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
Prospect Mortgage, LLC Homebridge Financial Services consumer protection violation 2012 NH-BKG $101,185
Seterus, Inc. Mr. Cooper Group consumer protection violation 2014 NH-BKG $10,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2015 NH-BKG $75,000
Prosper Funding LLC and Prosper Marketplace, Inc. Prosper Marketplace consumer protection violation 2016 NH-BKG $39,000
CashCall, Inc. CashCall Inc. consumer protection violation 2019 NH-BKG $188,880
CashCall Inc. and WS Funding LLC CashCall Inc. consumer protection violation 2019 NH-BKG $188,800
PHH Mortgage Corporation Ocwen Financial consumer protection violation 2011 NJ-DBI $9,000
Western Sky Financial, LLC et al. CashCall Inc. consumer protection violation 2013 NV-BKG $50,000
Ocwen Loan Servicing LLC Ocwen Financial consumer protection violation 2009 OH-BKG $10,000
Ace Cash Express ACE Cash Express consumer protection violation 2009 OH-BKG $7,050
Quicken Loans Inc. Quicken Loans consumer protection violation 2011 OH-BKG $35,000
Allied Home Mortgage Capital Corporation Americus Mortgage consumer protection violation 2009 NY-DFS $10,000
Wells Fargo Bank Wells Fargo consumer protection violation 2015 NY-DFS $4,000,000
New Day Financial LLC dba New Day USA New Day Financial LLC consumer protection violation 2015 NY-DFS $1,000,000
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2018 NY-DFS $17,000,000
CashCall, Inc. CashCall Inc. consumer protection violation 2017 OK-DCC $1,000,000
Great Plains Specialty Finance Inc. dba Check 'N Go CNG Financial consumer protection violation 2019 OK-DCC $48,600
Great Plains Specialty Finance Inc. dba Check 'N Go CNG Financial consumer protection violation 2020 OK-DCC $27,500
American Home Assurance Company American International Group consumer protection violation 2012 OR-FIN $20,000
Western Sky Financial, LLC CashCall Inc. consumer protection violation 2012 OR-FIN $17,500
Amerisave Mortgage Corporation AmeriSave Mortgage consumer protection violation 2009 PA-BKG $50,000
MLD Mortgage Inc. dba The Money Store MLD Mortgage Inc. dba The Money Store consumer protection violation 2009 PA-BKG $5,000
Allied Home Mortgage Capital Corporation Americus Mortgage consumer protection violation 2009 PA-BKG $8,000
MLD Mortgage Inc. dba The Money Store MLD Mortgage Inc. dba The Money Store consumer protection violation 2010 PA-BKG $5,000
GMAC Mortgage LLC dba Ditech Ally Financial consumer protection violation 2010 PA-BKG $43,000
Freedom Mortgage Corporation dba Jefferson Home Mortgage and Loan Freedom Mortgage consumer protection violation 2010 PA-BKG $10,000
Franklin American Mortgage Company Citizens Financial Group consumer protection violation 2010 PA-BKG $6,750
New Day Financial LLC New Day Financial LLC consumer protection violation 2011 PA-BKG $57,500
MLD Mortgage Inc. dba The Money Store MLD Mortgage Inc. dba The Money Store consumer protection violation 2011 PA-BKG $27,500
Allied Home Mortgage Corporation et al. Americus Mortgage consumer protection violation 2012 PA-BKG $10,000
CashCall Inc. et al. CashCall Inc. consumer protection violation 2014 PA-BKG $1,000,000
MLD Mortgage Inc. dba The Money Store MLD Mortgage Inc. dba The Money Store consumer protection violation 2016 PA-BKG $55,000
ACE Cash Express Inc. ACE Cash Express consumer protection violation 2017 PA-BKG $80,000
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2017 RI-FIN $9,200
CashCall Inc. CashCall Inc. consumer protection violation 2017 SC-FIN $9,650,000
Bannockburn Global Forex, LLC First Financial Bancorp. consumer protection violation 2016 TX-FIN $23,608
ALLIED CASH ADVANCE VIRGINIA CNG Financial consumer protection violation 2008 VA-FIN $38,000
ALLIED HOME MORTGAGE CAPITAL Americus Mortgage consumer protection violation 2008 VA-FIN $5,000
ALLIED HOME MORTGAGE CAPITAL Americus Mortgage consumer protection violation 2010 VA-FIN $25,000
ACE CASH EXPRESS, INC. ACE Cash Express consumer protection violation 2010 VA-FIN $150,000
FREEDOM MORTGAGE CORPORATION Freedom Mortgage consumer protection violation 2016 VA-FIN $17,000
ACE CASH EXPRESS, INC. ACE Cash Express consumer protection violation 2016 VA-FIN $45,000
Prosper Marketplace Inc. Prosper Marketplace consumer protection violation 2016 VT-FIN $60,000
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2016 WA-FIN $59,678
Ocwen Loan Servicing, LLC Ocwen Financial consumer protection violation 2016 WA-FIN $900,000
ACE Cash Express, Inc. ACE Cash Express consumer protection violation 2016 WA-FIN $76,421
Quicken Loans Inc. Quicken Loans consumer protection violation 2016 WA-FIN $250,000
MLD Mortgage, Inc. d/b/a The Money Store and Mortgage Loan Direct MLD Mortgage Inc. dba The Money Store consumer protection violation 2016 WA-FIN $407,103
Cash Call Inc. and Western Sky Financial LLC CashCall Inc. consumer protection violation 2015 WA-FIN $2,000,000
