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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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 sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
AXA Art Insurance CorporationAXAinsurance violation2012SC-INS$8,000
AXA EquitableEquitable Holdingsinsurance violation2014NY-DFS$20,000,000
AXA Equitable Life & Annuity Co.Equitable Holdingsinsurance violation2016MT-FIN$5,000
AXA Equitable Life Insurance Co.Equitable Holdingsinsurance violation2018DE-INS$5,000
AXA Equitable Life Insurance Co.Equitable Holdingsinsurance violation2016MN-FIN$5,000
AXA Equitable Life Insurance Co. et al.Equitable Holdingsinsurance violation2016MN-FIN$900,000
AXA Equitable Life Insurance CompanyEquitable Holdingswage and hour violation2006WHD$29,534
AXA Equitable Life Insurance CompanyEquitable Holdingsbenefit plan administrator violation2011private lawsuit-federal$2,500,000
AXA Equitable Life Insurance CompanyEquitable Holdingsinsurance violation2012NY-AG$850,000
AXA Equitable Life Insurance CompanyEquitable Holdingsinsurance violation2010NY-DFS$1,900,000
AXA FinancialEquitable Holdingswage and hour violation2009private lawsuit-federal$6,500,000
Axa Insurance Co.AXAinsurance violation2019LA-INS$6,000
AXA Insurance CompanyAXAinsurance violation2007SC-INS$8,000
Axa Re Property and Casualty Insurance Co.AXAinsurance violation2005FL-OFR$15,000
AXA RosenbergAXAinvestor protection violation2011SEC$242,000,000
Axa S.A.AXAinsurance violation2015MULTI-AG$3,280,000
BAC Home Loans Servicing LP fka Countrywide Home Loans Servicing LPBank of Americamortgage abuses2011DOJ_CIVIL$20,000,000
Balli Aviation Ltd.Balli Groupexport control violation2010DOJ_NATSEC$2,000,000
Balli Aviation Ltd. and Balli Group PLCBalli Groupexport control violation2010BIS$15,000,000
Banamex USACitigroupbanking violation2015FDIC$140,000,000
Banamex USACitigroupanti-money-laundering deficiencies2017DOJ_CRIMINAL$97,440,000
Banc of America Capital Management LLC et al.Bank of Americainvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $375,000,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLCBank of Americainvestor protection violation2005SEC$375,000,000
Banc of America Investment ServicesBank of Americaemployment discrimination2009private lawsuit-federal$7,200,000
Banc of America Investment Services Inc.Bank of Americaanti-money-laundering deficiencies2007FINRA$3,000,000
Banc of America Investment Services Inc.Bank of Americainvestor protection violation2004FINRA$200,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2008SEC$9,763,634
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2009SEC$150,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2006IL-SEC$250,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2008MD-SEC$10,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2005FINRA$90,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLCBank of Americainvestor protection violation2005SEC$1,500,000
Banc of America Securities LLCBank of Americafraud2007SEC$26,000,000
Banc of America Securities LLCBank of Americainvestor protection violation2006SEC$750,000
Banc of America Securities LLCBank of Americainvestor protection violation2004SEC$10,000,000
Banc of America Securities LLCBank of Americaprice-fixing or anti-competitive practices2010SEC$36,096,442
Banc of America Securities LLCBank of Americainvestor protection violation2008MULTI-AG$4,550,000,000
Banc of America Securities LLCBank of Americainvestor protection violation2010NJ-AG$1,268,393
Banc of America Securities LLCBank of Americainvestor protection violation2001FINRA$40,000
Banc One Investment Advisors CorporationJPMorgan Chaseinvestor protection violation2004SEC$50,000,000
Banc One Investment Advisors CorporationJPMorgan Chaseinvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,000,000
Banc One Securities CorporationJPMorgan Chaseinvestor protection violation2008FINRA$225,000
Banc One Securities CorporationJPMorgan Chaseinvestor protection violation2005FINRA$400,000
Banca IMI Securities Corp.Intesa Sanpaoloinvestor protection violation2017SEC$35,300,000
Banca IMI Securities Corp.Intesa Sanpaoloprice-fixing or anti-competitive practices2019DOJ_ANTITRUST$2,000,000
BancFirst Insurance Services, Inc.BancFirstwage and hour violation2014WHD$20,229
