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)
Company Parent Primary Offense Type Yearsort icon Agency Penalty Amount
HSBC North America Inc. HSBC wage and hour violation 2006 WHD $8,273
AXA Equitable Life Insurance Company AXA wage and hour violation 2006 WHD $29,534
HSBC Bank HSBC wage and hour violation 2006 WHD $7,599
Bank of America Corporation Bank of America wage and hour violation 2006 WHD $265,774
Mercer HR Services, LLC Marsh & McLennan wage and hour violation 2006 WHD $49,474
SunTrust Bank, Inc. Truist Financial wage and hour violation 2006 WHD $350,875
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2006 WHD $14,479
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2006 WHD $1,800,282
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2006 WHD $30,928
Austin Mutual Insurance Company American Family Insurance wage and hour violation 2006 WHD $16,245
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America wage and hour violation 2006 WHD $7,060
Atlantic Credit and Finance, Inc. Encore Capital Group wage and hour violation 2006 WHD $9,422
Brothers Property Corporation American Financial Group wage and hour violation 2006 WHD $29,273
PNC Bank PNC Financial Services labor relations violation 2006 NLRB $40,000
TD Banknorth Toronto-Dominion Bank labor relations violation 2006 NLRB $5,000
J.P. Morgan Chase & Co. and Forum Temporary Services JPMorgan Chase labor relations violation 2006 NLRB $60,760
Mercury Air Centers, Inc. Macquarie labor relations violation 2006 NLRB $40,000
International Matex Tank Terminals Macquarie railroad safety violation 2006 FRA $5,000
Citigroup Citigroup wage and hour violation 2006 private lawsuit-federal $3,550,000
Morgan Stanley Morgan Stanley wage and hour violation 2006 private lawsuit-federal $42,500,000
Bank of America Bank of America wage and hour violation 2006 private lawsuit-federal $9,000,000
Merrill Lynch Bank of America wage and hour violation 2006 private lawsuit-federal $37,000,000
Deutsche Bank Securities, Inc. Deutsche Bank investor protection violation 2006 SEC $442,954
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. Deutsche Bank investor protection violation 2006 SEC $17,200,000
Strong Capital Management, Inc. Wells Fargo investor protection violation 2006 SEC $2,185,927
Deutsche Investment Management Americas, Inc. et al. Deutsche Bank investor protection violation 2006 SEC $19,329,729
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2006 SEC $50,000,000
Metropolitan Life Insurance Company MetLife investor protection violation 2006 SEC $250,000
Morgan Keegan & Co., Inc. Raymond James Financial investor protection violation 2006 SEC $558,806
Cincinnati Insurance Company Cincinnati Financial employment discrimination 2006 private lawsuit-federal $537,500
New York Life Insurance New York Life Insurance employment discrimination 2006 private lawsuit-federal $6,000,000
LOUIS DREYFUS CITRUS, INC. Louis Dreyfus environmental violation 2006 EPA $7,200
Northern Trust Northern Trust benefit plan administrator violation 2006 private lawsuit-federal $37,500,000
UBS Global Asset Management UBS benefit plan administrator violation 2006 private lawsuit-federal $5,493,000
Nationwide Mutual Insurance Company Nationwide Fair Credit Reporting Act violation 2006 private lawsuit-federal $19,250,000
ACE, Ltd Chubb Limited price-fixing or anti-competitive practices 2006 MULTI-AG $80,000,000
American Bankers Insurance Co. Assurant consumer protection violation 2006 MA-AG $20,000
American International Group American International Group price-fixing or anti-competitive practices 2006 NY-AG (*) $1,619,000,000
American International Group, Inc. American International Group tax violations 2006 MI-AG $5,279,484
Ameriquest Mortgage Citigroup consumer protection violation 2006 MULTI-AG $325,000,000
Bank of America Bank of America discriminatory practices (non-employment) 2006 MA-AG $50,000
BB&T Leasing Corporation Truist Financial consumer protection violation 2006 MULTI-AG $6,000,000
Brown & Brown, Inc. Brown & Brown consumer protection violation 2006 FL-AG $5,800,000
Chase Bank JPMorgan Chase consumer protection violation 2006 MULTI-AG $3,850,000
Chubb Chubb Limited price-fixing or anti-competitive practices 2006 MULTI-AG $17,000,000
