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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$323,889,987,491
Number of Records: 
5,839
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$82,695,676,034210
JPMorgan Chase$34,517,828,993151
Citigroup$25,045,655,764120
Wells Fargo$21,139,073,231172
Deutsche Bank$17,995,700,77855
UBS$16,782,800,91082
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,332,95016
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.
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Company Parent Primary Offense Type Year Agencysort icon Penalty Amount
Union Bancaire Privee Union Bancaire Privee tax violations 2016 DOJ_TAX $187,000,000
Coutts & Co Ltd Royal Bank of Scotland tax violations 2015 DOJ_TAX $78,484,000
Credit Agricole (Suisse) SA Credit Agricole tax violations 2015 DOJ_TAX $99,211,000
Deutsche Bank (Suisse) SA Deutsche Bank tax violations 2015 DOJ_TAX $31,026,000
BNP Paribas (Suisse) SA BNP Paribas tax violations 2015 DOJ_TAX $59,783,000
Standard Chartered Bank (Switzerland) SA, en liquidation Standard Chartered tax violations 2015 DOJ_TAX $6,337,000
BBVA Suiza S.A. Banco Bilbao Vizcaya Argentaria tax violations 2015 DOJ_TAX $10,390,000
Societe Generale Private Banking (Suisse) SA Societe Generale tax violations 2015 DOJ_TAX $17,807,000
Societe Generale Private Banking (Lugano-Svizzera) Societe Generale tax violations 2015 DOJ_TAX $1,363,000
BSI SA BSI SA tax violations 2015 DOJ_TAX $211,000,000
Bank Leumi Group Bank Leumi tax violations 2014 DOJ_TAX $270,000,000
Credit Suisse AG Credit Suisse tax violations 2014 DOJ_TAX $1,800,000,000
Wegelin & Co Wegelin & Co tax violations 2013 DOJ_TAX $74,000,000
UBS AG UBS tax violations 2009 DOJ_TAX $780,000,000
Zurich Life Insurance Company Ltd Zurich Insurance tax violations 2019 DOJ_TAX $5,115,000
Union Bancaire Privee, UBP SA Union Bancaire Privee tax violations 2020 DOJ_TAX $14,000,000
Coutts & Co Ltd. Royal Bank of Scotland tax violations 2019 DOJ_TAX $27,900,000
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd. Bank Hapoalim tax violations 2020 DOJ_TAX $616,910,000
JPMorgan Chase Bank N.A. JPMorgan Chase bankruptcy professional violation 2015 DOJ_UTP $50,000,000
Citibank N.A. Citigroup bankruptcy professional violation 2018 DOJ_UTP $5,000,000
Wells Fargo Bank N.A. Wells Fargo bankruptcy professional violation 2015 DOJ_UTP $81,600,000
Capital One Bank (USA) N.A. Capital One Financial bankruptcy professional violation 2011 DOJ_UTP $2,350,000
FIRST NIAGARA FINANCIAL GROUP, INC. KeyCorp benefit plan administrator violation 2011 EBSA $10,001
FIRST NBC BANK Hancock Whitney Corp. benefit plan administrator violation 2011 EBSA $10,001
E*Trade Group, Inc. E-Trade Financial benefit plan administrator violation 2008 EBSA $50,001
FRED ALGER & COMPANY, INCORPORATED Alger Associates benefit plan administrator violation 2007 EBSA $50,001
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
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLAN American International Group benefit plan administrator violation 2005 EBSA $50,001
Wachovia National Bank, N.A. Wells Fargo benefit plan administrator violation 2000 EBSA $30,000,000
Harris N.A. Bank of Montreal benefit plan administrator violation 2007 EBSA $274,600
Bank of Hawaii Bank of Hawaii benefit plan administrator violation 2009 EBSA $2,500,000
First Hawaiian Bank BNP Paribas benefit plan administrator violation 2009 EBSA $2,500,000
Independent Bank Independent Bank Corp. (Michigan) benefit plan administrator violation 2011 EBSA $95,700
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America benefit plan administrator violation 2011 EBSA $170,854
Morgan Keegan and Co. Inc. Raymond James Financial benefit plan administrator violation 2012 EBSA $633,715
ING Life Insurance and Annuity Co. Voya Financial benefit plan administrator violation 2013 EBSA $5,200,000
Western Asset Management Company Legg Mason benefit plan administrator violation 2014 EBSA $21,000,000
Bank of New York Mellon Bank of New York Mellon benefit plan administrator violation 2015 EBSA $84,000,000
Invesco Trust Company Invesco benefit plan administrator violation 2016 EBSA $10,270,000
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2018 EBSA $10,001
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2019 EBSA $10,001
Wilmington Trust, N.A. M&T Bank benefit plan administrator violation 2020 EBSA $88,000,000
Vanguard Group Vanguard Group employment discrimination 2010 EEOC $300,000
Branch Banking and Trust (BB&T) Truist Financial employment discrimination 2010 EEOC $24,000
Mercury Air Centers Inc. Macquarie employment discrimination 2010 EEOC $600,000
