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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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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CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
Hartford Life Insurance CompanyHartford Financial Servicesbenefit plan administrator violation2010private lawsuit-federal$13,775,000
Barclays Capital, Inc.Barclaysinvestor protection violation2015FINRA$13,750,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2023private lawsuit-federal$13,750,000
Merrill LynchBank of Americatoxic securities abuses2008MA-AG$13,700,000
E-Loan Inc.Popular Inc.wage and hour violation2007private lawsuit-federal$13,600,000
Bank of AmericaBank of Americafraud2010DC-AG$13,502,852
Metropolitan Life Insurance CompanyMetLifekickbacks and bribery2010USAO$13,500,000
LaSalle BankBank of Americabenefit plan administrator violation2011private lawsuit-federal$13,500,000
US BankU.S. Bancorphousing code violation2016CA-LACA$13,500,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2015FINRA$13,500,000
Citigroup Inc.Citigroupconsumer protection violation2016private lawsuit-federal$13,500,000
First National Bank of PennsylvaniaF.N.B. Corporationmortgage abuses2024NC-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $13,500,000
First National Bank of PennsylvaniaF.N.B. Corporationdiscriminatory practices (non-employment)2024DOJ_RIGHTS$13,500,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2019private lawsuit-federal$13,460,000
State FarmState Farm Insuranceinsurance violation2017CA-INS$13,335,701
Fidelity National Title Insurance Co. et al.Fidelity National Financialinsurance violation2005CA-INS$13,300,000
John Hancock Life Insurance CompanyManulife Financialinsurance violation2012MULTI-FIN$13,300,000
Mizuho Bank LtdMizuho Financialprice-fixing or anti-competitive practices2019private lawsuit-federal$13,083,333
Norinchukin BankNorinchukin Bankprice-fixing or anti-competitive practices2019private lawsuit-federal$13,083,333
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2017FINRA$13,030,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2017SEC$13,000,000
Mastercard International Inc.MasterCardconsumer protection violation2017CFPB$13,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaanti-money-laundering deficiencies2017SEC$13,000,000
Wells FargoWells Fargowage and hour violation2017private lawsuit-state$13,000,000
Bank of AmericaBank of Americafraud2016DC-AG$13,000,000
CashCall Inc.CashCall Inc.consumer protection violation2015WV-AG$13,000,000
American Express Financial AdvisorsAmeriprise Financialinvestor protection violation2005FINRA$13,000,000
Royal Bank of Scotland GroupNatWest Group PLCprice-fixing or anti-competitive practices2020private lawsuit-federal$13,000,000
GMAC Mortgage LLCAlly Financialconsumer protection violation2016private lawsuit-federal$13,000,000
Associated Bank N.A.Associated Banc-Corpconsumer protection violation2013private lawsuit-federal$13,000,000
Capital One N.A.Capital One Financialconsumer protection violation2021private lawsuit-federal$13,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2023private lawsuit-federal$13,000,000
Dain Rauscher IncorporatedRoyal Bank of Canadainvestor protection violation2000SEC$12,941,191
Citigroup Global Markets Inc.Citigroupinvestor protection violation2018SEC$12,937,475
Barclays PLCBarclaysprice-fixing or anti-competitive practices2018DOJ_CRIMINAL$12,896,011
Wells FargoWells Fargowage and hour violation2007private lawsuit-federal$12,800,000
Willis GroupWillis Towers Watsonemployment discrimination2008private lawsuit-federal$12,757,949
Barclays Capital Inc.Barclaysinvestor protection violation2017SEC$12,710,040
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2013MULTI-AG$12,600,000
HSBC Private Bank (Suisse)HSBCinvestor protection violation2014SEC$12,500,000
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2004SEC$12,500,000
Merrill LynchBank of Americainvestor protection violation2016SEC$12,500,000
Prudential FinancialPrudential Financialwage and hour violation2017private lawsuit-federal$12,500,000
Bank of ChinaBank of Chinabanking violation2018OCC$12,500,000
American International Group, Inc.American International Groupprice-fixing or anti-competitive practices2008MULTI-AG$12,500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $12,500,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2016FINRA$12,500,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2007FINRA$12,500,000
Knight Securities, L.P.Virtu Financialinvestor protection violation2004FINRA$12,500,000
