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)
Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
Bankers Life & Casualty Co. CNO Financial insurance violation 2009 ME-INS $500,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2011 ME-INS $102,801
Bankers Life & Casualty Co. CNO Financial insurance violation 2010 WI-INS $1,500,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2012 WI-INS $40,000
Bankers Life & Casualty Company CNO Financial insurance violation 2011 RI-FIN $975,000
Bankers Life & Casualty Company CNO Financial insurance violation 2019 WA-INS $30,000
Bankers Life and Casualty CNO Financial privacy violation 2008 MO-AG $25,000
Bankers Life and Casualty Co. CNO Financial privacy violation 2003 KS-AG $15,000
Bankers Life and Casualty Co. CNO Financial insurance violation 2016 DE-INS $55,500
Bankers Life and Casualty Co. CNO Financial insurance violation 2019 DE-INS $41,200
Bankers Life and Casualty Co. CNO Financial insurance violation 2001 FL-OFR $10,500
Bankers Life and Casualty Co. CNO Financial insurance violation 2007 IN-INS $6,569
Bankers Life and Casualty Co. CNO Financial insurance violation 2017 LA-INS $10,000
Bankers Life and Casualty Co. CNO Financial insurance violation 2011 MD-INS $10,000
Bankers Life and Casualty Co. CNO Financial insurance violation 2012 MD-INS $15,000
Bankers Life and Casualty Co. CNO Financial insurance violation 2018 MD-INS $14,100
Bankers Life and Casualty Co. CNO Financial insurance violation 2008 MN-FIN $7,500
Bankers Life and Casualty Co. CNO Financial insurance violation 2015 MN-FIN $22,500
Bankers Life and Casualty Co. CNO Financial insurance violation 2015 MN-FIN $7,500
Bankers Life and Casualty Co. CNO Financial investor protection violation 2010 MO-SEC $789,600
Bankers Life and Casualty Co. CNO Financial investor protection violation 2015 MO-SEC $102,178
Bankers Life and Casualty Co. CNO Financial insurance violation 2013 MT-INS $50,000
BANKERS LIFE AND CASUALTY CO. CNO Financial insurance violation 2013 VA-INS $27,000
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co. CNO Financial insurance violation 2018 MN-FIN $10,000
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co. CNO Financial insurance violation 2019 MN-FIN $175,000
Bankers Life and Casualty Company CNO Financial privacy violation 2002 KY-AG $5,000
Bankers Life and Casualty Company CNO Financial insurance violation 2008 OR-FIN $150,000
Bankers Life and Casualty Company CNO Financial insurance violation 2010 OR-FIN $25,000
Bankers Life and Casualty Company CNO Financial insurance violation 2011 OR-FIN $5,000
Bankers Life and Casualty Company CNO Financial insurance violation 2012 OR-FIN $14,000
Bankers Life and Casualty Company CNO Financial insurance violation 2014 OR-FIN $115,000
Bankers Life and Casualty Company CNO Financial insurance violation 2004 PA-INS $5,000
Bankers Life and Casualty Company CNO Financial insurance violation 2013 VT-FIN $600,000
Bankers Life and Casualty Company CNO Financial insurance violation 2012 MULTI-FIN $4,000,000
Bankers Life and Casualty Company and BLC Financial Services, Inc. CNO Financial investor protection violation 2012 MULTI-FIN $10,641,000
Bankers Standard Insurance Co. et al. Chubb Limited insurance violation 2019 DE-INS $16,000
Bankers Standard Insurance Company Chubb Limited insurance violation 2015 WA-INS $25,000
Bankers Standard Insurance Company et al. Chubb Limited insurance violation 2019 WA-INS $25,000
Bannockburn Global Forex, LLC First Financial Bancorp. consumer protection violation 2017 CA-DBO $500,000
Bannockburn Global Forex, LLC First Financial Bancorp. consumer protection violation 2015 KY-FIN $25,000
Bannockburn Global Forex, LLC First Financial Bancorp. consumer protection violation 2016 MI-FIN $146,000
Bannockburn Global Forex, LLC First Financial Bancorp. consumer protection violation 2016 TX-FIN $23,608
Barclays Barclays interest rate benchmark manipulation 2015 CFTC $400,000,000
Barclays Barclays interest rate benchmark manipulation 2015 CFTC $115,000,000
BARCLAYS BANK PLC Barclays foreign exchange market manipulation 2015 FED $342,000,000
Barclays Bank PLC Barclays interest rate benchmark manipulation 2012 DOJ_CRIMINAL $160,000,000
Barclays Bank PLC Barclays economic sanction violation 2010 DOJ_CRIMINAL $298,000,000
Barclays Bank PLC Barclays toxic securities abuses 2014 FHFA $280,000,000
Barclays Bank PLC Barclays energy market manipulation 2017 FERC $105,000,000