Countrywide Home Loans, Inc., Bank of America consumer protection violation 2006 NY-AG $3,200,000
Deutsche Bank AG Deutsche Bank investor protection violation 2006 NY-AG (*) $208,000,000
ING Voya Financial investor protection violation 2006 MULTI-AG $33,000,000
Metropolitan Life Insurance Company MetLife consumer protection violation 2006 NY-AG $19,000,000
National City Commercial Capital Corporation PNC Financial Services consumer protection violation 2006 NY-AG $817,700
PayPal, Inc. PayPal Holdings consumer protection violation 2006 MULTI-AG $1,700,000
Prudential Equity Group Prudential Financial investor protection violation 2006 MULTI-AG (*) $270,000,000
Prudential Equity Group Prudential Financial investor protection violation 2006 NY-AG (*) $270,000,000
St. Paul Travelers Travelers price-fixing or anti-competitive practices 2006 MULTI-AG $77,000,000
The Hartford Financial Services Group Hartford Financial Services investor protection violation 2006 MULTI-AG $20,000,000
UBS Financial Services Inc. UBS investor protection violation 2006 NJ-AG $24,750,000
UnumProvident Corporation Unum consumer protection violation 2006 NY-AG $17,400,000
Wachovia Capital Markets LLC Wells Fargo investor protection violation 2006 MULTI-AG $25,000,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2006 NY-AG (*) $75,000,000
Zurich American Insurance Company Zurich Insurance price-fixing or anti-competitive practices 2006 MULTI-AG $171,700,000
Zurich American Insurance Company Zurich Insurance price-fixing or anti-competitive practices 2006 OH-AG $7,000,000
Mellon Bank N.A. Bank of New York Mellon False Claims Act and related 2006 USAO $18,130,405
Bank of America Corp. Bank of America anti-money-laundering deficiencies 2006 NY-MANDA $7,500,000
Zenith Insurance Co. Fairfax Financial Holdings employment discrimination 2006 EEOC $180,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2006 NY-AG $1,040,964
Seabury & Smith, Inc. Marsh & McLennan insurance violation 2006 AK-INS $6,530
Titan Insurance Co. Nationwide insurance violation 2006 AZ-INS $40,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2006 AZ-SEC $1,250,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $5,000
Farmers Insurance Exchange et al. Farmers Insurance Exchange insurance violation 2006 CA-INS $1,000,000
Mercury Insurance Co. Mercury General Corporation insurance violation 2006 CA-INS $9,000
Zurich American Insurance Co. Zurich Insurance insurance violation 2006 CA-INS $15,000
Commonwealth Land Title Insurance Co. et al. Fidelity National Financial insurance violation 2006 CA-INS $4,499,997
Amex Assurance Co. American Express insurance violation 2006 CA-INS $170,000
Workmen's Auto Insurance Co. Mercury General Corporation insurance violation 2006 CA-INS $100,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $50,000
Mercury Insurance Group Mercury General Corporation insurance violation 2006 CA-INS $300,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $50,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $7,500
The Prudential Insurance Company of America Prudential Financial insurance violation 2006 CA-INS $700,000
UnumProvident Corp. et al. Unum insurance violation 2006 CA-INS $700,000
Hartford Fire Insurance Co. et al. Hartford Financial Services insurance violation 2006 CA-INS $125,000
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
Thomas Weisel Partners LLC Stifel Financial investor protection violation 2006 CT-SEC $52,480
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2006 CT-SEC $3,500,000
American General Life and Accident Insurance Co. American International Group insurance violation 2006 FL-OFR $1,568,324
Combined Insurance Company of America Chubb Limited insurance violation 2006 FL-OFR $9,750
Pacific Life & Annuity Co. Pacific Life insurance violation 2006 FL-OFR $38,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2006 FL-OFR $12,100
Life Investors Insurance Company of America Aegon insurance violation 2006 FL-OFR $53,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2006 ID-SEC $415,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2006 IL-SEC $250,000
Universal Underwriters Insurance Company Zurich Insurance insurance violation 2006 IN-INS $948,240
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)