Barclays Foreign Corrupt Practices Act 2019 SEC $6,308,726
World Acceptance Corporation World Acceptance Corporation Foreign Corrupt Practices Act 2020 SEC $21,700,000
Vitol Inc. Vitol Foreign Corrupt Practices Act 2020 DOJ_CRIMINAL $135,000,000
Goldman Sachs Group Inc. Goldman Sachs Foreign Corrupt Practices Act 2020 DOJ_CRIMINAL $2,921,088,000
Goldman Sachs Group Inc. Goldman Sachs Foreign Corrupt Practices Act 2020 SEC (*) $1,006,000,000
BARCLAYS BANK PLC Barclays foreign exchange market manipulation 2015 FED $342,000,000
Citicorp Citigroup foreign exchange market manipulation 2015 DOJ_CRIMINAL $925,000,000
JPMorgan Chase & Co. JPMorgan Chase foreign exchange market manipulation 2015 DOJ_CRIMINAL $550,000,000
Barclays PLC Barclays foreign exchange market manipulation 2015 DOJ_CRIMINAL $710,000,000
Royal Bank of Scotland plc Royal Bank of Scotland foreign exchange market manipulation 2015 DOJ_CRIMINAL $395,000,000
Goldman Sachs Goldman Sachs foreign exchange market manipulation 2016 CFTC $120,000,000
BNP Paribas S.A. BNP Paribas foreign exchange market manipulation 2017 FED $246,000,000
BNP Paribas USA Inc. BNP Paribas foreign exchange market manipulation 2018 DOJ_ANTITRUST $90,000,000
Barclays PLC Barclays foreign exchange market manipulation 2018 DOJ_CRIMINAL $12,896,011
BGC Financial LP BGC Partners foreign exchange market manipulation 2019 NY-AG $7,500,000
GFI Securities LLC BGC Partners foreign exchange market manipulation 2019 NY-AG $5,000,000
Barclays Bank PLC Barclays foreign exchange market manipulation 2015 NY-DFS $485,000,000
Barclays Bank PLC Barclays foreign exchange market manipulation 2015 NY-DFS $150,000,000
BNP Paribas S.A. BNP Paribas foreign exchange market manipulation 2017 NY-DFS $350,000,000
Credit Suisse AG Credit Suisse foreign exchange market manipulation 2017 NY-DFS $135,000,000
Goldman Sachs Group Inc. Goldman Sachs foreign exchange market manipulation 2018 NY-DFS $54,750,000
Deutsche Bank AG Deutsche Bank foreign exchange market manipulation 2018 NY-DFS $205,000,000
Standard Chartered Bank Standard Chartered foreign exchange market manipulation 2019 NY-DFS $40,000,000
CommerceWest Bank CommerceWest Bank fraud 2015 DOJ_CRIMINAL $4,900,000
ConvergEx Group LLC Cowen Inc. fraud 2014 DOJ_CRIMINAL $43,800,000
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