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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)
Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
American International Group, Inc. American International Group price-fixing or anti-competitive practices 2008 MULTI-AG $12,500,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2003 MULTI-FIN (*) $12,500,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2016 FINRA $12,500,000
Morgan Stanley & Co. Morgan Stanley investor protection violation 2007 FINRA $12,500,000
Knight Securities, L.P. Virtu Financial investor protection violation 2004 FINRA $12,500,000
Allianz SE Allianz Foreign Corrupt Practices Act 2012 SEC $12,396,423
Wachovia Corporation Wells Fargo benefit plan administrator violation 2011 private lawsuit-federal $12,350,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2005 FINRA $12,300,000
Interactive Brokers LLC Interactive Brokers Group anti-money-laundering deficiencies 2020 CFTC $12,206,214
H&R Block H&R Block consumer protection violation 2010 NY-AG $12,150,000
BlackRock Advisors LLC BlackRock investor protection violation 2015 SEC $12,000,000
Goldman Sachs & Co. Goldman Sachs illicit political contributions 2012 SEC $12,000,000
Capital One N.A. Capital One Financial Servicemembers Civil Relief Act 2012 DOJ_RIGHTS $12,000,000
State Street Bank and Trust Company State Street Corp. illicit political contributions 2016 SEC $12,000,000
Israel Discount Bank Israel Discount Bank anti-money-laundering deficiencies 2006 FINCEN $12,000,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2015 private lawsuit-federal $12,000,000
Old Republic Title Old Republic International wage and hour violation 2014 private lawsuit-federal $12,000,000
Merrill Lynch Bank of America wage and hour violation 2013 private lawsuit-federal $12,000,000
A.G. Edwards Wells Fargo wage and hour violation 2009 private lawsuit-federal $12,000,000
Knight Capital Americas LLC Virtu Financial investor protection violation 2013 SEC $12,000,000
Commerzbank AG Commerzbank investor protection violation 2018 CFTC $12,000,000
Allianz Asset Management of America, L.P. Allianz benefit plan administrator violation 2018 private lawsuit-federal $12,000,000
FMR LLC Fidelity Investments benefit plan administrator violation 2014 private lawsuit-federal $12,000,000
Wells Fargo Bank Wells Fargo employment screening violation 2016 private lawsuit-federal $12,000,000
Fannie Mae Fannie Mae consumer protection violation 2008 NY-AG $12,000,000
Freddie Mac Freddie Mac (Federal Home Loan Mortgage Corporation) consumer protection violation 2008 NY-AG $12,000,000
American International Group American International Group insurance violation 2021 NY-DFS $12,000,000
UBS Securities LLC UBS investor protection violation 2011 FINRA $12,000,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2018 CFPB $11,790,000
Allstate Corporation Allstate discriminatory practices (non-employment) 2007 private lawsuit-federal $11,720,000
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2019 SEC $11,715,395
CashCall, Inc. CashCall Inc. consumer protection violation 2016 MN-AG $11,700,000
State Street Bank State Street Corp. investor protection violation 2010 WA-AG $11,700,000
LPL Financial LLC LPL Financial investor protection violation 2015 FINRA $11,700,000
IBERIABANK First Horizon National False Claims Act and related 2017 DOJ_CIVIL $11,692,149
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2021 FINRA $11,650,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz investor protection violation 2004 SEC $11,600,000
Ocwen Financial Corporation Ocwen Financial mortgage abuses 2020 FL-AG $11,600,000
Willis Group Willis Towers Watson employment discrimination 2011 private lawsuit-federal $11,595,038
Citizens Financial Group Citizens Financial Group wage and hour violation 2014 private lawsuit-federal $11,501,500
DB Structured Products, Inc. Deutsche Bank toxic securities abuses 2013 NV-AG $11,500,000
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2020 SEC $11,500,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2017 FINRA $11,500,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLC Prudential Financial investor protection violation 2004 FINRA $11,500,000
AmSouth Bank Regions Financial investor protection violation 2008 SEC $11,400,000
Pruco Securities, LLC Prudential Financial investor protection violation 2012 FINRA $11,250,000
Transamerica Insurance Co. Aegon insurance violation 2013 MULTI-AG $11,200,000
Wells Fargo Securities LLC Wells Fargo toxic securities abuses 2011 SEC $11,000,000
Prudential Financial Prudential Financial wage and hour violation 2009 private lawsuit-federal $11,000,000
