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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
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$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
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 Parentsort icon Primary Offense Type Year Agency Penalty Amount
AXA Rosenberg AXA investor protection violation 2011 SEC $242,000,000
Axa S.A. AXA insurance violation 2015 MULTI-AG $3,280,000
T.H.E. INSURANCE COMPANY AXA insurance violation 2001 FL-OFR $15,000
Axa Re Property and Casualty Insurance Co. AXA insurance violation 2005 FL-OFR $15,000
Axa Insurance Co. AXA insurance violation 2019 LA-INS $6,000
XL Specialty Insurance Co. AXA insurance violation 2012 MO-INS $21,000
AXA Art Insurance Corporation AXA insurance violation 2015 NY-DFS $70,000
T.H.E. Insurance Company AXA insurance violation 2009 PA-INS $5,000
AXA Insurance Company AXA insurance violation 2007 SC-INS $8,000
AXA Art Insurance Corporation AXA insurance violation 2012 SC-INS $8,000
Catlin Insurance Company Inc. AXA insurance violation 2013 SD-INS $5,000
XL Specialty Insurance Company AXA insurance violation 2011 TX-INS $25,000
XL Insurance America Inc. AXA insurance violation 2011 TX-INS $7,000
XL Specialty Insurance Company AXA insurance violation 2014 TX-INS $8,500
T.H.E. Insurance Company AXA insurance violation 2015 TX-INS $11,500
XL Insurance America, Inc. AXA insurance violation 2018 TX-INS $32,000
XL Specialty Insurance Company AXA insurance violation 2018 TX-INS $30,000
XL Insurance America, Inc. AXA insurance violation 2019 TX-INS $5,000
Catlin Insurance Company Inc. AXA insurance violation 2018 UT-INS $100,000
XL LIFE INSURANCE AND ANNUITY AXA insurance violation 2006 VA-INS $10,000
XL Specialty Insurance Co. AXA insurance violation 2020 TX-INS $7,000
Balli Aviation Ltd. and Balli Group PLC Balli Group export control violation 2010 BIS $15,000,000
Balli Aviation Ltd. Balli Group export control violation 2010 DOJ_NATSEC $2,000,000
BancFirst Insurance Services, Inc. BancFirst wage and hour violation 2014 WHD $20,229
BBVA Suiza S.A. Banco Bilbao Vizcaya Argentaria tax violations 2015 DOJ_TAX $10,390,000
Compass Bank Banco Bilbao Vizcaya Argentaria banking violation 2009 FED $70,625
Compass Bank Banco Bilbao Vizcaya Argentaria discriminatory practices (non-employment) 2007 DOJ_RIGHTS $1,750,000
Banco Bilbao Vizcaya Argentaria, S.A. Banco Bilbao Vizcaya Argentaria banking violation 2016 FED $27,000,000
Banco Bilbao Vizcaya Puerto Rico Banco Bilbao Vizcaya Argentaria wage and hour violation 2006 WHD $31,571
Compass Bank Banco Bilbao Vizcaya Argentaria wage and hour violation 2005 WHD $810,122
Compass Bank Banco Bilbao Vizcaya Argentaria wage and hour violation 2005 WHD $5,105
Compass Bank Banco Bilbao Vizcaya Argentaria wage and hour violation 2015 private lawsuit-federal $500,000
Compass Bank Banco Bilbao Vizcaya Argentaria economic sanction violation 2013 OFAC $19,125
Compass Bank Banco Bilbao Vizcaya Argentaria economic sanction violation 2010 OFAC $607,500
BANCO ESPIRITO SANTO S. A. Banco Espirito Santo banking violation 2012 FED $975,000
Banco Espirito Santo S.A. Banco Espirito Santo investor protection violation 2011 SEC $7,000,000
Banco Espirito Santo S.A. Banco Espirito Santo investor protection violation 2011 NY-AG $975,000
Banco Espirito Santo, S.A. Banco Espirito Santo investor protection violation 2011 NJ-AG $1,900,000
Santander Bank, National Association Banco Santander banking violation 2016 OCC $3,400,000
Santander Bank, National Association Banco Santander banking violation 2015 OCC $6,000,000
Sovereign Bank N.A. Banco Santander banking violation 2013 OCC $16,086,180
Santander Consumer USA Inc. Banco Santander Servicemembers Civil Relief Act 2015 DOJ_RIGHTS $9,350,000
Santander Bank, N.A. Banco Santander consumer protection violation 2016 CFPB $10,000,000
Santander Bank & Trust (Bahamas) Ltd Banco Santander economic sanction violation 2004 OFAC $20,000
Santander Mortage Corporation Banco Santander wage and hour violation 2004 WHD $62,895
Santander Consumer USA Inc. Banco Santander consumer protection violation 2018 CFPB $11,790,000
Santander Securities LLC Banco Santander investor protection violation 2019 SEC $270,539