New Day Financial, LLC d/b/a NewDay USA New Day Financial LLC consumer protection violation 2015 WA-FIN $120,000
CashCall, Inc. CashCall Inc. consumer protection violation 2014 WA-FIN $6,390,670
Fifth Third Mortgage Co. Fifth Third Bancorp consumer protection violation 2014 WA-FIN $228,626
Countrywide Home Loans Inc. Bank of America consumer protection violation 2010 WA-FIN $650,000
American General Financial Services OneMain Holdings consumer protection violation 2009 WA-FIN $74,984
Freedom Mortgage Corp. Freedom Mortgage consumer protection violation 2009 WA-FIN $52,791
Allstate Financial Services, Inc. Allstate consumer protection violation 2003 WA-FIN $58,988
MLD Mortgage Inc. dba The Money Store MLD Mortgage Inc. dba The Money Store consumer protection violation 2018 MULTI-FIN $720,000
Mortgage Access Corp. dba Weichert Financial Services Weichert Financial Services consumer protection violation 2011 MULTI-FIN $3,000,000
TD Bank, N.A. Toronto-Dominion Bank consumer protection violation 2020 CFPB $122,000,000
Freedom Mortgage Corp. Freedom Mortgage consumer protection violation 2020 MA-BKG $25,000
Mutual of Omaha Mortgage, Inc. Mutual of Omaha consumer protection violation 2020 PA-BKG $7,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 VT-AG $105,000
Credit Suisse Securities (USA) LLC Credit Suisse data submission deficiencies 2015 SEC $4,250,000
JPMorgan Chase JPMorgan Chase data submission deficiencies 2016 CFTC $225,000
JPMorgan Chase Bank JPMorgan Chase data submission deficiencies 2015 CFTC $100,000,000
Deutsche Bank AG Deutsche Bank data submission deficiencies 2015 CFTC $2,500,000
JPMorgan Securities JPMorgan Chase data submission deficiencies 2014 CFTC $650,000
Mizuho Securities USA Inc. Mizuho Financial data submission deficiencies 2013 CFTC $175,000
Morgan Stanley Capital Group Morgan Stanley data submission deficiencies 2010 CFTC $14,000,000
UBS Securities UBS data submission deficiencies 2010 CFTC $200,000
Citigroup Global Markets Citigroup data submission deficiencies 2016 SEC $7,000,000
OZ Management LP Och-Ziff Capital Management data submission deficiencies 2015 SEC $4,250,000
Scottrade TD Ameritrade data submission deficiencies 2014 SEC $2,500,000
Citigroup Private Bank GP, Inc. Citigroup data submission deficiencies 2009 CFTC $100,000
J.P. Morgan Futures, Inc. JPMorgan Chase data submission deficiencies 2009 CFTC $300,000
UBS Fund Advisor, LLC UBS data submission deficiencies 2009 CFTC $50,000
BNP Paribas Commodity Futures, Ltd. BNP Paribas data submission deficiencies 2008 CFTC $25,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC Bank of America data submission deficiencies 2007 CFTC $500,000
A.G. Edwards & Sons, Inc. Wells Fargo data submission deficiencies 2003 CFTC $45,000
Prudential Securities, Inc. Wells Fargo data submission deficiencies 2002 CFTC $65,000
Williams Power Company Inc. JPMorgan Chase data submission deficiencies 2006 DOJ_CRIMINAL $50,000,000
Morgan Stanley & Co. Morgan Stanley data submission deficiencies 2006 SEC $10,000,000
Deutsche Bank Securities Inc. Deutsche Bank data submission deficiencies 2002 SEC $1,650,000
Goldman, Sachs & Co. Goldman Sachs data submission deficiencies 2002 SEC $1,650,000
Morgan Stanley & Co. Incorporated Morgan Stanley data submission deficiencies 2002 SEC $1,650,000
Salomon Smith Barney Inc. Morgan Stanley data submission deficiencies 2002 SEC $1,650,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray data submission deficiencies 2002 SEC $1,650,000
Barclays Bank PLC Barclays data submission deficiencies 2016 CFTC $500,000
Wells Fargo Bank, N.A. Wells Fargo data submission deficiencies 2016 CFTC $400,000
Societe Generale Societe Generale data submission deficiencies 2016 CFTC $450,000
Morgan Stanley Morgan Stanley data submission deficiencies 2017 CFTC $350,000
Citibank N.A. Citigroup data submission deficiencies 2017 CFTC $550,000
Convergex Execution Solutions LLC Cowen Inc. data submission deficiencies 2018 SEC $2,750,000
Compass Bank Banco Bilbao Vizcaya Argentaria discriminatory practices (non-employment) 2007 DOJ_RIGHTS $1,750,000
AIG Federal Savings Bank and Wilmington Finance Inc. American International Group discriminatory practices (non-employment) 2010 DOJ_RIGHTS $6,100,000
Union Savings Bank and Guardian Savings Bank Union Savings Bank discriminatory practices (non-employment) 2016 DOJ_RIGHTS $9,000,000
First Tennessee Bank First Horizon National discriminatory practices (non-employment) 2016 HUD $1,900,000
Associated Bank, N.A. Associated Banc-Corp discriminatory practices (non-employment) 2015 HUD $200,000,000
Wells Fargo Home Mortgage Wells Fargo discriminatory practices (non-employment) 2014 HUD $5,000,000
Midland States Bancorp Midland States Bancorp discriminatory practices (non-employment) 2014 HUD $15,950,000
U.S. Bank National Association U.S. Bancorp discriminatory practices (non-employment) 2014 HUD $11,489
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)