Bank of Nova ScotiaScotiabankprice-fixing or anti-competitive practices2022private lawsuit-federal$12,500,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2022private lawsuit-federal$12,500,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2022private lawsuit-federal$12,500,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2013private lawsuit-federal$12,500,000
Raymond James & Associates, Inc. et al.Raymond James Financialinvestor protection violation2023MULTI-FIN$12,450,000
Allianz SEAllianzForeign Corrupt Practices Act2012SEC$12,396,423
Wachovia CorporationWells Fargobenefit plan administrator violation2011private lawsuit-federal$12,350,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005FINRA$12,300,000
Interactive Brokers LLCInteractive Brokers Groupanti-money-laundering deficiencies2020CFTC$12,206,214
H&R BlockH&R Blockconsumer protection violation2010NY-AG$12,150,000
BlackRock Advisors LLCBlackRockinvestor protection violation2015SEC$12,000,000
Goldman Sachs & Co.Goldman Sachsillicit political contributions2012SEC$12,000,000
Capital One N.A.Capital One Financialconsumer protection violation2012DOJ_RIGHTS$12,000,000
State Street Bank and Trust CompanyState Street Corp.illicit political contributions2016SEC$12,000,000
Israel Discount BankIsrael Discount Bankanti-money-laundering deficiencies2006FINCEN$12,000,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2015private lawsuit-federal$12,000,000
Old Republic TitleOld Republic Internationalwage and hour violation2014private lawsuit-federal$12,000,000
Merrill LynchBank of Americawage and hour violation2013private lawsuit-federal$12,000,000
A.G. EdwardsWells Fargowage and hour violation2009private lawsuit-federal$12,000,000
Knight Capital Americas LLCVirtu Financialinvestor protection violation2013SEC$12,000,000
Commerzbank AGCommerzbankinvestor protection violation2018CFTC$12,000,000
Allianz Asset Management of America, L.P.Allianzbenefit plan administrator violation2018private lawsuit-federal$12,000,000
FMR LLCFidelity Investmentsbenefit plan administrator violation2014private lawsuit-federal$12,000,000
Wells Fargo BankWells Fargoemployment screening violation2016private lawsuit-federal$12,000,000
Fannie MaeFannie Maeconsumer protection violation2008NY-AG$12,000,000
Freddie MacFreddie Mac (Federal Home Loan Mortgage Corporation)consumer protection violation2008NY-AG$12,000,000
American International GroupAmerican International Groupinsurance violation2021NY-DFS$12,000,000
UBS Securities LLCUBSinvestor protection violation2011FINRA$12,000,000
Encore Capital Group, Inc. et al.Encore Capital Groupconsumer protection violation2022MA-AG$12,000,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2022private lawsuit-federal$12,000,000
Bank of AmericaBank of Americaconsumer protection violation2023CFPB$12,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2024SEC$12,000,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2023private lawsuit-federal$11,900,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2018CFPB$11,790,000
State Farm Fire and Casualty CompanyState Farm Insuranceconsumer protection violation2020private lawsuit-federal$11,757,954
Allstate CorporationAllstatediscriminatory practices (non-employment)2007private lawsuit-federal$11,720,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2019SEC$11,715,395
CashCall, Inc.CashCall Inc.consumer protection violation2016MN-AG$11,700,000
State Street BankState Street Corp.investor protection violation2010WA-AG$11,700,000
LPL Financial LLCLPL Financialinvestor protection violation2015FINRA$11,700,000
IBERIABANKFirst Horizon NationalFalse Claims Act and related2017DOJ_CIVIL$11,692,149
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2021FINRA$11,650,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzinvestor protection violation2004SEC$11,600,000
Ocwen Financial CorporationOcwen Financialmortgage abuses2020FL-AG$11,600,000
Willis GroupWillis Towers Watsonemployment discrimination2011private lawsuit-federal$11,595,038
Citizens Financial GroupCitizens Financial Groupwage and hour violation2014private lawsuit-federal$11,501,500
DB Structured Products, Inc.Deutsche Banktoxic securities abuses2013NV-AG$11,500,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2020SEC$11,500,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2017FINRA$11,500,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLCPrudential Financialinvestor protection violation2004FINRA$11,500,000
GreenSky, LLCGoldman Sachsconsumer protection violation2021CFPB$11,500,000
ICAP Capital Markets LLCCME Groupprice-fixing or anti-competitive practices2018private lawsuit-federal$11,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.