Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$331,558,339,161
Number of Records: 
6,166
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$82,764,013,078219
JPMorgan Chase$35,819,302,225162
Citigroup$25,454,366,764125
Wells Fargo$21,358,750,745184
Deutsche Bank$18,286,625,30261
UBS$16,792,860,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,473,904,00028
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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 Agencysort icon Penalty Amount
Countrywide Financial Corporation Bank of America mortgage abuses 2011 DOJ_RIGHTS $335,000,000
Wells Fargo & Company Wells Fargo Americans with Disabilities Act 2011 DOJ_RIGHTS $16,055,000
Citizens Republic Bancorp Inc. Huntington Bancshares banking violation 2011 DOJ_RIGHTS $3,600,000
PrimeLending Hilltop Holdings mortgage abuses 2010 DOJ_RIGHTS $2,000,000
Capital One N.A. Capital One Financial Servicemembers Civil Relief Act 2012 DOJ_RIGHTS $12,000,000
Sallie Mae Inc. Navient consumer protection violation 2014 DOJ_RIGHTS $60,000,000
HSBC Finance Corporation HSBC Servicemembers Civil Relief Act 2016 DOJ_RIGHTS $434,500
Compass Bank Banco Bilbao Vizcaya Argentaria discriminatory practices (non-employment) 2007 DOJ_RIGHTS $1,750,000
AIG Federal Savings Bank and Wilmington Finance Inc. American International Group discriminatory practices (non-employment) 2010 DOJ_RIGHTS $6,100,000
Wells Fargo Bank N.A. Wells Fargo Servicemembers Civil Relief Act 2016 DOJ_RIGHTS $4,100,000
Union Savings Bank and Guardian Savings Bank Union Savings Bank discriminatory practices (non-employment) 2016 DOJ_RIGHTS $9,000,000
Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer Services Wells Fargo Servicemembers Civil Relief Act 2017 DOJ_RIGHTS $5,400,000
CitiFinancial Credit Company Citigroup Servicemembers Civil Relief Act 2017 DOJ_RIGHTS $907,000
PHH Mortgage Corporation Ocwen Financial Servicemembers Civil Relief Act 2019 DOJ_RIGHTS $750,000
Bank of America, N.A. Bank of America Americans with Disabilities Act 2020 DOJ_RIGHTS $300,000
Bank Julius Baer & Co. Ltd. Julius Baer Group tax violations 2016 DOJ_TAX $547,000,000
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
Nationstar Mortgage, LLC Mr. Cooper Group mortgage abuses 2020 DOJ_UTP $40,000,000
U.S. Bank National Association U.S. Bancorp mortgage abuses 2020 DOJ_UTP $29,000,000
PNC Bank, NA PNC Financial Services mortgage abuses 2020 DOJ_UTP $5,000,000
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. Morgan Stanley 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 Franklin Resources 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
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2020 EBSA $50,001
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2020 EBSA $50,001
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2020 EBSA $50,001
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
United Insurance Company of America Kemper employment discrimination 2012 EEOC $37,500
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
Asurion, LLC Asurion employment discrimination 2019 EEOC $50,000
Wilmington Trust Corporation M&T Bank employment discrimination 2018 EEOC $700,000
Zenith Insurance Co. Fairfax Financial Holdings employment discrimination 2006 EEOC $180,000
Indiana Insurance Co. Liberty Mutual Insurance employment discrimination 2004 EEOC $178,065
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
MORGAN STANLEY Morgan Stanley environmental violation 2014 EPA $10,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)