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)
Company Parent Primary Offense Typesort icon Year Agency Penalty Amount
Cash Call Inc. and Western Sky Financial LLC CashCall Inc. consumer protection violation 2015 WA-FIN $2,000,000
New Day Financial, LLC d/b/a NewDay USA New Day Financial LLC consumer protection violation 2015 WA-FIN $120,000
CashCall, Inc. CashCall Inc. consumer protection violation 2014 WA-FIN $6,390,670
Fifth Third Mortgage Co. Fifth Third Bancorp consumer protection violation 2014 WA-FIN $228,626
Countrywide Home Loans Inc. Bank of America consumer protection violation 2010 WA-FIN $650,000
American General Financial Services OneMain Holdings consumer protection violation 2009 WA-FIN $74,984
Freedom Mortgage Corp. Freedom Mortgage consumer protection violation 2009 WA-FIN $52,791
Allstate Financial Services, Inc. Allstate consumer protection violation 2003 WA-FIN $58,988
MLD Mortgage Inc. dba The Money Store MLD Mortgage Inc. dba The Money Store consumer protection violation 2018 MULTI-FIN $720,000
Mortgage Access Corp. dba Weichert Financial Services Weichert Financial Services consumer protection violation 2011 MULTI-FIN $3,000,000
TD Bank, N.A. Toronto-Dominion Bank consumer protection violation 2020 CFPB $122,000,000
Freedom Mortgage Corp. Freedom Mortgage consumer protection violation 2020 MA-BKG $25,000
Mutual of Omaha Mortgage, Inc. Mutual of Omaha consumer protection violation 2020 PA-BKG $7,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 VT-AG $105,000
Morgan Stanley Smith Barney FA Notes Holdings LLC Morgan Stanley consumer protection violation 2020 CA-DFPI $1,000,000
PHH Mortgage Corporation Ocwen Financial consumer protection violation 2020 CA-DFPI $62,000
Freedom Mortgage Corporation Freedom Mortgage consumer protection violation 2020 CA-DFPI $75,000
Nationstar Mortgage, LLC dba Mr. Cooper Mr. Cooper Group consumer protection violation 2020 CFPB $74,500,000
Washington Federal Bank, N.A. Washington Federal Inc. consumer protection violation 2020 CFPB $200,000
Encore Capital Group, Inc. Encore Capital Group consumer protection violation 2020 CFPB $15,079,308
Nationstar Mortgage dba Mr. Cooper Mr. Cooper Group consumer protection violation 2020 MULTI-AG (*) $86,300,000
New York Life Insurance & Annuity Corporation New York Life Insurance consumer protection violation 2021 NY-DFS $10,929,000
Discover Bank et al. Discover Financial Services consumer protection violation 2020 CFPB $35,000,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 CFPB $4,750,000
PayPal, Inc. dba Venmo PayPal Holdings consumer protection violation 2020 MN-FIN $20,000
Citibank Citigroup consumer protection violation 2021 MULTI-AG $4,200,000
BB&T Equipment Finance LLC Truist Financial consumer protection violation 2021 CA-DFPI $75,000
E-Trade Financial Corporate Services, Inc. Morgan Stanley consumer protection violation 2021 CT-BKG $10,000
Santander Consumer USA, Inc. Banco Santander consumer protection violation 2021 CO-AG $3,065,000
United States Fire Insurance Co. Fairfax Financial Holdings consumer protection violation 2021 CO-AG $50,000
LendingClub Corp. LendingClub Corp. consumer protection violation 2021 FTC $18,000,000
Moneygram Payment Systems, Inc. MoneyGram International consumer protection violation 2021 FL-OFR $9,625
Credit Acceptance Corporation Credit Acceptance Corp. consumer protection violation 2021 MA-AG $27,200,000
U.S. Bank U.S. Bancorp consumer protection violation 2021 MA-AG $230,000
Santander Banco Santander consumer protection violation 2021 MS-AG $3,700,000
Credit Suisse Securities (USA) LLC Credit Suisse data submission deficiencies 2015 SEC $4,250,000
JPMorgan Chase JPMorgan Chase data submission deficiencies 2016 CFTC $225,000
JPMorgan Chase Bank JPMorgan Chase data submission deficiencies 2015 CFTC $100,000,000
Deutsche Bank AG Deutsche Bank data submission deficiencies 2015 CFTC $2,500,000
JPMorgan Securities JPMorgan Chase data submission deficiencies 2014 CFTC $650,000
Mizuho Securities USA Inc. Mizuho Financial data submission deficiencies 2013 CFTC $175,000
Morgan Stanley Capital Group Morgan Stanley data submission deficiencies 2010 CFTC $14,000,000
UBS Securities UBS data submission deficiencies 2010 CFTC $200,000
Citigroup Global Markets Citigroup data submission deficiencies 2016 SEC $7,000,000
OZ Management LP Sculptor Capital Management data submission deficiencies 2015 SEC $4,250,000
Scottrade Charles Schwab Corp. data submission deficiencies 2014 SEC $2,500,000
Citigroup Private Bank GP, Inc. Citigroup data submission deficiencies 2009 CFTC $100,000
J.P. Morgan Futures, Inc. JPMorgan Chase data submission deficiencies 2009 CFTC $300,000
UBS Fund Advisor, LLC UBS data submission deficiencies 2009 CFTC $50,000
BNP Paribas Commodity Futures, Ltd. BNP Paribas data submission deficiencies 2008 CFTC $25,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC Bank of America data submission deficiencies 2007 CFTC $500,000
