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 Parentsort icon Primary Offense Type Year Agency Penalty Amount
Bank of New York Bank of New York Mellon economic sanction violation 2003 OFAC $24,750
BNY Mellon Bank of New York Mellon investor protection violation 2017 SEC $6,600,000
Bank of New York Mellon Corporation Bank of New York Mellon banking violation 2017 FED $3,000,000
The Bank of New York Bank of New York Mellon anti-money-laundering deficiencies 2005 USAO $38,000,000
Bank of New York Mellon (Shanghai Branch) Bank of New York Mellon export control violation 2011 BIS $30,000
BNY Mellon Securities LLC Bank of New York Mellon investor protection violation 2011 SEC $24,045,447
Bank of New York Mellon Bank of New York Mellon benefit plan administrator violation 2015 EBSA $84,000,000
Bank of New York Mellon Bank of New York Mellon banking violation 2018 FED $16,000
The Bank Of New York Bank of New York Mellon investor protection violation 2007 SEC $750,000
BANK OF NEW YORK MELLON - 101 BARCLAY Bank of New York Mellon environmental violation 2005 EPA $15,000
Dreyfus Corporation Bank of New York Mellon investor protection violation 2000 SEC $950,000
Bank of New York Mellon Corporation Bank of New York Mellon benefit plan administrator violation 2015 private lawsuit-federal $335,000,000
Bank of New York Mellon Corporation Bank of New York Mellon benefit plan administrator violation 2009 private lawsuit-federal $2,200,000
Bank of New York Mellon Bank of New York Mellon investor protection violation 2018 SEC $54,000,000
Bank of New York Mellon Bank of New York Mellon investor protection violation 2013 FL-AG $28,000,000
Bank of New York Mellon Bank of New York Mellon employment discrimination 2010 NJ-AG $188,037
Bank of New York Mellon Bank of New York Mellon banking violation 2015 NY-AG $167,500,000
Bank of New York Mellon Corp. Bank of New York Mellon investor protection violation 2011 MULTI-AG $1,300,000
BNY Mellon Shareowner Services Bank of New York Mellon investor protection violation 2010 MA-AG $30,000
Dreyfus Corporation Bank of New York Mellon investor protection violation 2000 NY-AG $2,000,000
Bank of New York Mellon Bank of New York Mellon investor protection violation 2019 CFTC $750,000
Mellon Bank N.A. Bank of New York Mellon False Claims Act and related 2006 USAO $18,130,405
BNY Mellon Capital Markets LLC Bank of New York Mellon investor protection violation 2011 TX-SEC $500,000
BARCLAYS BANK PLC Barclays foreign exchange market manipulation 2015 FED $342,000,000
Barclays PLC Barclays foreign exchange market manipulation 2015 DOJ_CRIMINAL $710,000,000
Barclays Bank PLC Barclays interest rate benchmark manipulation 2012 DOJ_CRIMINAL $160,000,000
Barclays Bank PLC Barclays economic sanction violation 2010 DOJ_CRIMINAL $298,000,000
Barclays Capital Inc. Barclays investor protection violation 2016 SEC $35,000,000
Barclays Capital Inc. Barclays investor protection violation 2014 SEC $15,000,000
Barclays Bank PLC Barclays toxic securities abuses 2014 FHFA $280,000,000
Barclays Capital Inc. Barclays toxic securities abuses 2015 NCUA $325,000,000
Barclays Barclays interest rate benchmark manipulation 2015 CFTC $400,000,000
Barclays Barclays interest rate benchmark manipulation 2015 CFTC $115,000,000
Barclays PLC Barclays interest rate benchmark manipulation 2012 CFTC $200,000,000
Barclays Bank PLC Barclays energy market manipulation 2017 FERC $105,000,000
Barclays Bank PLC Barclays economic sanction violation 2016 OFAC $2,485,890
Barclays Capital Inc. Barclays investor protection violation 2016 CFTC $800,000
Barclays Bank PLC Barclays investor protection violation 2016 CFTC $560,000
Barclays Bank PLC Barclays economic sanction violation 2004 OFAC $14,970
Barclays Bank PLC Barclays economic sanction violation 2003 OFAC $10,107
Barclays Bank PLC Barclays insider trading 2007 SEC $10,943,561
Barclays Bank PLC Barclays data submission deficiencies 2016 CFTC $500,000
Barclays Capital Inc. Barclays wage and hour violation 2009 WHD $9,707
Barclays Capital Barclays investor protection violation 2017 SEC $97,037,659
Barclays Capital Inc. Barclays investor protection violation 2017 SEC $12,710,040
Barclays Capital Inc. Barclays investor protection violation 2016 SEC $500,000
Barclays Capital, Inc. Barclays toxic securities abuses 2018 USAO $2,000,000,000
Barclays Bank PLC Barclays interest rate benchmark manipulation 2016 MULTI-AG $100,000,000
Barclays Bank PLC Barclays toxic securities abuses 2013 MA-AG $36,100,000
Barclays Capital Inc. Barclays investor protection violation 2016 NY-AG $35,000,000
Barclays Capital Inc. Barclays toxic securities abuses 2016 VA-AG $9,000,000