Comerica Incorporated Comerica benefit plan administrator violation 2013 private lawsuit-federal $11,000,000
Mid-Century Insurance Co. of Texas Zurich Insurance insurance violation 2000 TX-INS $11,000,000
American International Group American International Group insurance violation 2012 MULTI-FIN $11,000,000
Conseco Life Insurance Company CNO Financial insurance violation 2010 MULTI-FIN $11,000,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2012 FINRA (*) $11,000,000
Barclays Bank PLC Barclays insider trading 2007 SEC $10,943,561
New York Life Insurance & Annuity Corporation New York Life Insurance consumer protection violation 2021 NY-DFS $10,929,000
Wells Fargo Bank Wells Fargo wage and hour violation 2020 private lawsuit-federal $10,928,870
Merrill Lynch Bank of America investor protection violation 2015 SEC $10,900,000
Travelers Insurance Company Travelers False Claims Act and related 2004 USAO $10,900,000
Fidelity Management Trust Company Fidelity Investments benefit plan administrator violation 2007 private lawsuit-federal $10,850,000
UBS Financial Services, Inc. UBS investor protection violation 2011 FINRA $10,750,000
ING Life Insurance and Annuity Company Voya Financial insurance violation 2013 MULTI-AG $10,700,000
Bankers Life and Casualty Company and BLC Financial Services, Inc. CNO Financial investor protection violation 2012 MULTI-FIN $10,641,000
BancorpSouth Bank BancorpSouth mortgage abuses 2016 CFPB $10,600,000
EZCORP Inc. EZCORP Inc. consumer protection violation 2015 CFPB $10,500,000
HSBC Bank USA, N.A. HSBC investor protection violation 2007 SEC $10,500,000
Aon Aon wage and hour violation 2011 private lawsuit-state $10,500,000
Citigroup Citigroup accounting fraud or deficiencies 2018 SEC $10,500,000
Travelers Companies Travelers insurance violation 2012 CA-INS $10,500,000
State Farm Insurance Group State Farm Insurance insurance violation 2020 NY-DFS $10,443,700
BBVA Suiza S.A. Banco Bilbao Vizcaya Argentaria tax violations 2015 DOJ_TAX $10,390,000
AmTrust Financial Services Inc. AmTrust Financial Services investor protection violation 2020 SEC $10,300,000
Invesco Trust Company Invesco benefit plan administrator violation 2016 EBSA $10,270,000
1st Financial Bank USA 1st Financial Bank USA banking violation 2010 FDIC $10,140,000
Allianz Life Insurance Company of North America Allianz insurance violation 2008 CA-INS $10,050,000
U.S. Bank National Association U.S. Bancorp banking violation 2016 OCC $10,000,000
RBS Citizens, National Association Citizens Financial Group banking violation 2015 OCC $10,000,000
TCF National Bank Huntington Bancshares banking violation 2013 OCC $10,000,000
TD Ameritrade Inc. Charles Schwab Corp. investor protection violation 2011 SEC $10,000,000
HSBC HSBC mortgage abuses 2014 USAO $10,000,000
Merrill Lynch Bank of America investor protection violation 2016 SEC $10,000,000
Merrill Lynch Bank of America investor protection violation 2011 SEC $10,000,000
Santander Bank, N.A. Banco Santander consumer protection violation 2016 CFPB $10,000,000
MF Global Inc. MF Global investor protection violation 2009 CFTC $10,000,000
BankAtlantic Truist Financial anti-money-laundering deficiencies 2006 DOJ_CRIMINAL $10,000,000
Bank of China Bank of China banking violation 2002 OCC $10,000,000
Morgan Stanley & Co. Morgan Stanley investor protection violation 2006 SEC $10,000,000
Morgan Stanley & Co. Morgan Stanley data submission deficiencies 2006 SEC $10,000,000
Southwest Securities, Inc. Hilltop Holdings investor protection violation 2005 SEC $10,000,000
Banc of America Securities LLC Bank of America investor protection violation 2004 SEC $10,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2003 SEC $10,000,000
AmSouth Regions Financial anti-money-laundering deficiencies 2004 FINCEN $10,000,000
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC Nasdaq Inc. investor protection violation 2013 SEC $10,000,000
BMO Harris Bank, N.A. Bank of Montreal fraud 2018 USAO $10,000,000
Metropolitan Life MetLife employment discrimination 2003 private lawsuit-federal $10,000,000
State Street Corporation State Street Corp. benefit plan administrator violation 2014 private lawsuit-federal $10,000,000
Merrill Lynch Bank of America benefit plan administrator violation 2012 private lawsuit-federal $10,000,000
Bear Stearns Companies, Inc. JPMorgan Chase benefit plan administrator violation 2012 private lawsuit-federal $10,000,000
Allianz Life Insurance Company of North America Allianz insurance violation 2012 MULTI-AG $10,000,000
CIT Group/Equipment Financing, Inc. CIT consumer protection violation 2005 MULTI-AG $10,000,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2018 NY-AG (*) $10,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)