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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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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CompanyCurrent ParentPrimary Offense Type sort iconYearAgencyPenalty Amount
State Farm Mutual Automobile Insurance CompanState Farm InsuranceFamily and Medical Leave Act2010WHD$27,787
Metropolitan Life Insurance CompanyMetLifeFamily and Medical Leave Act2009WHD$6,375
Bank of AmericaBank of AmericaFamily and Medical Leave Act2008WHD$6,500
J P Morgan ChaseJPMorgan ChaseFamily and Medical Leave Act2007WHD$5,008
Wells Fargo BankWells FargoFamily and Medical Leave Act2006WHD$5,152
The Cincinnati Insurance CompaniesCincinnati FinancialFamily and Medical Leave Act2005WHD$15,000
American Express Travel Related Services CompAmerican ExpressFamily and Medical Leave Act2004WHD$26,722
Bank of AmericaBank of AmericaFamily and Medical Leave Act2017WHD$14,528
Franklin Templeton Distributors, Inc.Franklin ResourcesFamily and Medical Leave Act2016WHD$23,252
Regions Financial CorporationRegions FinancialFamily and Medical Leave Act2021WHD$7,210
Aon CorporationAonForeign Corrupt Practices Act2011DOJ_CRIMINAL$1,760,000
BNY MellonBank of New York MellonForeign Corrupt Practices Act2015SEC$14,800,000
Allianz SEAllianzForeign Corrupt Practices Act2012SEC$12,396,423
Aon CorporationAonForeign Corrupt Practices Act2011SEC$14,545,020
Och-Ziff Capital Management Group LLCSculptor Capital ManagementForeign Corrupt Practices Act2016DOJ_CRIMINAL$213,000,000
JPMorgan SecuritiesJPMorgan ChaseForeign Corrupt Practices Act2016DOJ_CRIMINAL$72,000,000
Och-Ziff Capital Management GroupSculptor Capital ManagementForeign Corrupt Practices Act2016SEC$199,045,167
JPMorgan Chase & Co.JPMorgan ChaseForeign Corrupt Practices Act2016SEC$130,000,000
Omega AdvisorsOmega AdvisorsForeign Corrupt Practices Act2007USAO$500,000
Credit Suisse (Hong Kong) LimitedUBSForeign Corrupt Practices Act2018DOJ_CRIMINAL$47,029,916
Societe Generale S.A.Societe GeneraleForeign Corrupt Practices Act2018DOJ_CRIMINAL$860,000,000
Legg Mason Inc.Franklin ResourcesForeign Corrupt Practices Act2018DOJ_CRIMINAL$64,200,000
Legg Mason Inc.Franklin ResourcesForeign Corrupt Practices Act2018SEC$34,500,000
Credit Suisse Group AGUBSForeign Corrupt Practices Act2018SEC$29,700,000
Deutsche Bank AGDeutsche BankForeign Corrupt Practices Act2019SEC$16,178,850
Barclays PLCBarclaysForeign Corrupt Practices Act2019SEC$6,308,726
World Acceptance CorporationWorld Acceptance CorporationForeign Corrupt Practices Act2020SEC$21,700,000
Vitol Inc.VitolForeign Corrupt Practices Act2020DOJ_CRIMINAL$135,000,000
Goldman Sachs Group Inc.Goldman SachsForeign Corrupt Practices Act2020DOJ_CRIMINAL$2,921,088,000
Goldman Sachs Group Inc.Goldman SachsForeign Corrupt Practices Act2020SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,006,000,000
Deutsche BankDeutsche BankForeign Corrupt Practices Act2021DOJ_CRIMINAL$87,091,424
Deutsche Bank AGDeutsche BankForeign Corrupt Practices Act2021SEC$43,000,000
Credit Suisse Group AGUBSForeign Corrupt Practices Act2021SEC$99,000,000
Glencore International A.G. and Glencore Ltd.GlencoreForeign Corrupt Practices Act2022DOJ_CRIMINAL(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,185,000,000
Jardine Lloyd Thompson Group Holdings Ltd.Marsh & McLennanForeign Corrupt Practices Act2022DOJ_CRIMINAL$29,081,951
CommerceWest BankCommerceWest Bankfraud2015DOJ_CRIMINAL$4,900,000
ConvergEx Group LLCToronto-Dominion Bankfraud2014DOJ_CRIMINAL$43,800,000
Crawford Healthcare Management of Norfolk & BaltimoreCrawford & Co.fraud2003DOJ_CRIMINAL$8,000,000
Banc of America Securities LLCBank of Americafraud2007SEC$26,000,000
State Street CorporationState Street Corp.fraud2017DOJ_CRIMINAL$32,300,000
Allied Home MortgageAmericus Mortgagefraud2017USAO$296,298,325
AmSouth BancorporationRegions Financialfraud2004USAO$40,000,000
Credit LyonnaisCredit Agricolefraud2003USAO$100,000,000
Republic New York SecuritiesHSBCfraud2001USAO$569,000,000
HSBC Holdings plcHSBCfraud2018DOJ_CRIMINAL$100,000,000
BMO Harris Bank, N.A.Bank of Montrealfraud2018USAO$10,000,000
Bank of AmericaBank of Americafraud2016DC-AG$13,000,000
