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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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
Bank of America Corporation Bank of America privacy violation 2014 private lawsuit-federal $32,083,905
Bank of America Merrill Lynch Bank of America investor protection violation 2018 NY-AG $42,000,000
Bank of America N.A. Bank of America banking violation 2012 DOJ_RIGHTS $370,000,000
Bank of America N.A. Bank of America economic sanction violation 2014 OFAC $16,562,700
Bank Of America NA Bank of America environmental violation 2005 TX-ENV $12,480
Bank of America, N.A. Bank of America consumer protection violation 2014 CFPB $747,000,000
Bank of America, N.A. Bank of America wage and hour violation 2010 WHD $18,654
Bank of America, N.A. Bank of America interest rate benchmark manipulation 2018 CFTC $30,000,000
Bank of America, N.A. Bank of America consumer protection violation 2017 CA-MULTI $1,940,000
Bank of America, N.A. Bank of America Americans with Disabilities Act 2020 DOJ_RIGHTS $300,000
Bank of America, NA Bank of America wage and hour violation 2010 WHD $5,827
Bank of America, NA Bank of America discriminatory practices (non-employment) 2005 private lawsuit-federal $3,670,000
Bank of America, National Association Bank of America banking violation 2015 OCC $1,104,530
Bank of America, National Association Bank of America banking violation 2015 OCC $30,000,000
Bank of America, National Association Bank of America banking violation 2014 OCC $250,000,000
Bank of America, National Association Bank of America banking violation 2014 OCC $25,000,000
Bank of America, National Association Bank of America labor relations violation 2013 NLRB $18,634
Bank of America, National Association Bank of America environmental violation 2013 VA-ENV $27,625
Bank of China Bank of China economic sanction violation 2005 OFAC $11,000
Bank of China Bank of China economic sanction violation 2004 OFAC $10,000
Bank of China Bank of China banking violation 2002 OCC $10,000,000
Bank of China Bank of China banking violation 2018 OCC $12,500,000
Bank of China (UK) Limited Bank of China economic sanction violation 2021 OFAC $2,329,991
Bank of Hampton Roads Atlantic Union Bankshares banking violation 2011 FED $33,600
Bank of Hawaii Bank of Hawaii benefit plan administrator violation 2009 EBSA $2,500,000
Bank of Hawaii Bank of Hawaii wage and hour violation 2018 WHD $7,631
BANK OF KENTUCKY, INC., THE Truist Financial banking violation 2009 FDIC $30,415
Bank of Louisville Truist Financial investor protection violation 2002 KY-INS $27,000,000
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $137,500
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $34,623
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $27,500
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $5,500
Bank of New York Bank of New York Mellon economic sanction violation 2003 OFAC $24,750
Bank of New York Mellon Bank of New York Mellon banking violation 2015 USAO $714,000,000
Bank of New York Mellon Bank of New York Mellon benefit plan administrator violation 2015 EBSA $84,000,000
Bank of New York Mellon Bank of New York Mellon banking violation 2018 FED $16,000
Bank of New York Mellon Bank of New York Mellon investor protection violation 2018 SEC $54,000,000
Bank of New York Mellon Bank of New York Mellon investor protection violation 2013 FL-AG $28,000,000
Bank of New York Mellon Bank of New York Mellon employment discrimination 2010 NJ-AG $188,037
Bank of New York Mellon Bank of New York Mellon banking violation 2015 NY-AG $167,500,000
Bank of New York Mellon Bank of New York Mellon investor protection violation 2019 CFTC $750,000
Bank of New York Mellon (Shanghai Branch) Bank of New York Mellon export control violation 2011 BIS $30,000
Bank of New York Mellon Corp. Bank of New York Mellon investor protection violation 2011 MULTI-AG $1,300,000
Bank of New York Mellon Corporation Bank of New York Mellon banking violation 2017 FED $3,000,000
Bank of New York Mellon Corporation Bank of New York Mellon benefit plan administrator violation 2015 private lawsuit-federal $335,000,000
Bank of New York Mellon Corporation Bank of New York Mellon benefit plan administrator violation 2009 private lawsuit-federal $2,200,000
Bank of North Georgia Synovus Financial environmental violation 2011 GA-ENV $14,000
Bank of Nova Scotia Scotiabank investor protection violation 2018 CFTC $800,000
Bank of Nova Scotia Scotiabank price-fixing or anti-competitive practices 2020 DOJ_CRIMINAL $60,400,000
BANK OF THE CASCADES First Interstate Bancsystem banking violation 2008 FDIC $43,550
Bank of the West BNP Paribas employment discrimination 2011 EEOC $48,000
Bank of the West BNP Paribas wage and hour violation 2015 WHD $33,750
BANK OF THE WEST BNP Paribas banking violation 2011 FDIC $135,000
BANK OF THE WEST BNP Paribas banking violation 2010 FDIC $68,200
Bank of the West BNP Paribas banking violation 2021 FDIC $281,000
Bank One JPMorgan Chase economic sanction violation 2004 OFAC $5,500
Bank One JPMorgan Chase economic sanction violation 2004 OFAC $6,682
Bank One, KY, N.A. JPMorgan Chase discriminatory practices (non-employment) 2005 private lawsuit-federal $6,715,000
BankAtlantic Truist Financial anti-money-laundering deficiencies 2006 DOJ_CRIMINAL $10,000,000
BankAtlantic Truist Financial economic sanction violation 2008 OFAC $7,500
Bankers Conseco Life Insurance CNO Financial insurance violation 2019 NY-DFS $27,900
Bankers Conseco Life Insurance Company CNO Financial insurance violation 2015 NY-DFS $10,270
Bankers Life & Casualty CNO Financial insurance violation 2013 WI-INS $200,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2009 CT-INS $100,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2009 KS-INS $8,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2010 KS-INS $22,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2003 ME-INS $5,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2005 ME-INS $500,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2006 ME-INS $7,500
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
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)