Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$331,558,339,161
Number of Records: 
6,166
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$82,764,013,078219
JPMorgan Chase$35,819,302,225162
Citigroup$25,454,366,764125
Wells Fargo$21,358,750,745184
Deutsche Bank$18,286,625,30261
UBS$16,792,860,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,473,904,00028
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 Type Year Agencysort icon Penalty Amount
MF Global Inc. MF Global investor protection violation 2009 CFTC $10,000,000
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
MF Global Inc. MF Global investor protection violation 2007 CFTC $2,000,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC Bank of America data submission deficiencies 2007 CFTC $500,000
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2007 CFTC $175,000
Credit Lyonnais Rouse Limited Credit Agricole investor protection violation 2005 CFTC $85,000
Credit Lyonnais Rouse Limited Credit Agricole investor protection violation 2004 CFTC $25,000
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
Republic New York Securities Corporation HSBC investor protection violation 2001 CFTC $5,000,000
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
SG Americas Securities, LLC Societe Generale investor protection violation 2016 CFTC $750,000
Societe Generale Societe Generale data submission deficiencies 2016 CFTC $450,000
Goldman Sachs Goldman Sachs foreign exchange market manipulation 2016 CFTC $120,000,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2017 CFTC $900,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2017 CFTC $25,000,000
E*TRADE Securities LLC Morgan Stanley investor protection violation 2017 CFTC $280,000
Royal Bank of Scotland plc Royal Bank of Scotland interest rate benchmark manipulation 2017 CFTC $85,000,000
INTL FCStone Financial Inc. INTL FCStone investor protection violation 2017 CFTC $280,000
Morgan Stanley Morgan Stanley data submission deficiencies 2017 CFTC $350,000
Morgan Stanley Morgan Stanley investor protection violation 2017 CFTC $500,000
Citibank N.A. Citigroup data submission deficiencies 2017 CFTC $550,000
Merrill Lynch Bank of America investor protection violation 2017 CFTC $2,500,000
Deutsche Bank Securities Inc. Deutsche Bank interest rate benchmark manipulation 2018 CFTC $70,000,000
HSBC Securities (USA) Inc. HSBC investor protection violation 2018 CFTC $1,600,000
UBS AG UBS investor protection violation 2018 CFTC $15,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2018 CFTC $30,000,000
BNP Paribas Securities Corp. BNP Paribas interest rate benchmark manipulation 2018 CFTC $90,000,000
Lansing Trade Group, LLC Lansing Trade Group investor protection violation 2018 CFTC $3,400,000
JPMorgan Chase Bank, N.A. JPMorgan Chase interest rate benchmark manipulation 2018 CFTC $65,000,000
Societe Generale S.A. Societe Generale interest rate benchmark manipulation 2018 CFTC $475,000,000
Commerzbank AG Commerzbank investor protection violation 2018 CFTC $12,000,000
Bank of Nova Scotia Scotiabank investor protection violation 2018 CFTC $800,000
Mizuho Bank, Ltd. Mizuho Financial investor protection violation 2018 CFTC $250,000
Bank of America, N.A. Bank of America interest rate benchmark manipulation 2018 CFTC $30,000,000
ICAP Capital Markets LLC ICAP interest rate benchmark manipulation 2018 CFTC $50,000,000
NatWest Markets Plc Royal Bank of Scotland investor protection violation 2018 CFTC $750,000
ABN AMRO Clearing Chicago LLC ABN AMRO investor protection violation 2018 CFTC $160,000
Merrill Lynch Commodities, Inc. Bank of America investor protection violation 2019 CFTC (*) $24,900,000
BGC Financial, L.P. BGC Partners investor protection violation 2019 CFTC $3,000,000
Wells Fargo Bank, N.A. Wells Fargo investor protection violation 2019 CFTC $14,475,000
BGC Financial, LP BGC Partners investor protection violation 2019 CFTC $15,000,000
GFI Securities, LLC BGC Partners investor protection violation 2019 CFTC $10,000,000
Morgan Stanley Capital Group Inc. Morgan Stanley investor protection violation 2019 CFTC $1,500,000
PNC Bank, National Association PNC Financial Services investor protection violation 2019 CFTC $300,000
Bank of New York Mellon Bank of New York Mellon investor protection violation 2019 CFTC $750,000
NatWest Markets Plc Royal Bank of Scotland investor protection violation 2019 CFTC $850,000