Bank of AmericaBank of Americafraud2010DC-AG$13,502,852
Wells Fargo & CompanyWells Fargofraud2020DOJ_CIVIL$3,000,000,000
Vitol Inc.Vitolfraud2020CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $95,700,000
JPMorgan Chase & Co.JPMorgan Chasefraud2020DOJ_CRIMINAL(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $920,000,000
State Street CorporationState Street Corp.fraud2021USAO$115,000,000
Credit Suisse Group AGUBSfraud2021DOJ_CRIMINAL$175,500,000
NatWest Markets PlcNatWest Group PLCfraud2021DOJ_CRIMINAL$35,000,000
Nomura Securities InternationalNomurafraud2023USAO$35,000,000
CitibankCitigroupgambling violation2002NY-AG$100,000
US BankU.S. Bancorphousing code violation2016CA-LACA$13,500,000
CitifinancialCitigrouphousing program violation2010MULTI-FIN$1,250,000
Goldman Sachs & Co.Goldman Sachsillicit political contributions2012SEC$12,000,000
State Street Bank and Trust CompanyState Street Corp.illicit political contributions2016SEC$12,000,000
Barclays Bank PLCBarclaysinsider trading2007SEC$10,943,561
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.insider trading2006SEC$3,755,839
Aflac Inc.Aflacinsurance violation2017MULTI-AG$350,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2015MULTI-AG$4,700,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2012MULTI-AG$10,000,000
Ameriprise GroupAmeriprise Financialinsurance violation2017MULTI-AG$1,500,000
AXA Equitable Life Insurance CompanyEquitable Holdingsinsurance violation2012NY-AG$850,000
Axa S.A.AXAinsurance violation2015MULTI-AG$3,280,000
Genworth Life Insurance Co.Genworth Financialinsurance violation2014MULTI-AG$1,900,000
Great American Insurance Co.American Financial Groupinsurance violation2009MA-AG$176,000
Great American LifeMassachusetts Mutual Life Insuranceinsurance violation2016MULTI-AG$400,000
Great American Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2009MN-AG$50,000,000
Guardian LifeGuardian Life Insuranceinsurance violation2015MULTI-AG$2,000,000
Hartford Fire and Casualty GroupHartford Financial Servicesinsurance violation2016MULTI-AG$2,100,000
ING Life Insurance and Annuity CompanyVoya Financialinsurance violation2013MULTI-AG$10,700,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2015MULTI-AG$2,500,000
John Hancock Life Insurance Co.Manulife Financialinsurance violation2011MULTI-AG$3,000,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2013MULTI-AG$12,600,000
MetLifeMetLifeinsurance violation2012MULTI-AG$40,000,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2012MULTI-AG$7,200,000
New York Life Insurance CompanyNew York Life Insuranceinsurance violation2013MULTI-AG$15,000,000
Pacific LifePacific Lifeinsurance violation2015MULTI-AG$2,450,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2012MULTI-AG$17,000,000
Standard Insurance CompanyMeiji Yasuda Life Insuranceinsurance violation2016MULTI-AG$277,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2017MULTI-AG$250,000
Sun Life Insurance CompanySun Life Financialinsurance violation2014MULTI-AG$3,200,000
The Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2007MA-AG$20,000
Transamerica Life Insurance Co.Aegoninsurance violation2013MA-AG$1,330,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2018MA-AG$19,647
Transamerica Insurance Co.Aegoninsurance violation2013MULTI-AG$11,200,000
Allstate Insurance Co.Allstateinsurance violation2016CA-MULTI$600,000
Metropolitan Life Insurance Company, Inc.MetLifeinsurance violation2014NY-MANDA$10,000,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020MA-AG$363,000
Principal Life Insurance Co.Principal Financialinsurance violation2002AK-INS$16,095
Aon Risk Services Inc. of WashingtonAoninsurance violation2002AK-INS$5,000
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2006AK-INS$6,530
Liberty Mutual GroupLiberty Mutual Insuranceinsurance violation2007AK-INS$32,500
Principal Life Insurance Co.Principal Financialinsurance violation2008AK-INS$25,000
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2009AK-INS$39,378
Brown & Brown of Washington, Inc.Brown & Browninsurance violation2012AK-INS$30,000
Marsh USA Inc.Marsh & McLennaninsurance violation2015AK-INS$25,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.