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.
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Company Parent Primary Offense Type Yearsort icon Agency Penalty Amount
Dain Rauscher Incorporated Royal Bank of Canada investor protection violation 2000 SEC $12,941,191
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2000 SEC $5,200,000
Lehman Brothers Inc. Lehman Brothers investor protection violation 2000 SEC $4,950,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2000 SEC $5,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2000 SEC $2,500,000
PaineWebber Incorporated UBS investor protection violation 2000 SEC $26,200,000
Prudential Securities Incorporated Wells Fargo investor protection violation 2000 SEC $5,880,000
Salomon Smith Barney Inc. Morgan Stanley investor protection violation 2000 SEC $45,000,000
Warburg Dillon Read LLC UBS investor protection violation 2000 SEC $6,680,000
Josephthal & Co. Oppenheimer Holdings employment discrimination 2000 EEOC $330,000
Mortgage One Corporation HSBC wage and hour violation 2000 WHD $18,912
First Union Bank Wells Fargo labor relations violation 2000 NLRB $9,116
Fifth Third Bank Fifth Third Bancorp employment discrimination 2000 OFCCP $440,000
Wachovia National Bank, N.A. Wells Fargo benefit plan administrator violation 2000 EBSA $30,000,000
Liberty Mutual Insurance Liberty Mutual Insurance employment discrimination 2000 private lawsuit-state $348,111
LOUIS DREYFUS CITRUS, INC. Louis Dreyfus environmental violation 2000 EPA $14,150
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2000 EPA $10,000
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2000 EPA $11,600
LOUIS DREYFUS BEAUMONT GRAIN ELEVATOR Louis Dreyfus environmental violation 2000 EPA $7,500
First Union Securities, Inc. Wells Fargo investor protection violation 2000 SEC $408,931
Dean Witter Reynolds Inc. Morgan Stanley investor protection violation 2000 SEC $476,702
Fahnestock & Co., Inc. Oppenheimer Holdings investor protection violation 2000 SEC $20,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2000 SEC $100,000
Dreyfus Corporation Bank of New York Mellon investor protection violation 2000 SEC $950,000
American Express Publishing Corporation American Express consumer protection violation 2000 MULTI-AG $200,000
Dreyfus Corporation Bank of New York Mellon investor protection violation 2000 NY-AG $2,000,000
Metropolitan Life Insurance Co. MetLife consumer protection violation 2000 MA-AG $1,200,000
Metropolitan Property and Casualty Insurance Co. MetLife consumer protection violation 2000 MA-AG $1,840,000
MONY Life Insurance Co. AXA consumer protection violation 2000 CT-AG $250,000
Providian Financial Corp. JPMorgan Chase consumer protection violation 2000 CA-AG $305,500,000
Providian Financial Corp. JPMorgan Chase consumer protection violation 2000 CT-AG $1,600,000
State Farm State Farm Insurance consumer protection violation 2000 TX-AG $3,100,000
Union Security Life Insurance Co Assurant consumer protection violation 2000 MA-AG $1,000,000
US Bank U.S. Bancorp privacy violation 2000 MULTI-AG $2,000,000
American Express Financial Advisors Ameriprise Financial investor protection violation 2000 AZ-SEC $125,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2000 CO-INS $25,000
Commonwealth Land Title Insurance Co. Fidelity National Financial insurance violation 2000 CO-INS $20,750
Group Hospitalization and Medical Services, Inc. CareFirst of Maryland insurance violation 2000 DC-DISB $10,000
American Heritage Life Insurance Co. Allstate insurance violation 2000 FL-OFR $12,750
Protective Life Insurance Co. Dai-ichi Life insurance violation 2000 FL-OFR $8,750
Conseco Senior Health Insurance Co. CNO Financial insurance violation 2000 FL-OFR $5,500
Allianz Life Insurance Company of North America Allianz insurance violation 2000 FL-OFR $14,000
Conseco Life Insurance Co. CNO Financial insurance violation 2000 FL-OFR $5,625
American General Life and Accident Insurance Co. American International Group insurance violation 2000 KS-INS $23,400
New Hampshire Insurance Co. American International Group insurance violation 2000 KS-INS $10,375
National Union Fire Insurance Company of Pittsburgh, Pennsylvania American International Group insurance violation 2000 KS-INS $10,375
Scottsdale Insurance Company Nationwide insurance violation 2000 MA-INS $26,208
National Casualty Company Nationwide insurance violation 2000 MA-INS $6,500
Philadelphia Indemnity Insurance Company Tokio Marine insurance violation 2000 MA-INS $7,040
United of Omaha Life Insurance Co. Mutual of Omaha insurance violation 2000 ME-INS $6,000