Bank of the West BNP Paribas employment discrimination 2011 EEOC $48,000
Vitol, Inc. Vitol employment discrimination 2012 EEOC $62,500
BMO Harris Bank Bank of Montreal employment discrimination 2013 EEOC $400,000
Regions Financial Corporation Regions Financial employment discrimination 2013 EEOC $95,000
JPMorgan Chase JPMorgan Chase employment discrimination 2014 EEOC $1,450,000
BOK Financial Corporation dba the Bank of Albuquerque BOK Financial employment discrimination 2014 EEOC $230,000
SunTrust Bank Truist Financial employment discrimination 2014 EEOC $300,000
Wells Fargo Bank, N.A. Wells Fargo employment discrimination 2014 EEOC $290,000
Wells Fargo & Company Wells Fargo employment discrimination 2014 EEOC $295,000
Bank of America Bank of America employment discrimination 2014 EEOC $110,000
Bank of America Bank of America employment discrimination 2016 EEOC $30,000
Farmers Insurance Exchange Farmers Insurance Exchange employment discrimination 2016 EEOC $225,000
Allstate Insurance Company Allstate employment discrimination 2009 EEOC $4,500,000
Merrill Lynch Bank of America employment discrimination 2008 EEOC $1,550,000
Vanguard Group, Inc. Vanguard Group employment discrimination 2008 EEOC $500,000
JPMorgan Chase & Co. JPMorgan Chase employment discrimination 2006 EEOC $2,200,000
Morgan Stanley Morgan Stanley employment discrimination 2004 EEOC $54,000,000
Salomon Smith Barney Morgan Stanley employment discrimination 2001 EEOC $635,000
Josephthal & Co. Oppenheimer Holdings employment discrimination 2000 EEOC $330,000
Brown & Brown Brown & Brown employment discrimination 2017 EEOC $100,000
Wilmington Trust Corporation M&T Bank employment discrimination 2018 EEOC $700,000
Zenith Insurance Co. Fairfax Financial Holdings employment discrimination 2006 EEOC $180,000
Fifth Third Bank Fifth Third Bancorp employment discrimination 2004 EEOC $225,000
Wilmington Trust Co. M&T Bank employment discrimination 2004 EEOC $70,000
Wells Fargo Financial Texas, Inc. Wells Fargo employment discrimination 2003 EEOC $110,000
M&T Bank M&T Bank employment discrimination 2020 EEOC $100,000
Jackson National Life Insurance Company Prudential (UK) employment discrimination 2020 EEOC $20,500,000
American Security Insurance Company Assurant employment discrimination 2020 EEOC $49,000
Chemoil Corporation Glencore environmental violation 2016 EPA $27,000,000
WHEELABRATOR NORWALK ENERGY CO Macquarie environmental violation 2009 EPA $7,500
CHEMOIL TERMINALS CORPORATION Glencore environmental violation 2009 EPA $190,000
BOWIE RESOURCES LLC (CO0044776) CIVIL PENALTY ORDER Trafigura environmental violation 2018 EPA $50,000
UBS UBS environmental violation 2011 EPA $20,000
WHEELABRATOR LISBON INC. Macquarie environmental violation 2013 EPA $9,350
WHEELABRATOR SOUTH BROWARD, INC 120110211900314 Macquarie environmental violation 2005 EPA $14,450
LOUIS DREYFUS CITRUS, INC. Louis Dreyfus environmental violation 2006 EPA $7,200
LOUIS DREYFUS CITRUS, INC. Louis Dreyfus environmental violation 2010 EPA $15,600
LOUIS DREYFUS CITRUS, INC. Louis Dreyfus environmental violation 2000 EPA $14,150
WHEELABRATOR RIDGE ENERGY INC. 121050021600035 Macquarie environmental violation 2004 EPA $5,000
IMPERIAL SAVANNAH, LP Louis Dreyfus environmental violation 2011 EPA $80,000
IMPERIAL SAVANNAH, LP Louis Dreyfus environmental violation 2014 EPA $14,750
IMPERIAL-SAVANNAH, L.P. Louis Dreyfus environmental violation 2012 EPA $6,000
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LL 180850010200063 Louis Dreyfus environmental violation 2011 EPA $103,750
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LL 180850010200073 Louis Dreyfus environmental violation 2013 EPA $7,750
NOBLE AMERICAS SOUTH BEND ETHANOL LLC Vitol environmental violation 2004 EPA $220,000
NOBLE AMERICAS SOUTH BEND ETHANOL LLC Vitol environmental violation 2008 EPA $92,500
NOBLE AMERICAS SOUTH BEND ETHANOL LLC Vitol environmental violation 2009 EPA $6,250
NOBLE AMERICAS SOUTH BEND ETHANOL LLC Vitol environmental violation 2011 EPA $26,000
NOBLE AMERICAS SOUTH BEND ETHANOL LLC Vitol environmental violation 2011 EPA $5,000
NOBLE AMERICAS SOUTH BEND ETHANOL LLC Vitol environmental violation 2012 EPA $313,666
NOBLE AMERICAS SOUTH BEND ETHANOL LLC Vitol environmental violation 2017 EPA $55,200
BOWIE REFINED COAL LLC Trafigura environmental violation 2018 EPA $256,000
CLECO POWER LLC - DOLET HILLS POWER STATION Macquarie environmental violation 2009 EPA $22,841
CLECO - BRAME ENERGY CENTER Macquarie environmental violation 2009 EPA $22,841
INTERNATIONAL MATEX TANK TERMINALS - IMTT - ST ROSE Macquarie environmental violation 2004 EPA $40,000
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