Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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
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
Deutsche Bank Deutsche Bank Foreign Corrupt Practices Act 2021 DOJ_CRIMINAL $87,091,424
Deutsche Bank AG Deutsche Bank Foreign Corrupt Practices Act 2021 SEC $43,000,000
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 NatWest Group PLC 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
Crawford Healthcare Management of Norfolk & Baltimore Crawford & Co. fraud 2003 DOJ_CRIMINAL $8,000,000
Banc of America Securities LLC Bank of America fraud 2007 SEC $26,000,000
State Street Corporation State Street Corp. fraud 2017 DOJ_CRIMINAL $32,300,000
Allied Home Mortgage Americus Mortgage fraud 2017 USAO $296,298,325
AmSouth Bancorporation Regions Financial fraud 2004 USAO $40,000,000
Credit Lyonnais Credit Agricole fraud 2003 USAO $100,000,000
Republic New York Securities HSBC fraud 2001 USAO $569,000,000
HSBC Holdings plc HSBC fraud 2018 DOJ_CRIMINAL $100,000,000
BMO Harris Bank, N.A. Bank of Montreal fraud 2018 USAO $10,000,000
Bank of America Bank of America fraud 2016 DC-AG $13,000,000
Bank of America Bank of America fraud 2010 DC-AG $13,502,852
Wells Fargo & Company Wells Fargo fraud 2020 DOJ_CIVIL $3,000,000,000
Vitol Inc. Vitol fraud 2020 CFTC (*) $95,700,000
JPMorgan Chase & Co. JPMorgan Chase fraud 2020 DOJ_CRIMINAL (*) $920,000,000
State Street Corporation State Street Corp. fraud 2021 USAO $115,000,000
US Bank U.S. Bancorp housing code violation 2016 CA-LACA $13,500,000
Citifinancial Citigroup housing program violation 2010 MULTI-FIN $1,250,000
Citibank Citigroup illegal gambling business 2002 NY-AG $100,000
Goldman Sachs & Co. Goldman Sachs illicit political contributions 2012 SEC $12,000,000
State Street Bank and Trust Company State Street Corp. illicit political contributions 2016 SEC $12,000,000
SAC Capital SAC Capital insider trading 2013 USAO $1,800,000,000
Barclays Bank PLC Barclays insider trading 2007 SEC $10,943,561
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. insider trading 2006 SEC $3,755,839
Aflac Inc. Aflac insurance violation 2017 MULTI-AG $350,000
Allianz Life Insurance Company of North America Allianz insurance violation 2015 MULTI-AG $4,700,000
Allianz Life Insurance Company of North America Allianz insurance violation 2012 MULTI-AG $10,000,000
Ameriprise Group Ameriprise Financial insurance violation 2017 MULTI-AG $1,500,000
Aviva Life & Annuity Company Athene Holding insurance violation 2013 MULTI-AG $4,000,000
AXA Equitable Life Insurance Company Equitable Holdings insurance violation 2012 NY-AG $850,000
Axa S.A. AXA insurance violation 2015 MULTI-AG $3,280,000
Genworth Life Insurance Co. Genworth Financial insurance violation 2014 MULTI-AG $1,900,000
Great American Insurance Co. American Financial Group insurance violation 2009 MA-AG $176,000
Great American Life Massachusetts Mutual Life Insurance insurance violation 2016 MULTI-AG $400,000
Great American Life Insurance Company Massachusetts Mutual Life Insurance insurance violation 2009 MN-AG $50,000,000
Guardian Life Guardian Life Insurance insurance violation 2015 MULTI-AG $2,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)