Indiana Insurance Co. Liberty Mutual Insurance insurance violation 2000 MN-FIN $25,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2000 MN-FIN $15,000
Provident Life and Accident Insurance Co. Unum insurance violation 2000 NC-INS $80,000
Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2000 NY-DFS $250,000
Nationwide Mutual Insurance Company Nationwide insurance violation 2000 OR-FIN $10,000
Merrill Lynch Life Insurance Company Bank of America insurance violation 2000 SC-INS $5,000
Standard Fire Insurance Company Travelers insurance violation 2000 SC-INS $10,000
Mid-Century Insurance Co. of Texas Zurich Insurance insurance violation 2000 TX-INS $11,000,000
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2000 TX-SEC $9,000
Principal Life Insurance Co. Principal Financial insurance violation 2000 WA-INS $100,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2000 WA-INS $350,000
AIG Warranty Guard, Inc. American International Group insurance violation 2000 WI-INS $100,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2000 WI-INS $15,000
American General American International Group insurance violation 2000 MULTI-FIN $7,500,000
WHEELABRATOR SHASTA ENERGY CO. Macquarie workplace safety or health violation 2000 OSHA $10,275
DEPOSITORY TRUST & CLEARING CORP. Depository Trust workplace safety or health violation 2000 OSHA $13,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2000 MSHA $5,200
American General Life Insurance American International Group discriminatory practices (non-employment) 2000 private lawsuit-federal $214,000,000
Republic New York Securities Corporation HSBC investor protection violation 2001 CFTC $5,000,000
U.S. Trust Corporation Bank of America banking violation 2001 FED $5,000,000
Salomon Smith Barney Morgan Stanley employment discrimination 2001 EEOC $635,000
CNG FINANCIAL CORPORATION CNG Financial labor relations violation 2001 NLRB $6,000
Republic New York Securities HSBC fraud 2001 USAO $569,000,000
Bank of America Bank of America wage and hour violation 2001 private lawsuit-state $22,000,000
Farmers Insurance Exchange Farmers Insurance Exchange wage and hour violation 2001 private lawsuit-state $90,009,208
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2001 EPA $11,200
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2001 EPA $10,400
CORPUS CHRISTI ALUMINA Glencore environmental violation 2001 EPA $206,060
CORPUS CHRISTI ALUMINA Glencore environmental violation 2001 EPA $206,060
CANYON FUEL CO., LLC - SKYLINE (Permit UT0023540) Cwa Penalty Ao Trafigura environmental violation 2001 EPA $5,501
Western Asset Management Co. Franklin Resources investor protection violation 2001 SEC $50,000
Legg Mason Fund Adviser, Inc. Franklin Resources investor protection violation 2001 SEC $50,000
ABN AMRO Incorporated ABN AMRO investor protection violation 2001 SEC $200,000
Legg Mason Wood Walker, Incorporated Franklin Resources investor protection violation 2001 SEC $50,000
Prudential Securities Incorporated Wells Fargo investor protection violation 2001 SEC $800,000
Bank of America Bank of America False Claims Act and related 2001 AK-AG $35,600,000
Farmers Insurance Group Zurich Insurance discriminatory practices (non-employment) 2001 OH-AG $4,300,000
FleetBoston Financial Corporation Bank of America privacy violation 2001 NY-AG $100,000
H&R Block Financial Advisors H&R Block privacy violation 2001 MO-AG $15,000
Progressive Insurance Company of Ohio Progressive consumer protection violation 2001 IA-AG $127,500
Janney Montgomery Scott, Inc. Penn Mutual investor protection violation 2001 DE-SEC $210,909
COMMERCE AND INDUSTRY INSURANCE COMPANY American International Group insurance violation 2001 FL-OFR $11,500
EMPLOYERS INSURANCE OF WAUSAU, A MUTUAL COMPANY Liberty Mutual Insurance insurance violation 2001 FL-OFR $23,075
GREAT AMERICAN ALLIANCE INSURANCE COMPANY American Financial Group insurance violation 2001 FL-OFR $5,500
GREAT AMERICAN ASSURANCE COMPANY American Financial Group insurance violation 2001 FL-OFR $12,500
STANDARD GUARANTY INSURANCE COMPANY Assurant insurance violation 2001 FL-OFR $6,000
T.H.E. INSURANCE COMPANY AXA insurance violation 2001 FL-OFR $15,000
WAUSAU BUSINESS INSURANCE COMPANY Liberty Mutual Insurance insurance violation 2001 FL-OFR $14,625
WAUSAU UNDERWRITERS INSURANCE COMPANY Liberty Mutual Insurance insurance violation 2001 FL-OFR $26,325
ZENITH INSURANCE COMPANY Fairfax Financial Holdings insurance violation 2001 FL-OFR $6,850
Conseco Senior Health Insurance Co. CNO Financial insurance violation 2001 FL-OFR $22,500
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