Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$325,206,110,617
Number of Records: 
5,976
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$82,700,046,034213
JPMorgan Chase$34,530,243,993154
Citigroup$25,045,655,764120
Wells Fargo$21,199,943,231179
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,582,95017
Credit Suisse$10,409,957,62631


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
HomeStreet Bank HomeStreet Inc. banking violation 2019 FDIC $1,350,000
German American Bancorp German American Bancorp banking violation 2012 FDIC $15,000
Capmark Bank Capmark Bank banking violation 2012 FDIC $8,500
BANK OF THE WEST BNP Paribas banking violation 2011 FDIC $135,000
REPUBLIC BANK & TRUST COMPANY Republic Bancorp banking violation 2011 FDIC $900,000
CATHAY BANK Cathay General Bancorp banking violation 2011 FDIC $17,710
BANCORPSOUTH BANK BancorpSouth banking violation 2011 FDIC $46,500
GREAT SOUTHERN BANK Great Southern Bancorp banking violation 2011 FDIC $21,935
MAINSOURCE BANK First Financial Bancorp. banking violation 2010 FDIC $22,000
BANK OF THE WEST BNP Paribas banking violation 2010 FDIC $68,200
S&T BANK S&T Bancorp banking violation 2010 FDIC $32,640
BUSEY BANK First Busey Corp. banking violation 2010 FDIC $7,445
CompuCredit Corporation Atlanticus Holdings banking violation 2008 FDIC $806,000
CompuCredit Corporation Atlanticus Holdings banking violation 2008 FDIC $558,000
FIRST BANK First Bancorp (North Carolina) banking violation 2004 FDIC $12,000
Citibank, N.A. Citigroup banking violation 2019 OCC $30,000,000
Citibank, N.A. Citigroup banking violation 2020 OCC $17,998,510
East West Bank East West Bancorp banking violation 2020 FED $129,108
Regions Bank Regions Financial banking violation 2014 AL-SBD $5,000,000
Societe Generale Financial Corporation Societe Generale banking violation 2020 CA-DBO $10,250
Credit Agricole Credit Agricole banking violation 2004 NY-DFS $5,000,000
Deutsche Bank AG and Deutsche Bank Trust Co. America Deutsche Bank banking violation 2020 NY-DFS $150,000,000
Capital One Bank (USA), National Association Capital One Financial banking violation 2020 OCC $80,000,000
JPMorgan Chase Bank N.A. JPMorgan Chase bankruptcy professional violation 2015 DOJ_UTP $50,000,000
Citibank N.A. Citigroup bankruptcy professional violation 2018 DOJ_UTP $5,000,000
Wells Fargo Bank N.A. Wells Fargo bankruptcy professional violation 2015 DOJ_UTP $81,600,000
Capital One Bank (USA) N.A. Capital One Financial bankruptcy professional violation 2011 DOJ_UTP $2,350,000
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. E-Trade Financial benefit plan administrator violation 2008 EBSA $50,001
FRED ALGER & COMPANY, INCORPORATED Alger Associates 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
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
Wells Fargo Bank N.A. Wells Fargo benefit plan administrator violation 2014 private lawsuit-federal $62,500,000
Wells Fargo & Company Wells Fargo benefit plan administrator violation 2011 private lawsuit-federal $17,500,000
Wells Fargo & Company Wells Fargo benefit plan administrator violation 2015 private lawsuit-federal $7,420,000
Wachovia Corporation Wells Fargo benefit plan administrator violation 2011 private lawsuit-federal $12,350,000
Wachovia Securities Wells Fargo benefit plan administrator violation 2009 private lawsuit-federal $1,005,000
Citigroup, Inc. Citigroup benefit plan administrator violation 2019 private lawsuit-federal $6,900,000
Citigroup Inc. Citigroup benefit plan administrator violation 2014 private lawsuit-federal $8,500,000
Metropolitan Life MetLife benefit plan administrator violation 2012 private lawsuit-federal $350,000
American International Group, Inc. American International Group benefit plan administrator violation 2008 private lawsuit-federal $24,200,000
New York Life Insurance New York Life Insurance benefit plan administrator violation 2008 private lawsuit-federal $14,000,000
New York Life Insurance Company New York Life Insurance benefit plan administrator violation 2017 private lawsuit-federal $3,000,000
Teachers Insurance and Annuity Insurance Association of America TIAA benefit plan administrator violation 2017 private lawsuit-federal $5,000,000
Massachusetts Mutual Life Insurance Co. Massachusetts Mutual Life Insurance benefit plan administrator violation 2016 private lawsuit-federal $30,900,000
Massachusetts Mutual Life Insurance Co. Massachusetts Mutual Life Insurance benefit plan administrator violation 2015 private lawsuit-federal $9,475,000
St Paul Travelers Companies Inc. Travelers benefit plan administrator violation 2007 private lawsuit-federal $4,450,000
Hartford Financial Services Group Inc. Hartford Financial Services benefit plan administrator violation 2012 private lawsuit-federal $1,935,000
Hartford Life Insurance Company Hartford Financial Services benefit plan administrator violation 2010 private lawsuit-federal $13,775,000
Bank of New York Mellon Corporation Bank of New York Mellon benefit plan administrator violation 2015 private lawsuit-federal $335,000,000
Bank of New York Mellon Corporation Bank of New York Mellon benefit plan administrator violation 2009 private lawsuit-federal $2,200,000
Principal Life Insurance Company Principal Financial benefit plan administrator violation 2015 private lawsuit-federal $3,000,000
Ameriprise Financial, Inc. Ameriprise Financial benefit plan administrator violation 2015 private lawsuit-federal $27,500,000
State Street Bank And Trust Co. State Street Corp. benefit plan administrator violation 2010 private lawsuit-federal $89,750,000
State Street Corporation State Street Corp. benefit plan administrator violation 2016 private lawsuit-federal $60,000,000
UNUM Life Insurance Company of America Unum benefit plan administrator violation 2010 private lawsuit-federal $5,000,000
Fifth Third Bancorp Fifth Third Bancorp benefit plan administrator violation 2016 private lawsuit-federal $6,000,000
Wilmington Trust Corp. M&T Bank benefit plan administrator violation 2014 private lawsuit-federal $3,000,000
Northern Trust Northern Trust benefit plan administrator violation 2006 private lawsuit-federal $37,500,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)