A.G. Edwards & Sons, Inc. Wells Fargo data submission deficiencies 2003 CFTC $45,000
Prudential Securities, Inc. Wells Fargo data submission deficiencies 2002 CFTC $65,000
Williams Power Company Inc. JPMorgan Chase data submission deficiencies 2006 DOJ_CRIMINAL $50,000,000
Morgan Stanley & Co. Morgan Stanley data submission deficiencies 2006 SEC $10,000,000
Deutsche Bank Securities Inc. Deutsche Bank data submission deficiencies 2002 SEC $1,650,000
Goldman, Sachs & Co. Goldman Sachs data submission deficiencies 2002 SEC $1,650,000
Morgan Stanley & Co. Incorporated Morgan Stanley data submission deficiencies 2002 SEC $1,650,000
Salomon Smith Barney Inc. Morgan Stanley data submission deficiencies 2002 SEC $1,650,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler data submission deficiencies 2002 SEC $1,650,000
Barclays Bank PLC Barclays data submission deficiencies 2016 CFTC $500,000
Wells Fargo Bank, N.A. Wells Fargo data submission deficiencies 2016 CFTC $400,000
Societe Generale Societe Generale data submission deficiencies 2016 CFTC $450,000
Morgan Stanley Morgan Stanley data submission deficiencies 2017 CFTC $350,000
Citibank N.A. Citigroup data submission deficiencies 2017 CFTC $550,000
Convergex Execution Solutions LLC Cowen Inc. data submission deficiencies 2018 SEC $2,750,000
Compass Bank PNC Financial Services discriminatory practices (non-employment) 2007 DOJ_RIGHTS $1,750,000
AIG Federal Savings Bank and Wilmington Finance Inc. American International Group discriminatory practices (non-employment) 2010 DOJ_RIGHTS $6,100,000
Union Savings Bank and Guardian Savings Bank Union Savings Bank discriminatory practices (non-employment) 2016 DOJ_RIGHTS $9,000,000
First Tennessee Bank First Horizon National discriminatory practices (non-employment) 2016 HUD $1,900,000
Associated Bank, N.A. Associated Banc-Corp discriminatory practices (non-employment) 2015 HUD $200,000,000
Wells Fargo Home Mortgage Wells Fargo discriminatory practices (non-employment) 2014 HUD $5,000,000
Midland States Bancorp Midland States Bancorp discriminatory practices (non-employment) 2014 HUD $15,950,000
U.S. Bank National Association U.S. Bancorp discriminatory practices (non-employment) 2014 HUD $11,489
Freedom Mortgage Corporation Freedom Mortgage discriminatory practices (non-employment) 2014 HUD $104,000
Bank of America Bank of America discriminatory practices (non-employment) 2013 HUD $45,000
Bank of America Bank of America discriminatory practices (non-employment) 2013 HUD $22,449
SunTrust Mortgage, Inc. Truist Financial discriminatory practices (non-employment) 2013 HUD $36,000
PNC Mortgage PNC Financial Services discriminatory practices (non-employment) 2013 HUD $15,000
U.S. Bank National Association U.S. Bancorp discriminatory practices (non-employment) 2013 HUD $12,000
Bank of America Bank of America discriminatory practices (non-employment) 2013 HUD $7,500
Bank of America Bank of America discriminatory practices (non-employment) 2012 HUD $161,180
Home Loan Center, Inc. LendingTree discriminatory practices (non-employment) 2012 HUD $15,000
Charles Schwab Bank Charles Schwab Corp. discriminatory practices (non-employment) 2011 HUD $30,000
Fifth Third Bank Fifth Third Bancorp discriminatory practices (non-employment) 2006 HUD $125,000
JPMorgan Chase JPMorgan Chase discriminatory practices (non-employment) 2017 USAO $53,000,000
Citizens Bank of Pennsylvania Citizens Financial Group discriminatory practices (non-employment) 2016 HUD $115,000
Farmers Insurance Exchange Farmers Insurance Exchange discriminatory practices (non-employment) 2017 HUD $15,000
Bank of America Bank of America discriminatory practices (non-employment) 2006 MA-AG $50,000
CIT Group, Inc., and CIT Bank, N.A., dba OneWest Bank CIT discriminatory practices (non-employment) 2019 HUD $7,300,000
Farmers Insurance Group Zurich Insurance discriminatory practices (non-employment) 2001 OH-AG $4,300,000
Five Star Bank Financial Institutions Inc. discriminatory practices (non-employment) 2015 NY-AG $150,000
Guardian Life Insurance Company of America Guardian Life Insurance discriminatory practices (non-employment) 2009 NY-AG $500,000
H&R Block, Inc. H&R Block discriminatory practices (non-employment) 2011 MA-AG $125,000,000
United Services Automobile Association USAA discriminatory practices (non-employment) 2014 MA-AG $50,000
Citigroup Citigroup discriminatory practices (non-employment) 2001 NY-DFS $1,000,000
MetLife MetLife discriminatory practices (non-employment) 2002 NY-DFS $160,000,000
Wells Fargo & Co. Wells Fargo discriminatory practices (non-employment) 2019 private lawsuit-federal $10,000,000
Travelers Indemnity Company Travelers discriminatory practices (non-employment) 2018 private lawsuit-federal $450,000
Wells Fargo Wells Fargo discriminatory practices (non-employment) 2012 private lawsuit-federal $7,500,000
Wells Fargo Bank, N.A. Wells Fargo discriminatory practices (non-employment) 2012 private lawsuit-federal $7,500,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)