Barclays Bank PLC Barclays economic sanction violation 2016 OFAC $2,485,890
Barclays Bank PLC Barclays investor protection violation 2016 CFTC $560,000
Barclays Bank PLC Barclays economic sanction violation 2004 OFAC $14,970
Barclays Bank PLC Barclays economic sanction violation 2003 OFAC $10,107
Barclays Bank PLC Barclays insider trading 2007 SEC $10,943,561
Barclays Bank PLC Barclays data submission deficiencies 2016 CFTC $500,000
Barclays Bank PLC Barclays interest rate benchmark manipulation 2016 MULTI-AG $100,000,000
Barclays Bank PLC Barclays toxic securities abuses 2013 MA-AG $36,100,000
Barclays Bank PLC Barclays foreign exchange market manipulation 2015 NY-DFS $485,000,000
Barclays Bank PLC Barclays foreign exchange market manipulation 2015 NY-DFS $150,000,000
Barclays Bank PLC Barclays workplace whistleblower retaliation 2018 NY-DFS $15,000,000
Barclays Capital Barclays investor protection violation 2017 SEC $97,037,659
Barclays Capital Inc. Barclays investor protection violation 2016 SEC $35,000,000
Barclays Capital Inc. Barclays investor protection violation 2014 SEC $15,000,000
Barclays Capital Inc. Barclays toxic securities abuses 2015 NCUA $325,000,000
Barclays Capital Inc. Barclays investor protection violation 2016 CFTC $800,000
Barclays Capital Inc. Barclays wage and hour violation 2009 WHD $9,707
Barclays Capital Inc. Barclays investor protection violation 2017 SEC $12,710,040
Barclays Capital Inc. Barclays investor protection violation 2016 SEC $500,000
Barclays Capital Inc. Barclays investor protection violation 2016 NY-AG $35,000,000
Barclays Capital Inc. Barclays toxic securities abuses 2016 VA-AG $9,000,000
Barclays Capital, Inc. Barclays toxic securities abuses 2018 USAO $2,000,000,000
Barclays PLC Barclays foreign exchange market manipulation 2015 DOJ_CRIMINAL $710,000,000
Barclays PLC Barclays interest rate benchmark manipulation 2012 CFTC $200,000,000
Barclays PLC Barclays foreign exchange market manipulation 2018 DOJ_CRIMINAL $12,896,011
Barclays PLC Barclays Foreign Corrupt Practices Act 2019 SEC $6,308,726
Barclays plc Barclays economic sanction violation 2010 NY-MANDA (*) $149,000,000
BB&T Truist Financial economic sanction violation 2007 OFAC $10,000
BB&T Truist Financial wage and hour violation 2011 WHD $43,662
BB&T Truist Financial wage and hour violation 2018 private lawsuit-federal $72,336
BB&T Corporation Truist Financial benefit plan administrator violation 2019 private lawsuit-federal $24,000,000
BB&T Leasing Company Truist Financial consumer protection violation 2005 NY-AG $159,097
BB&T Leasing Corporation Truist Financial consumer protection violation 2006 MULTI-AG $6,000,000
BB&T Securities Truist Financial investor protection violation 2019 SEC $5,709,753
BB&T Securities, LLC Truist Financial investor protection violation 2016 SEC $200,000
BB&T Securities, LLC Truist Financial investor protection violation 2015 SEC $200,000
BB&T Securities, LLC Truist Financial investor protection violation 2018 SEC $100,000
BB&T Securities, LLC Truist Financial investor protection violation 2019 SEC $376,059
BBVA Suiza S.A. Banco Bilbao Vizcaya Argentaria tax violations 2015 DOJ_TAX $10,390,000
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. BC Capital Group investor protection violation 2016 CFTC $490,246,741
BCS Insurance Company BCS Financial Corporation insurance violation 2016 NY-DFS $100,000
BCS Insurance Company BCS Financial Corporation insurance violation 2017 MULTI-FIN $1,000,000
Bear Stearns JPMorgan Chase wage and hour violation 2010 private lawsuit-federal $675,000
Bear Stearns JPMorgan Chase investor protection violation 2012 MI-AG $275,000,000
Bear Stearns & Co. LLC JPMorgan Chase investor protection violation 2002 MULTI-AG (*) $80,000,000
Bear Stearns Companies Inc. JPMorgan Chase wage and hour violation 2003 WHD $358,974
Bear Stearns Companies, Inc. JPMorgan Chase benefit plan administrator violation 2012 private lawsuit-federal $10,000,000
Bear Stearns Companies, LLC JPMorgan Chase mortgage abuses 2008 FTC $28,000,000
Bear, Stearns & Co. Inc. JPMorgan Chase investor protection violation 2003 SEC $80,000,000
Bear, Stearns & Co. Inc. JPMorgan Chase investor protection violation 2003 MULTI-FIN (*) $25,000,000
Bear, Stearns & Co., Inc. JPMorgan Chase investor protection violation 2006 SEC $1,500,000
Bear, Stearns & Co., Inc. JPMorgan Chase investor protection violation 2006 SEC $250,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)