Santander Consumer USA Holdings Inc. Banco Santander investor protection violation 2018 SEC $1,500,000
Santander Bank, N.A. Banco Santander consumer protection violation 2015 NY-AG $500,000
Santander Consumer USA Holdings Inc. Banco Santander consumer protection violation 2017 MA-AG $22,000,000
Santander Consumer USA Holdings, Inc. Banco Santander consumer protection violation 2017 DE-AG $3,875,000
Santander Securities LLC Banco Santander consumer protection violation 2019 MA-AG $100,000
Santander USA Holdings Inc. Banco Santander consumer protection violation 2015 MA-AG $5,400,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 MULTI-AG $550,000,000
Santander Consumer USA, Inc. Banco Santander consumer protection violation 2018 CA-DFPI $300,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2018 CT-BKG $100,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2015 NH-BKG $75,000
Santander Securities, LLC Banco Santander investor protection violation 2018 NH-BSR $31,562
Santander Securities, LLC Banco Santander investor protection violation 2019 NH-BSR $50,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 VT-AG $105,000
BancorpSouth Bank BancorpSouth mortgage abuses 2016 CFPB $10,600,000
BANCORPSOUTH BANK BancorpSouth banking violation 2011 FDIC $46,500
Bank Hapoalim B.M, Bank Hapoalim tax violations 2020 FED $37,350,000
Bank Hapoalim B.M. Bank Hapoalim anti-money-laundering deficiencies 2020 DOJ_CRIMINAL $30,063,317
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd. Bank Hapoalim tax violations 2020 DOJ_TAX $616,910,000
Bank Hapoalim B.M. Bank Hapoalim tax violations 2020 NY-DFS $220,000,000
Bank Leumi Group Bank Leumi tax violations 2014 DOJ_TAX $270,000,000
Bank Leumi Bank Leumi investor protection violation 2016 SEC $1,600,000
Bank Leumi Bank Leumi tax violations 2014 NY-DFS $130,000,000
Bank of America Bank of America price-fixing or anti-competitive practices 2010 DOJ_ANTITRUST $137,300,000
Countrywide Home Loans, Inc. and BAC Home Loans Servicing LP Bank of America consumer protection violation 2010 FTC $108,000,000
Bank of America, N.A. Bank of America consumer protection violation 2014 CFPB $747,000,000
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 Bank of America banking violation 2013 OCC $2,886,578,478
BANK OF AMERICA CORPORATION Bank of America banking violation 2015 FED $205,000,000
Bank of America Corporation Bank of America banking violation 2012 FED $175,500,000
Bank of America Corporation Bank of America mortgage abuses 2014 DOJ $16,650,000,000
Bank of America Corporation Bank of America mortgage abuses 2012 DOJ $10,956,600,000
BAC Home Loans Servicing LP fka Countrywide Home Loans Servicing LP Bank of America mortgage abuses 2011 DOJ_CIVIL $20,000,000
Merrill Lynch Bank of America investor protection violation 2015 SEC $10,900,000
Bank of America Corporation Bank of America investor protection violation 2014 SEC $7,650,000
Merrill Lynch Bank of America toxic securities abuses 2013 SEC $131,800,000
Bank of America Bank of America investor protection violation 2010 SEC $150,000,000
Bank of America Corporation Bank of America toxic securities abuses 2014 FHFA $9,300,000,000
Bank of America Bank of America toxic securities abuses 2013 FHFA $404,000,000
Bank of America Bank of America toxic securities abuses 2011 FHFA $1,300,000,000
Bank of America Bank of America toxic securities abuses 2011 FHFA $1,520,000,000
Bank of America Bank of America toxic securities abuses 2013 FHFA $10,350,000,000
Bank of America Bank of America toxic securities abuses 2013 NCUA $165,000,000
Merrill Lynch Bank of America investor protection violation 2014 CFTC $1,200,000
Merrill Lynch Bank of America investor protection violation 2011 CFTC $350,000
Bank of America N.A. Bank of America banking violation 2012 DOJ_RIGHTS $370,000,000
Countrywide Financial Corporation Bank of America mortgage abuses 2011 DOJ_RIGHTS $335,000,000
Bank of America N.A. Bank of America economic sanction violation 2014 OFAC $16,562,700
Merrill Lynch Bank of America investor protection violation 2016 SEC $10,000,000
Merrill Lynch Bank of America investor protection violation 2016 SEC $415,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2015 SEC $500,000
Merrill Lynch Bank of America investor protection violation 2011 SEC $10,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)