Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2005 FINRA $888,000
Thomas Weisel Partners Stifel Financial investor protection violation 2005 FINRA $1,750,000
Jefferson Pilot Variable Corporation Lincoln National investor protection violation 2005 FINRA $688,697
Citigroup Global Markets, Inc. Citigroup investor protection violation 2005 FINRA $6,250,000
American Express Financial Advisors Ameriprise Financial investor protection violation 2005 FINRA $13,000,000
Chase Investment Services JPMorgan Chase investor protection violation 2005 FINRA $2,000,000
Spear, Leeds & Kellogg, L.P Goldman Sachs investor protection violation 2005 FINRA $1,000,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2005 FINRA $275,000
Scottrade, Inc. Charles Schwab Corp. investor protection violation 2005 FINRA $250,000
Banc One Securities Corporation JPMorgan Chase investor protection violation 2005 FINRA $400,000
Highmark, Inc. Highmark Inc. campaign finance violation 2005 FEC $54,078
THE CAPITAL GROUP COMPANIES INC Capital Group workplace safety or health violation 2005 OSHA $5,000
Vitol S.A., Inc. Vitol environmental violation 2005 EPA $41,600
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2005 MSHA $7,200
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2005 MSHA $5,300
BUSEY BANK First Busey Corp. banking violation 2006 FDIC $5,200
THE RICHLAND TRUST COMPANY Park National Corp. banking violation 2006 FDIC $11,100
Crawford and Company Crawford & Co. False Claims Act and related 2006 DOJ_CIVIL $1,363,204
Prudential Equity Group LLC Prudential Financial investor protection violation 2006 DOJ_CRIMINAL $600,000,000
BankAtlantic Truist Financial anti-money-laundering deficiencies 2006 DOJ_CRIMINAL $10,000,000
Williams Power Company Inc. JPMorgan Chase data submission deficiencies 2006 DOJ_CRIMINAL $50,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2006 DOJ_CRIMINAL $25,000,000
ABN AMRO Bank, N.V. ABN AMRO economic sanction violation 2006 OFAC $40,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2006 OCC $125,000
First National Bank of Omaha First National of Nebraska banking violation 2006 OCC $25,000
Seacoast National Bank Seacoast Banking Corporation of Florida banking violation 2006 OCC $16,500
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. insider trading 2006 SEC $3,755,839
Hartford Financial Services Group, Inc. Hartford Financial Services investor protection violation 2006 SEC $55,000,000
Doral Financial Corporation Doral Financial accounting fraud or deficiencies 2006 SEC $25,000,000
Morgan Stanley & Co. Morgan Stanley investor protection violation 2006 SEC $10,000,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2006 SEC $125,000
Banc of America Securities LLC Bank of America investor protection violation 2006 SEC $750,000
Bear, Stearns & Co., Inc. JPMorgan Chase investor protection violation 2006 SEC $1,500,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2006 SEC $1,500,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2006 SEC $1,500,000
J.P. Morgan Securities, Inc. JPMorgan Chase investor protection violation 2006 SEC $1,500,000
Lehman Brothers Inc. Lehman Brothers investor protection violation 2006 SEC $1,500,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2006 SEC $1,500,000
Morgan Keegan & Company, Inc. Raymond James Financial investor protection violation 2006 SEC $125,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2006 SEC $1,500,000
Piper Jaffray & Co. Piper Sandler investor protection violation 2006 SEC $125,000
RBC Dain Rauscher Inc Royal Bank of Canada investor protection violation 2006 SEC $1,500,000
SunTrust Capital Markets Inc. Truist Financial investor protection violation 2006 SEC $125,000
Wachovia Capital Markets, LLC Wells Fargo investor protection violation 2006 SEC $125,000
Federal National Mortgage Association (Fannie Mae) Fannie Mae accounting fraud or deficiencies 2006 SEC $400,000,000
Morgan Stanley & Co. Morgan Stanley data submission deficiencies 2006 SEC $10,000,000
Bear, Stearns & Co., Inc. JPMorgan Chase investor protection violation 2006 SEC $250,000,000
American International Group, Inc. American International Group investor protection violation 2006 SEC $800,000,000
Israel Discount Bank Israel Discount Bank anti-money-laundering deficiencies 2006 FINCEN $12,000,000
CitiMortgage, Inc. Citigroup consumer protection violation 2006 HUD $650,000
Fifth Third Bank Fifth Third Bancorp discriminatory practices (non-employment) 2006 HUD $125,000
ABN AMRO Mortgage Group ABN AMRO mortgage abuses 2006 HUD $41,000,000
FRED ALGER & COMPANY, INCORPORATED Alger Associates benefit plan administrator violation 2006 EBSA $10,001
HORACE MANN SERVICE CORPORATION Horace Mann Educators Corp. benefit plan administrator violation 2006 EBSA $10,001
LAVA TRADING INC. Citigroup benefit plan administrator violation 2006 EBSA $50,001
JPMorgan Chase & Co. JPMorgan Chase employment discrimination 2006 EEOC $2,200,000
Wells Fargo Bank Wells Fargo Family and Medical Leave Act 2006 WHD $5,152
Banco Bilbao Vizcaya Puerto Rico Banco Bilbao Vizcaya Argentaria wage and hour violation 2006 WHD $31,571
U.S. Bancorp U.S. Bancorp wage and hour violation 2006 WHD $140,788
The First American Title Company First American Financial wage and hour violation 2006 WHD $72,363
TIAA - CREF TIAA wage and hour violation 2006 WHD $468,336
HSBC North America Inc HSBC wage and hour violation 2006 WHD $5,357
HSBC North America Inc. HSBC wage and hour violation 2006 WHD $11,489
HSBC North America Inc. HSBC wage and hour violation 2006 WHD $12,685
HSBC North America Inc. HSBC wage and hour violation 2006 WHD $8,273
AXA Equitable Life Insurance Company Equitable Holdings 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. Macquarie investor protection violation 2006 SEC $50,000,000
Metropolitan Life Insurance Company MetLife investor protection violation 2006 SEC $250,000
New England Securities Corp. MetLife investor protection violation 2006 SEC $2,614,865
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
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
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)