Banco Bilbao Vizcaya Argentaria, S.A.Banco Bilbao Vizcaya Argentariabanking violation2016FED$27,000,000
Banco Bilbao Vizcaya Puerto RicoBanco Bilbao Vizcaya Argentariawage and hour violation2006WHD$31,571
Banco PopularPopular Inc.wage and hour violation2016private lawsuit-federal$50,243
Banco PopularPopular Inc.wage and hour violation2009private lawsuit-federal$1,050,000
Banco Popular de Puerto RicoPopular Inc.anti-money-laundering deficiencies2003DOJ_CRIMINAL$21,600,000
Banco Popular de Puerto RicoPopular Inc.economic sanction violation2022OFAC$255,938
Banco Popular North America, Inc.Popular Inc.wage and hour violation2004WHD$17,363
BancorpSouth BankCadence Bankmortgage abuses2016CFPB$10,600,000
BANCORPSOUTH BANKCadence Bankbanking violation2011FDIC$46,500
BancorpSouth BankCadence Bankconsumer protection violation2016private lawsuit-federal$24,000,000
Bank Hapoalim B.M,Bank Hapoalimtax violations2020FED$37,350,000
Bank Hapoalim B.M.Bank Hapoalimanti-money-laundering deficiencies2020DOJ_CRIMINAL$30,063,317
Bank Hapoalim B.M.Bank Hapoalimtax violations2020NY-DFS$220,000,000
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd.Bank Hapoalimtax violations2020DOJ_TAX$616,910,000
Bank Julius Baer & Co. Ltd.Julius Baer Grouptax violations2016DOJ_TAX$547,000,000
Bank Julius Baer & Co. Ltd.Julius Baer Groupmoney laundering2021DOJ_CRIMINAL$79,000,000
Bank LeumiBank Leumiinvestor protection violation2016SEC$1,600,000
Bank LeumiBank Leumitax violations2014NY-DFS$130,000,000
Bank Leumi GroupBank Leumitax violations2014DOJ_TAX$270,000,000
Bank of AmericaBank of Americaprice-fixing or anti-competitive practices2010DOJ_ANTITRUST$137,300,000
Bank of AmericaBank of Americabanking violation2013OCC$2,886,578,478
Bank of AmericaBank of Americainvestor protection violation2010SEC$150,000,000
Bank of AmericaBank of Americatoxic securities abuses2013FHFA$404,000,000
Bank of AmericaBank of Americatoxic securities abuses2011FHFA$1,300,000,000
Bank of AmericaBank of Americatoxic securities abuses2011FHFA$1,520,000,000
Bank of AmericaBank of Americatoxic securities abuses2013FHFA$10,350,000,000
Bank of AmericaBank of Americatoxic securities abuses2013NCUA$165,000,000
Bank of AmericaBank of Americaeconomic sanction violation2004OFAC$13,573
Bank of AmericaBank of Americaeconomic sanction violation2003OFAC$158,038
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2013HUD$45,000
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2013HUD$22,449
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2013HUD$7,500
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2012HUD$161,180
Bank of AmericaBank of Americaemployment discrimination2014EEOC$110,000
Bank of AmericaBank of Americaemployment discrimination2016EEOC$30,000
Bank of AmericaBank of AmericaFamily and Medical Leave Act2008WHD$6,500
Bank of AmericaBank of Americawage and hour violation2008WHD$6,209
Bank of AmericaBank of Americawage and hour violation2005WHD$12,824
Bank of AmericaBank of Americaemployment discrimination2017OFCCP$1,000,000
Bank of AmericaBank of Americainvestor protection violation2017USAO$2,500,000
Bank of AmericaBank of Americaexport control violation2017BIS$44,625
Bank of AmericaBank of AmericaFamily and Medical Leave Act2017WHD$14,528
Bank of AmericaBank of Americawage and hour violation2017private lawsuit-federal$6,000,000
Bank of AmericaBank of Americawage and hour violation2017private lawsuit-federal$7,000,000
Bank of AmericaBank of Americawage and hour violation2017private lawsuit-federal$1,900,000
Bank of AmericaBank of Americawage and hour violation2017private lawsuit-federal$6,600,000
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-state$4,000,000
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-federal$3,250,000
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-federal$36,000,000
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-federal$2,250,000
Bank of AmericaBank of Americawage and hour violation2015private lawsuit-federal$9,000,000
Bank of AmericaBank of Americawage and hour violation2013private lawsuit-federal$73,000,000
Bank of AmericaBank of Americawage and hour violation2010private lawsuit-state$16,650,000
Bank of AmericaBank of Americawage and hour violation2010private lawsuit-federal$661,392
Bank of AmericaBank of Americawage and hour violation2007private lawsuit-state$2,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.