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
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2015 NE-DBF $5,450
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2015 NE-DBF $20,500
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2015 NE-DBF $9,050
Great Plains Specialty Finance, Inc., d/b/a Check 'n go CNG Financial consumer protection violation 2016 NE-DBF $5,100
Great Plains Specialty Finance, Inc., d/b/a Check 'n go CNG Financial consumer protection violation 2017 NE-DBF $49,600
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2018 NE-DBF $9,000
Great Plains Specialty Finance, Inc. d/b/a Check 'n Go CNG Financial consumer protection violation 2019 NE-DBF $12,850
Great Plains Specialty Finance, Inc. d/b/a Check 'n Go CNG Financial consumer protection violation 2019 NE-DBF $13,500
Solium Financial Services LLC Morgan Stanley consumer protection violation 2019 NE-DBF $14,000
Great Plains Specialty Finance, Inc. dba Check 'n Go CNG Financial consumer protection violation 2020 NE-DBF $9,700
Moneygram International MoneyGram International consumer protection violation 2007 NH-BKG $10,000
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
Morgan Stanley Smith Barney FA Notes Holdings LLC Morgan Stanley consumer protection violation 2020 CA-DFPI $1,000,000
PHH Mortgage Corporation Ocwen Financial consumer protection violation 2020 CA-DFPI $62,000
Freedom Mortgage Corporation Freedom Mortgage consumer protection violation 2020 CA-DFPI $75,000
Nationstar Mortgage, LLC dba Mr. Cooper Mr. Cooper Group consumer protection violation 2020 CFPB $74,500,000
Washington Federal Bank, N.A. Washington Federal Inc. consumer protection violation 2020 CFPB $200,000
Encore Capital Group, Inc. Encore Capital Group consumer protection violation 2020 CFPB $15,079,308
Nationstar Mortgage dba Mr. Cooper Mr. Cooper Group consumer protection violation 2020 MULTI-AG (*) $86,300,000
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 Sculptor Capital Management data submission deficiencies 2015 SEC $4,250,000
Scottrade Charles Schwab Corp. 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
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)