Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
ICAP Capital Markets LLCCME Groupprice-fixing or anti-competitive practices2018private lawsuit-federal$11,500,000
BBVA CompassBanco Bilbao Vizcaya Argentariaconsumer protection violation2013private lawsuit-federal$11,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaconsumer protection violation2012private lawsuit-federal$11,500,000
JPMorgan Chase BankJPMorgan Chaseconsumer protection violation2022private lawsuit-federal$11,500,000
AmSouth BankRegions Financialinvestor protection violation2008SEC$11,400,000
Pruco Securities, LLCPrudential Financialinvestor protection violation2012FINRA$11,250,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2018private lawsuit-federal$11,220,000
Transamerica Insurance Co.Aegoninsurance violation2013MULTI-AG$11,200,000
Jackson National Life Insurance Co.Jackson Financialconsumer protection violation2014private lawsuit-federal$11,200,000
HSBC Bank PLCHSBCprice-fixing or anti-competitive practices2020private lawsuit-federal$11,100,000
Wells Fargo Securities LLCWells Fargotoxic securities abuses2011SEC$11,000,000
Prudential FinancialPrudential Financialwage and hour violation2009private lawsuit-federal$11,000,000
Comerica IncorporatedComericabenefit plan administrator violation2013private lawsuit-federal$11,000,000
Mid-Century Insurance Co. of TexasZurich Insuranceinsurance violation2000TX-INS$11,000,000
American International GroupAmerican International Groupinsurance violation2012MULTI-FIN$11,000,000
Conseco Life Insurance CompanyCNO Financialinsurance violation2010MULTI-FIN$11,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2012FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $11,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2022private lawsuit-federal$11,000,000
HSBCHSBCprice-fixing or anti-competitive practices2022private lawsuit-federal$11,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2022private lawsuit-federal$10,989,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2022private lawsuit-federal$10,989,000
Farmers Insurance CompanyZurich Insuranceconsumer protection violation2011private lawsuit-federal$10,975,000
Barclays Bank PLCBarclaysinsider trading2007SEC$10,943,561
New York Life Insurance & Annuity CorporationNew York Life Insuranceconsumer protection violation2021NY-DFS$10,929,000
Wells Fargo BankWells Fargowage and hour violation2020private lawsuit-federal$10,928,870
Merrill LynchBank of Americainvestor protection violation2015SEC$10,900,000
Travelers Insurance CompanyTravelersFalse Claims Act and related2004USAO$10,900,000
Fidelity Management Trust CompanyFidelity Investmentsbenefit plan administrator violation2007private lawsuit-federal$10,850,000
UBS Financial Services, Inc.UBSinvestor protection violation2011FINRA$10,750,000
RBC Mortgage CompanyRoyal Bank of CanadaFalse Claims Act and related2008DOJ_CIVIL$10,710,000
ING Life Insurance and Annuity CompanyVoya Financialinsurance violation2013MULTI-AG$10,700,000
Bankers Life and Casualty Company and BLC Financial Services, Inc.CNO Financialinvestor protection violation2012MULTI-FIN$10,641,000
BancorpSouth BankCadence Bankmortgage abuses2016CFPB$10,600,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaconsumer protection violation2015private lawsuit-federal$10,571,428
Citigroup Global Markets Inc.Citigroupconsumer protection violation2015private lawsuit-federal$10,571,428
Deutsche Bank Securities Inc.Deutsche Bankconsumer protection violation2015private lawsuit-federal$10,571,428
Goldman, Sachs & Co.Goldman Sachsconsumer protection violation2015private lawsuit-federal$10,571,428
J.P. Morgan Securities LLCJPMorgan Chaseconsumer protection violation2015private lawsuit-federal$10,571,428
RBS Securities Inc.NatWest Group PLCconsumer protection violation2015private lawsuit-federal$10,571,428
EZCORP Inc.EZCORP Inc.consumer protection violation2015CFPB$10,500,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2007SEC$10,500,000
AonAonwage and hour violation2011private lawsuit-state$10,500,000
CitigroupCitigroupaccounting fraud or deficiencies2018SEC$10,500,000
Travelers CompaniesTravelersinsurance violation2012CA-INS$10,500,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupprice-fixing or anti-competitive practices2018private lawsuit-federal$10,500,000
ING Bank N.V.INGprice-fixing or anti-competitive practices2022private lawsuit-federal$10,490,000
State Farm Insurance GroupState Farm Insuranceinsurance violation2020NY-DFS$10,443,700
BBVA Suiza S.A.Banco Bilbao Vizcaya Argentariatax violations2015DOJ_TAX$10,390,000