Northern Trust Company Northern Trust investor protection violation 2019 CFTC $1,000,000
Societe Generale International Limited Societe Generale investor protection violation 2019 CFTC $2,500,000
HSBC Bank USA, N.A. HSBC investor protection violation 2019 CFTC $650,000
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2019 CFTC $5,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2019 CFTC $300,000
Goldman Sachs & Co. LLC Goldman Sachs investor protection violation 2019 CFTC $1,000,000
The Bank of Nova Scotia Scotiabank investor protection violation 2020 CFTC $50,000,000
The Bank of Nova Scotia Scotiabank investor protection violation 2020 CFTC $77,400,000
Interactive Brokers LLC Interactive Brokers Group anti-money-laundering deficiencies 2020 CFTC $12,206,214
Deutsche Bank AG Deutsche Bank investor protection violation 2020 CFTC $9,000,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2020 CFTC $1,250,000
Vitol Inc. Vitol fraud 2020 CFTC (*) $95,700,000
Morgan Stanley Capital Services LLC Morgan Stanley investor protection violation 2020 CFTC $5,000,000
JPMorgan Chase & Company JPMorgan Chase investor protection violation 2020 CFTC $920,200,000
Citibank N.A. Citigroup investor protection violation 2020 CFTC $4,500,000
Torchmark Corporation Globe Life Inc. Medicare Parts C and D Enforcement Action 2014 CMS $40,000
Torchmark Corporation Globe Life Inc. Medicare Parts C and D Enforcement Action 2013 CMS $150,000
Blue Shield of California Promise Health Plan California Physicians' Service Medicare Parts C and D Enforcement Action 2020 CMS $148,506
ACE Cash Express, Inc. ACE Cash Express consumer protection violation 2002 CO-AG $1,300,000
CashCall, Inc., WS Funding, LLC, and Delbert Services Corporation CashCall Inc. consumer protection violation 2016 CO-AG $7,384,005
Countrywide Financial Corp. Bank of America mortgage abuses 2009 CO-AG $6,000,000
Lender Processing Services, Inc. Fidelity National Financial mortgage abuses 2012 CO-AG $1,800,000
Western Sky Financial, LLC et al. CashCall Inc. consumer protection violation 2014 CO-AG $565,000
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
Federal Insurance Co. Chubb Limited insurance violation 2005 CO-INS $16,000
Commerce and Industry Insurance Co. American International Group insurance violation 2005 CO-INS $6,000
Allstate Insurance Co. Allstate insurance violation 2005 CO-INS $10,500
Old Republic Insurance Co. Old Republic International insurance violation 2006 CO-INS $6,000
Unitrin Auto and Home Insurance Co. Kemper insurance violation 2006 CO-INS $7,500
American Family Mutual Insurance Co. American Family Insurance insurance violation 2006 CO-INS $6,000
Farmers Insurance Exchange and Truck Insurance Exchange and Mid-Century Insurance Co. Farmers Insurance Exchange insurance violation 2006 CO-INS $49,500
New England Life Insurance Co. Brighthouse Financial insurance violation 2006 CO-INS $32,000
Allianz Life Insurance Company of North America Allianz insurance violation 2006 CO-INS $34,800
Jackson National Life Insurance Co. Prudential (UK) insurance violation 2007 CO-INS $10,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2007 CO-INS $5,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2007 CO-INS $5,500
Nationwide Insurance Company of America Nationwide insurance violation 2007 CO-INS $81,500
ING USA Annuity and Life Insurance Co. Voya Financial insurance violation 2007 CO-INS $5,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2007 CO-INS $50,000
Nationwide Mutual Fire Insurance Co. Nationwide insurance violation 2007 CO-INS $6,000
Nationwide Mutual Insurance Co. Nationwide insurance violation 2007 CO-INS $8,500
Nationwide Property and Casualty Insurance Co. Nationwide insurance violation 2007 CO-INS $6,000
National Western Life Insurance Co. National Western Life insurance violation 2009 CO-INS $11,500
Time Insurance Co. Haven Holdings insurance violation 2009 CO-INS $103,500
Permanent General Assurance Corp. American Family Insurance insurance violation 2009 CO-INS $31,900
Esurance Insurance Co. Allstate insurance violation 2010 CO-INS $154,500
Wedbush Securities Inc. Wedbush Securities insurance violation 2011 CO-INS $14,300
Mid-Century Insurance Co. Zurich Insurance insurance violation 2011 CO-INS $255,500
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2011 CO-INS $81,400
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)