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 Parentsort icon Primary Offense Type Year Agency Penalty Amount
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
BGC Partners, Inc. BGC Partners investor protection violation 2020 SEC $1,400,000
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
First Hawaiian Bank BNP Paribas benefit plan administrator violation 2009 EBSA $2,500,000
BANK OF THE WEST BNP Paribas banking violation 2011 FDIC $135,000
BANK OF THE WEST BNP Paribas banking violation 2010 FDIC $68,200
BNP Paribas S.A. BNP Paribas economic sanction violation 2014 NY-MANDA (*) $2,243,400,000
BNP Paribas BNP Paribas economic sanction violation 2014 NY-DFS $2,240,000,000
BNP Paribas S.A. BNP Paribas foreign exchange market manipulation 2017 NY-DFS $350,000,000
BNP Paribas Securities Corp. BNP Paribas investor protection violation 2020 SEC $250,000
BOK Financial Corporation BOK Financial investor protection violation 2016 SEC $1,667,720
BOK Financial Corporation dba the Bank of Albuquerque BOK Financial employment discrimination 2014 EEOC $230,000
Bok Financial Securities, Inc. BOK Financial investor protection violation 2019 SEC $197,801
BOK Financial Securities, Inc. BOK Financial insurance violation 2020 CA-INS $5,000
New England Life Insurance Co. Brighthouse Financial insurance violation 2006 CO-INS $32,000
New England Life Insurance Company Brighthouse Financial insurance violation 2005 MA-INS $13,000
NEW ENGLAND LIFE INSURANCE CO. Brighthouse Financial insurance violation 2002 VA-INS $9,000
BROADRIDGE FINANCIAL SOLUTIONS Broadridge Financial Solutions workplace safety or health violation 2018 OSHA $15,522
BROADRIDGE FINANCIAL SOLUTIONS, INC. Broadridge Financial Solutions workplace safety or health violation 2019 OSHA $8,335
BROADRIDGE FINANCIAL SOLUTIONS INC Broadridge Financial Solutions environmental violation 2008 NJ-ENV $6,500
Brown & Brown Brown & Brown employment discrimination 2017 EEOC $100,000
Brown & Brown Insurance of Arizona, Inc. Brown & Brown tax violations 2014 CT-AG $37,650
Brown & Brown, Inc. Brown & Brown consumer protection violation 2006 FL-AG $5,800,000
Pacific Resources Benefits Advisors, LLC Brown & Brown tax violations 2014 CT-AG $5,400
Brown & Brown of Washington, Inc. Brown & Brown insurance violation 2012 AK-INS $30,000
Brown & Brown Insurance Agency of Virginia, Inc. Brown & Brown insurance violation 2006 VA-INS $5,000
Brown Brothers Harriman & Co. Brown Brothers Harriman investor protection violation 2014 SEC $120,000
BSI SA BSI SA tax violations 2015 DOJ_TAX $211,000,000
Blue Shield of California Promise Health Plan California Physicians' Service Medicare Parts C and D Enforcement Action 2020 CMS $148,506
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2002 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2002 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $15,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $20,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $20,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2005 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2005 CA-MHC $100,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $50,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $50,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $500,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $50,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2008 CA-MHC $17,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2008 CA-MHC $45,000
Blue Shield of California California Physicians' Service insurance violation 2008 CA-MHC $5,000,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2008 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2008 CA-MHC $40,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2008 CA-MHC $1,250,000
Blue Shield of California Life & Health Insurance Co. California Physicians' Service insurance violation 2009 CA-INS $285,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2009 CA-MHC $12,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2009 CA-MHC $15,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2009 CA-MHC $30,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $300,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $900,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $400,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2011 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2011 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2011 CA-MHC $40,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)