Invesco Trust CompanyInvescobenefit plan administrator violation2016EBSA$10,270,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2023MULTI-FIN$10,200,000
1st Financial Bank USA1st Financial Bank USAbanking violation2010FDIC$10,140,000
Allstate Fire and Casualty Insurance Co.Allstateconsumer protection violation2021private lawsuit-federal$10,092,600
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2008CA-INS$10,050,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2016OCC$10,000,000
RBS Citizens, National AssociationCitizens Financial Groupbanking violation2015OCC$10,000,000
TCF National BankHuntington Bancsharesbanking violation2013OCC$10,000,000
TD Ameritrade Inc.Charles Schwab Corp.investor protection violation2011SEC$10,000,000
HSBCHSBCmortgage abuses2014USAO$10,000,000
Merrill LynchBank of Americainvestor protection violation2016SEC$10,000,000
Merrill LynchBank of Americainvestor protection violation2011SEC$10,000,000
Santander Bank, N.A.Banco Santanderconsumer protection violation2016CFPB$10,000,000
BankAtlanticTruist Financialanti-money-laundering deficiencies2006DOJ_CRIMINAL$10,000,000
Bank of ChinaBank of Chinabanking violation2002OCC$10,000,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2006SEC$10,000,000
Morgan Stanley & Co.Morgan Stanleydata submission deficiencies2006SEC$10,000,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2005SEC$10,000,000
Banc of America Securities LLCBank of Americainvestor protection violation2004SEC$10,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2003SEC$10,000,000
Union Bank of California, N.A.U.S. Bancorpanti-money-laundering deficiencies2007FINCEN$10,000,000
AmSouthRegions Financialanti-money-laundering deficiencies2004FINCEN$10,000,000
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLCNasdaq Inc.investor protection violation2013SEC$10,000,000
BMO Harris Bank, N.A.Bank of Montrealfraud2018USAO$10,000,000
Metropolitan LifeMetLifeemployment discrimination2003private lawsuit-federal$10,000,000
State Street CorporationState Street Corp.benefit plan administrator violation2014private lawsuit-federal$10,000,000
Merrill LynchBank of Americabenefit plan administrator violation2012private lawsuit-federal$10,000,000
Bear Stearns Companies, Inc.JPMorgan Chasebenefit plan administrator violation2012private lawsuit-federal$10,000,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2012MULTI-AG$10,000,000
CIT Group/Equipment Financing, Inc.First Citizens BancSharesconsumer protection violation2005MULTI-AG$10,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2018NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $10,000,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2005NJ-AG$10,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2016VA-AG$10,000,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceconsumer protection violation2005TX-AG$10,000,000
Wells Fargo Financial Leasing, Inc.Wells Fargoconsumer protection violation2005MULTI-AG$10,000,000
GFI Securities, LLCBGC Partnersinvestor protection violation2019CFTC$10,000,000
Metropolitan Life Insurance Company, Inc.MetLifeinsurance violation2014NY-MANDA$10,000,000
MetLife, Inc.MetLifeinvestor protection violation2019SEC$10,000,000
QBE Insurance Corp.QBE Insuranceinsurance violation2013NY-DFS$10,000,000
AllstateAllstateinsurance violation2010MULTI-FIN$10,000,000
UBS Financial Services Inc.UBSinvestor protection violation2020SEC$10,000,000
Wells Fargo & Co.Wells Fargodiscriminatory practices (non-employment)2019private lawsuit-federal$10,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyanti-money-laundering deficiencies2018FINRA$10,000,000
Ameritrade, Inc.Charles Schwab Corp.investor protection violation2004FINRA$10,000,000
Bank of AmericaBank of Americaconsumer protection violation2022CFPB$10,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2022SEC$10,000,000
Bank of America, N.A. (USA)Bank of Americaconsumer protection violation2015private lawsuit-federal$10,000,000
BNY MellonBank of New York Mellonconsumer protection violation2019private lawsuit-federal$10,000,000
Capital One N.A.Capital One Financialconsumer protection violation2013private lawsuit-federal$10,000,000
Washington MutualJPMorgan Chaseconsumer protection violation2015private lawsuit-federal$10,000,000
PNC Merchant Services Company, L.P.PNC Financial Servicesconsumer protection violation2022private lawsuit-federal$10,000,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2023SEC$10,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2023SEC$10,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.