Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$325,206,110,617
Number of Records: 
5,976
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$82,700,046,034213
JPMorgan Chase$34,530,243,993154
Citigroup$25,045,655,764120
Wells Fargo$21,199,943,231179
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,582,95017
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.
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
Morgan Stanley Morgan Stanley price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $4,800,000
SunTrust Banks, Inc. Truist Financial benefit plan administrator violation 2018 private lawsuit-federal $4,750,000
Citigroup Global Markets Inc. Citigroup toxic securities abuses 2016 VA-AG $4,750,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2016 MS-SEC $4,743,815
Allianz Life Insurance Company of North America Allianz insurance violation 2015 MULTI-AG $4,700,000
ING Financial Partners, Inc. Voya Financial investor protection violation 2008 IL-SEC $4,677,326
Selective Insurance Companies Selective Insurance Group insurance violation 2018 NY-DFS $4,666,268
Citigroup Citigroup wage and hour violation 2015 private lawsuit-federal $4,650,000
UBS Financial Services Inc. UBS investor protection violation 2004 SEC $4,621,768
National City Mortgage Inc. PNC Financial Services False Claims Act and related 2008 DOJ_CIVIL $4,600,000
JPMorgan Chase Bank, N.A. JPMorgan Chase consumer protection violation 2017 CFPB $4,600,000
UBS Financial Services Inc. UBS investor protection violation 2013 MULTI-FIN $4,600,000
UBS Financial Services, Inc UBS investor protection violation 2013 MULTI-AG $4,580,000
Zurich American Insurance Company Zurich Insurance insurance violation 2013 NY-DFS $4,560,000
WFS Financial, Inc. Wells Fargo discriminatory practices (non-employment) 2004 private lawsuit-federal $4,550,000
UBS Financial Services, Inc. UBS investor protection violation 2006 MT-SEC $4,503,166
New York Stock Exchange IntercontinentalExchange Group investor protection violation 2014 SEC $4,500,000
Fidelity National Financial, Inc. Fidelity National Financial kickbacks and bribery 2011 HUD $4,500,000
Allstate Insurance Company Allstate employment discrimination 2009 EEOC $4,500,000
Ameriprise Financial Services Inc. Ameriprise Financial investor protection violation 2018 SEC $4,500,000
MBNA Corp. Lloyds Banking Group benefit plan administrator violation 2009 private lawsuit-federal $4,500,000
Moneygram International, Inc. MoneyGram International benefit plan administrator violation 2011 private lawsuit-federal $4,500,000
ACE Group Holdings, Inc. Chubb Limited price-fixing or anti-competitive practices 2007 MULTI-AG $4,500,000
Citigroup Global Markets, Inc. Citigroup consumer protection violation 2015 NY-AG $4,500,000
Commonwealth Land Title Insurance Co. et al. Fidelity National Financial insurance violation 2006 CA-INS $4,499,997
HealthNow Highmark Inc. insurance violation 2011 NY-DFS $4,492,327
State Street Corporation State Street Corp. employment discrimination 2017 OFCCP $4,492,174
Freedom Mortgage Corporation Freedom Mortgage wage and hour violation 2019 private lawsuit-federal $4,480,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2018 SEC $4,450,000
St Paul Travelers Companies Inc. Travelers benefit plan administrator violation 2007 private lawsuit-federal $4,450,000
U.S. Bancorp U.S. Bancorp mortgage abuses 2018 FED $4,400,000
Chase Bank USA, N.A. JPMorgan Chase consumer protection violation 2009 NY-AG $4,400,000
USAA CASUALTY INSURANCE CO ET AL. USAA insurance violation 2018 VA-INS $4,396,720
CIT Technology Financing Services, Inc. CIT consumer protection violation 2005 NJ-AG $4,360,000
Farmers Insurance Group Zurich Insurance discriminatory practices (non-employment) 2001 OH-AG $4,300,000
GFI Securities LLC BGC Partners investor protection violation 2019 SEC $4,300,000
Credit Suisse Securities (USA) LLC Credit Suisse data submission deficiencies 2015 SEC $4,250,000
OZ Management LP Och-Ziff Capital Management data submission deficiencies 2015 SEC $4,250,000
Horizon Healthcare Services, Inc. Horizon Healthcare Services insurance violation 2012 NJ-DBI $4,233,100
ICBC Standard Bank Plc Industrial and Commercial Bank of China investor protection violation 2015 SEC $4,200,000
Morgan Stanley Morgan Stanley wage and hour violation 2014 private lawsuit-federal $4,200,000
CIT Technology Financing Services, Inc. CIT consumer protection violation 2004 NY-AG $4,200,000
Bank of America Bank of America employment discrimination 2019 OFCCP $4,200,000
Raymond James and Associates Inc. Raymond James Financial investor protection violation 2016 VT-FIN $4,200,000
Prospect Mortgage Company LLC Homebridge Financial Services mortgage abuses 2017 USAO $4,157,000
Wells Fargo Bank N.A. Wells Fargo Servicemembers Civil Relief Act 2016 DOJ_RIGHTS $4,100,000
Bank of America Bank of America wage and hour violation 2003 private lawsuit-state $4,100,000
Louis Dreyfus Energy Services Louis Dreyfus False Claims Act and related 2012 DOJ_CIVIL $4,084,000