Barclays PLC Barclays foreign exchange market manipulation 2018 DOJ_CRIMINAL $12,896,011
Barclays PLC Barclays Foreign Corrupt Practices Act 2019 SEC $6,308,726
Barclays plc Barclays economic sanction violation 2010 NY-MANDA (*) $149,000,000
Barclays Bank PLC Barclays foreign exchange market manipulation 2015 NY-DFS $485,000,000
Barclays Bank PLC Barclays foreign exchange market manipulation 2015 NY-DFS $150,000,000
Barclays Bank PLC Barclays workplace whistleblower retaliation 2018 NY-DFS $15,000,000
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. BC Capital Group investor protection violation 2016 CFTC $490,246,741
BCS Insurance Company BCS Financial Corporation insurance violation 2016 NY-DFS $100,000
BCS Insurance Company BCS Financial Corporation insurance violation 2017 MULTI-FIN $1,000,000
Health Insurance Innovations Inc. Benefytt Technologies insurance violation 2018 MULTI-FIN $3,400,000
Berthel Fisher & Company Berthel Fisher investor protection violation 2003 MN-FIN $10,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2007 MO-SEC $230,469
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2011 MO-SEC $5,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2013 MO-SEC $80,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2003 ND-SEC $12,303
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2004 ND-SEC $20,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2006 ND-SEC $8,000
Berthel, Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2007 NE-DBF $5,000
Berthel Fisher & Company Financial Services, Inc Berthel Fisher investor protection violation 2019 NH-BSR $415,407
BGC Financial, L.P. BGC Partners investor protection violation 2019 CFTC $3,000,000
BGC Financial, LP BGC Partners investor protection violation 2019 CFTC $15,000,000
GFI Securities, LLC BGC Partners investor protection violation 2019 CFTC $10,000,000
BGC Financial LP BGC Partners foreign exchange market manipulation 2019 NY-AG $7,500,000
GFI Securities LLC BGC Partners foreign exchange market manipulation 2019 NY-AG $5,000,000
GFI Securities LLC BGC Partners investor protection violation 2019 SEC $4,300,000
BlackRock Advisors LLC BlackRock investor protection violation 2015 SEC $12,000,000
BlackRock Institutional Trust Company NA BlackRock investor protection violation 2012 CFTC $250,000
BlackRock Institutional Trust Company BlackRock investor protection violation 2014 SEC $1,675,350
BlackRock Inc. BlackRock investor protection violation 2017 SEC $340,000
Blackrock Fund Advisors BlackRock investor protection violation 2017 SEC $1,500,000
Companion Life Insurance Co. BlueCross BlueShield of South Carolina insurance violation 2019 CO-INS $147,775
Companion Life Insurance Co. BlueCross BlueShield of South Carolina insurance violation 2016 DE-INS $487,000
Companion Life Insurance Co. BlueCross BlueShield of South Carolina insurance violation 2017 KS-INS $100,000
Companion Life Insurance Co. BlueCross BlueShield of South Carolina insurance violation 2012 MT-INS $12,500
Companion Life Insurance Company BlueCross BlueShield of South Carolina insurance violation 2013 NY-DFS $150,000
Companion Life Insurance Company BlueCross BlueShield of South Carolina insurance violation 2016 NY-DFS $146,485
Companion Life Insurance Co. BlueCross BlueShield of South Carolina insurance violation 2019 NY-DFS $648,122
Companion Life Insurance Company BlueCross BlueShield of South Carolina insurance violation 2017 SD-INS $40,000
COMPANION LIFE INSURANCE CO. BlueCross BlueShield of South Carolina insurance violation 2016 VA-INS $44,220
Companion Life Insurance Company BlueCross BlueShield of South Carolina insurance violation 2019 VT-FIN $1,656,000
BNP Paribas S.A. BNP Paribas economic sanction violation 2015 DOJ_CRIMINAL $8,973,600,000
BNP Paribas Securities BNP Paribas investor protection violation 2015 CFTC $140,000
BNP Paribas (Suisse) SA BNP Paribas tax violations 2015 DOJ_TAX $59,783,000
BNP Paribas BNP Paribas False Claims Act and related 2014 DOJ_CIVIL $80,000,000
BNP Paribas Commodity Futures, Ltd. BNP Paribas data submission deficiencies 2008 CFTC $25,000
Bank of the West BNP Paribas employment discrimination 2011 EEOC $48,000
Bank of the West BNP Paribas wage and hour violation 2015 WHD $33,750
BNP Paribas S.A. BNP Paribas foreign exchange market manipulation 2017 FED $246,000,000
BNP Paribas USA Inc. BNP Paribas foreign exchange market manipulation 2018 DOJ_ANTITRUST $90,000,000
BNP Paribas Securities Corp. BNP Paribas interest rate benchmark manipulation 2018 CFTC $90,000,000
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