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)
Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
Blackrock Fund Advisors BlackRock investor protection violation 2017 SEC $1,500,000
BlackRock Inc. BlackRock investor protection violation 2017 SEC $340,000
BlackRock Institutional Trust Company BlackRock investor protection violation 2014 SEC $1,675,350
BlackRock Institutional Trust Company NA BlackRock investor protection violation 2012 CFTC $250,000
Blue Shield of California California Physicians' Service insurance violation 2008 CA-MHC $5,000,000
Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $900,000
Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $350,000
Blue Shield of California Life & Health Insurance Co. California Physicians' Service insurance violation 2009 CA-INS $285,000
Blue Shield of California Promise Health Plan California Physicians' Service Medicare Parts C and D Enforcement Action 2020 CMS $148,506
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2012 CA-MHC $50,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2013 CA-MHC $120,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2013 CA-MHC $5,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2014 CA-MHC $75,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2014 CA-MHC $9,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2016 CA-MHC $5,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2017 CA-MHC $7,500
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2017 CA-MHC $20,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2019 CA-MHC $65,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2019 CA-MHC $10,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2019 CA-MHC $150,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2019 CA-MHC $20,000
BMO Capital Markets Corp. Bank of Montreal investor protection violation 2019 SEC $1,950,000
BMO Capital Markets Corp. Bank of Montreal investor protection violation 2008 FINRA $150,000
BMO Capital Markets Corporation Bank of Montreal investor protection violation 2019 SEC $3,946,000
BMO Capital Markets GKST Inc. Piper Sandler investor protection violation 2015 SEC $250,000
BMO Financial Bank of Montreal wage and hour violation 2016 private lawsuit-federal $700,000
BMO Financial Bank of Montreal wage and hour violation 2015 private lawsuit-federal $3,900,000
BMO Harris Bank Bank of Montreal employment discrimination 2013 EEOC $400,000
BMO Harris Bank N.A. Bank of Montreal Family and Medical Leave Act 2015 WHD $11,304
BMO Harris Bank, N.A. Bank of Montreal fraud 2018 USAO $10,000,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. Bank of Montreal investor protection violation 2019 SEC $37,980,000
BNP Paribas BNP Paribas False Claims Act and related 2014 DOJ_CIVIL $80,000,000
BNP Paribas BNP Paribas economic sanction violation 2014 NY-DFS $2,240,000,000
BNP Paribas (Suisse) SA BNP Paribas tax violations 2015 DOJ_TAX $59,783,000
BNP Paribas Commodity Futures, Ltd. BNP Paribas data submission deficiencies 2008 CFTC $25,000
BNP Paribas S.A. BNP Paribas economic sanction violation 2015 DOJ_CRIMINAL $8,973,600,000
BNP Paribas S.A. BNP Paribas foreign exchange market manipulation 2017 FED $246,000,000
BNP Paribas S.A. BNP Paribas economic sanction violation 2014 NY-MANDA (*) $2,243,400,000
BNP Paribas S.A. BNP Paribas foreign exchange market manipulation 2017 NY-DFS $350,000,000
BNP Paribas Securities BNP Paribas investor protection violation 2015 CFTC $140,000
BNP Paribas Securities Corp. BNP Paribas interest rate benchmark manipulation 2018 CFTC $90,000,000
BNP Paribas Securities Corp. BNP Paribas investor protection violation 2020 SEC $250,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. BNP Paribas anti-money-laundering deficiencies 2019 FINRA $15,000,000
BNP Paribas USA Inc. BNP Paribas foreign exchange market manipulation 2018 DOJ_ANTITRUST $90,000,000
BNY Mellon Bank of New York Mellon Foreign Corrupt Practices Act 2015 SEC $14,800,000
BNY Mellon Bank of New York Mellon investor protection violation 2017 SEC $6,600,000
BNY Mellon Capital Markets LLC Bank of New York Mellon investor protection violation 2011 TX-SEC $500,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon investor protection violation 2015 SEC $120,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon investor protection violation 2008 FINRA $250,000
BNY Mellon Securities LLC Bank of New York Mellon investor protection violation 2011 SEC $24,045,447
BNY Mellon Shareowner Services Bank of New York Mellon investor protection violation 2010 MA-AG $30,000
BOK Financial Corporation BOK Financial investor protection violation 2016 SEC $1,667,720
BOK Financial Corporation dba the Bank of Albuquerque BOK Financial employment discrimination 2014 EEOC $230,000
Bok Financial Securities, Inc. BOK Financial investor protection violation 2019 SEC $197,801
BOK Financial Securities, Inc. BOK Financial insurance violation 2020 CA-INS $5,000
BOWIE REFINED COAL LLC Trafigura environmental violation 2018 KY-ENV $12,200
BOWIE REFINED COAL LLC Trafigura environmental violation 2017 KY-ENV $45,000
Bowie Refined Coal, LLC Trafigura workplace safety or health violation 2013 MSHA $5,000
Bowie Refined Coal, LLC Trafigura workplace safety or health violation 2017 MSHA $8,094
Bowie Refined Coal, LLC Trafigura workplace safety or health violation 2020 MSHA $5,469
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,188
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $9,288
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $7,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,961
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,503
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,745
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,996
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,080
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $15,971
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $11,600
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $18,800
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $25,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,503
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,705
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $40,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,188
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $40,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,460
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $9,882
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $6,153
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $10,500
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $5,300
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $9,882
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $40,180
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $50,457
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $16,362
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $9,122
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $6,458
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $10,705
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $5,900
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $5,600
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $21,000
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $9,500
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $7,774
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $10,705
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $5,600
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $15,000
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $5,600
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $15,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)