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P. Louis Dreyfus workplace safety or health violation 2008 OSHA $4,050,000
Wells Fargo Bank Wells Fargo False Claims Act and related 2008 USAO $4,046,786
Wells Fargo Bank Wells Fargo consumer protection violation 2016 CFPB $4,010,000
Wells Fargo Bank, National Association Wells Fargo banking violation 2015 OCC $4,000,000
Capital One, National Association Capital One Financial banking violation 2014 OCC $4,000,000
Gibraltar Private Bank and Trust Company Gibraltar Private Bank and Trust anti-money-laundering deficiencies 2016 FINCEN $4,000,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2016 SEC $4,000,000
Morgan Stanley & Co. LLC Morgan Stanley investor protection violation 2014 SEC $4,000,000
Bank of America Bank of America wage and hour violation 2016 private lawsuit-state $4,000,000
Fifth Third Bank Fifth Third Bancorp wage and hour violation 2014 private lawsuit-federal $4,000,000
Wells Fargo Advisors Wells Fargo wage and hour violation 2013 private lawsuit-federal $4,000,000
Aon Corp. Aon consumer protection violation 2008 FL-AG $4,000,000
Aviva Life & Annuity Company Athene Holding insurance violation 2013 MULTI-AG $4,000,000
HSBC HSBC consumer protection violation 2016 MA-AG $4,000,000
H&R Block H&R Block consumer protection violation 2002 NY-NYCDCWP $4,000,000
Wells Fargo Bank Wells Fargo consumer protection violation 2015 NY-DFS $4,000,000
Asurion Insurance Services, Inc. and Asurion Protection Services LLC Asurion insurance violation 2020 NY-DFS $4,000,000
Bankers Life and Casualty Company CNO Financial insurance violation 2012 MULTI-FIN $4,000,000
Life Insurance Company of Georgia and Southland Life Insurance Company Prudential (UK) insurance violation 2002 MULTI-FIN $4,000,000
BMO Capital Markets Corporation Bank of Montreal investor protection violation 2019 SEC $3,946,000
American Express Centurion Bank American Express banking violation 2012 FDIC $3,900,000
Capmark Finance LLC Capmark Bank False Claims Act and related 2012 DOJ_CIVIL $3,900,000
Wells Fargo Wells Fargo wage and hour violation 2017 private lawsuit-federal $3,900,000
BMO Financial Bank of Montreal wage and hour violation 2015 private lawsuit-federal $3,900,000
Arthur J. Gallagher Arthur J. Gallagher & Co. wage and hour violation 2011 private lawsuit-federal $3,900,000
RBC Capital Markets LLC Royal Bank of Canada investor protection violation 2020 SEC $3,889,007
Santander Consumer USA Holdings, Inc. Banco Santander consumer protection violation 2017 DE-AG $3,875,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2007 SEC $3,860,000
Chase Bank JPMorgan Chase consumer protection violation 2006 MULTI-AG $3,850,000
Charles Schwab Charles Schwab Corp. wage and hour violation 2014 private lawsuit-federal $3,800,000
Transamerica Corporation Aegon benefit plan administrator violation 2016 private lawsuit-federal $3,800,000
UBS Securities LLC and UBS Financial Services, Inc UBS investor protection violation 2011 NJ-AG $3,790,487
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. insider trading 2006 SEC $3,755,839
JPMorgan Chase Bank, N.A. JPMorgan Chase wage and hour violation 2020 private lawsuit-federal $3,750,000
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2004 SEC $3,706,693
Ocwen Financial Corp. Ocwen Financial mortgage abuses 2014 MA-AG $3,700,000
Bank of America, NA Bank of America discriminatory practices (non-employment) 2005 private lawsuit-federal $3,670,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2020 NC-INS $3,635,665
American Express Centurion Bank American Express banking violation 2013 FDIC $3,600,000
Citizens Republic Bancorp Inc. Huntington Bancshares banking violation 2011 DOJ_RIGHTS $3,600,000
ZB N.A. (fka Zions First National Bank) Zions Bancorporation consumer protection violation 2017 USAO $3,600,000
Voya Holdings Inc. Voya Financial investor protection violation 2018 SEC $3,600,000
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2018 SEC $3,600,000
Student Loan Xpress, Inc. CIT consumer protection violation 2010 KY-AG $3,600,000
Citigroup Citigroup wage and hour violation 2006 private lawsuit-federal $3,550,000
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. Oppenheimer Holdings investor protection violation 2019 SEC $3,528,377
Wells Fargo Bank N.A. Wells Fargo discriminatory practices (non-employment) 2011 private lawsuit-state $3,520,000
Cole Taylor Bank Fifth Third Bancorp banking violation 2014 FED $3,510,000
Capital One Financial Corporation Capital One Financial accounting fraud or deficiencies 2013 SEC $3,500,000
Assurant Inc. Assurant accounting fraud or deficiencies 2010 SEC $3,500,000
Prospect Mortgage, LLC Homebridge Financial Services consumer protection violation 2017 CFPB $3,500,000
PNC Financial Services Group PNC Financial Services mortgage abuses 2018 FED $3,500,000
Wells Fargo Advisors, LLC Wells Fargo anti-money-laundering deficiencies 2017 SEC $3,500,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)