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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 TypeYear sort iconAgencyPenalty Amount
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americaprivacy violation2023NH-BSR$700,000
OneMain Financial Group LLCOneMain Holdingsprivacy violation2023NY-DFS$4,250,000
Marsh USA Inc.Marsh & McLennaninsurance violation2023NY-DFS$123,100
Arthur J. Gallagher & Co. Insurance Brokers of California, Inc.Arthur J. Gallagher & Co.insurance violation2023NY-DFS$49,850
Alpha Property & Casualty Insurance CompanyKemperinsurance violation2023OR-FIN$30,000
Highmark, Inc.Highmark Inc.insurance violation2023SD-INS$5,000
Everest Premier Insurance CompanyEverest Re Groupinsurance violation2023TX-INS$5,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2023TX-INS$11,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$7,500
Standard Fire Insurance CompanyTravelersinsurance violation2023TX-INS$7,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$10,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$21,500
Travelers Indemnity Company of ConnecticutTravelersinsurance violation2023TX-INS$5,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2023TX-INS$14,500
Hartford Accident & Indemnity CompanyHartford Financial Servicesinsurance violation2023TX-INS$14,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$12,500
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$28,000
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$38,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$69,000
AIU Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$15,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$80,300
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$8,000
Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$7,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$5,500
Security National Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$14,000
State Farm LloydsState Farm Insuranceinsurance violation2023TX-INS$350,000
LM Insurance Corp.Liberty Mutual Insuranceinsurance violation2023TX-INS$11,000
Safety National Casualty CorporationTokio Marineinsurance violation2023TX-INS$10,000
Arch Insurance CompanyArch Capitalinsurance violation2023TX-INS$10,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$10,000
New Hampshire Insurance Co.American International Groupinsurance violation2023TX-INS$5,500
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2023TX-INS$6,000
Chubb Indemnity Insurance CompanyChubb Limitedinsurance violation2023TX-INS$8,000
QBE Insurance CorporationQBE Insuranceinsurance violation2023TX-INS$11,500
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$22,000
AIG Property Casualty CompanyAmerican International Groupinsurance violation2023TX-INS$75,000
Mid-Century Insurance Company and Truck Insurance ExchangeZurich Insuranceinsurance violation2023VA-INS$36,497
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2023VA-SEC$11,000
OneMain FinancialOneMain Holdingsconsumer protection violation2023CFPB$20,000,000
Coinbase, Inc.Coinbase Global Inc.investor protection violation2023NJ-AG$5,000,000
MUFG Union Bank, National AssociationU.S. Bancorpbanking violation2023OCC$15,000,000
MUFG Bank, Ltd.U.S. Bancorpprice-fixing or anti-competitive practices2023private lawsuit-federal$750,000
Credit Suisse Group AGUBSprice-fixing or anti-competitive practices2023private lawsuit-federal$550,000
Norinchukin BankNorinchukin Bankprice-fixing or anti-competitive practices2023private lawsuit-federal$449,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2023private lawsuit-federal$2,771,068
Robinhood Financial LLCRobinhood Marketsconsumer protection violation2023private lawsuit-federal$9,900,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2023private lawsuit-federal$11,900,000
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2023NJ-AG$502,000
Bank of AmericaBank of Americaconsumer protection violation2023CFPB$90,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2023OCC$60,000,000
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2023FED$186,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americaanti-money-laundering deficiencies2023FINRA$6,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaanti-money-laundering deficiencies2023SEC$6,000,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2023SEC$709,971
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2023SEC$1,400,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2023SEC$4,000,000
UBS Group AGUBSbanking violation2023FED$268,500,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2023CFTC$6,000,000
BNP ParibasBNP Paribasinvestor protection violation2023CFTC$75,000,000
Societe GeneraleSociete Generaleinvestor protection violation2023CFTC$75,000,000
Wells FargoWells Fargoinvestor protection violation2023CFTC$75,000,000
Bank of MontrealBank of Montrealinvestor protection violation2023CFTC$35,000,000
Freedom Mortgage CorporationFreedom Mortgagekickbacks and bribery2023CFPB$1,750,000
UBS AGUBStoxic securities abuses2023DOJ_CIVIL$1,435,000,000
American Express National BankAmerican Expressbanking violation2023OCC$15,000,000
Wells Fargo Securities, LLC et al.Wells Fargoinvestor protection violation2023SEC$125,000,000
BNP Paribas Securities Corp.BNP Paribasinvestor protection violation2023SEC$35,000,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2023SEC$35,000,000
BMO Capital Markets CorpBank of Montrealinvestor protection violation2023SEC$25,000,000
Mizuho Securities USA LLCMizuho Financialinvestor protection violation2023SEC$25,000,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2023SEC$10,000,000
HARTFORD UNDERWRITERS INSURANCE COMPANY et al.Hartford Financial Servicesinsurance violation2023AZ-DIFI$30,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2023CFTC$5,500,000
Stonex Group Inc.StoneX Groupbenefit plan administrator violation2023EBSA$10,001
Regions BankRegions Financialbanking violation2023FED$2,950,000
STATE FARM MUTUAL AUTOMOBILE INSURANCE COMPANYState Farm Insuranceinsurance violation2023MN-FIN$5,000
Globe Life and Accident Insurance CompanyGlobe Life Inc.insurance violation2023MO-INS$9,500
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2023MO-SEC$150,000
Raymond James & Associates, Inc. et al.Raymond James Financialinvestor protection violation2023MULTI-FIN$12,450,000
Harleysville Insurance CompanyNationwideinsurance violation2023NY-DFS$45,000
Nationwide Agribusiness Insurance CompanyNationwideinsurance violation2023NY-DFS$50,000
Aon Risk Services Central Inc.Aoninsurance violation2023NY-DFS$12,000
Tokio Marine America Insurance CompanyTokio Marineinsurance violation2023NY-DFS$360,000
Navient CorporationNavientemployment discrimination2023OFCCP$700,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2023OR-FIN$25,000
LPL Financial, LLCLPL Financialinvestor protection violation2023PA-BKG$190,000
John Hancock Life Insurance CompanyManulife Financialinsurance violation2023RI-FIN$95,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2023SEC$2,900,000
Wells Fargo Clearing Services LLCWells Fargoinvestor protection violation2023SEC$35,000,000
Nomura Securities InternationalNomurafraud2023USAO$35,000,000
STATE FARM LIFE INSURANCE COMPANYState Farm Insuranceinsurance violation2023WA-INS$10,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2023CFTC$30,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2023CFTC$15,000,000
Bank of America, N.A.Bank of Americainvestor protection violation2023CFTC$8,000,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2023CFTC$3,000,000
Interactive Brokers Corp. and Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2023CFTC$20,000,000
StoneX Markets LLCStoneX Groupinvestor protection violation2023CFTC$650,000
Wilmington Trust Investment Management, LLCM&T Bankinvestor protection violation2023SEC$1,327,147
Interactive Brokers Corp.Interactive Brokers Groupinvestor protection violation2023SEC$35,000,000
Nuveen Securities LLCTIAAinvestor protection violation2023SEC$8,500,000
Fifth Third Securities Inc.Fifth Third Bancorpinvestor protection violation2023SEC$8,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.