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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 TypeYearAgencyPenalty Amount sort icon
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2017SEC$2,963,735
CashCall Inc., WS FundingCashCall Inc.consumer protection violation2017DC-AG$2,962,573
Time Insurance Co. and John Alden Life Insurance Co. and Union Securitiy Insurance Co.Haven Holdingsinsurance violation2012IN-INS$2,950,000
Macquarie Capital (USA) Inc.Macquarieinvestor protection violation2015FINRA$2,950,000
Regions BankRegions Financialbanking violation2023FED$2,950,000
Intesa Sanpaolo S.p.A.Intesa Sanpaoloeconomic sanction violation2013OFAC$2,949,030
Wilmington Finance Inc.OneMain Holdingswage and hour violation2008private lawsuit-federal$2,925,000
United States Fidelity and Guaranty Co.TravelersFalse Claims Act and related2010MA-AG$2,925,000
Goldman, Sachs & Co.Goldman Sachstoxic securities abuses2016VA-AG$2,900,000
Wells FargoWells Fargoconsumer protection violation2004NY-AG$2,900,000
Stifel Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2015FINRA$2,900,000
Morgan StanleyMorgan Stanleyinvestor protection violation2006FINRA$2,900,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2023SEC$2,900,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsinvestor protection violation2013SEC$2,886,677
Janney Montgomery ScottPenn Mutualwage and hour violation2009private lawsuit-federal$2,880,000
Chevy Chase Bank F.S.B.Capital One Financialmortgage abuses2013DOJ_RIGHTS$2,850,000
Cleco CorporationMacquarieenergy market violation2003FERC$2,850,000
Bank of AmericaBank of Americaconsumer protection violation2014HI-AG$2,825,000
CitibankCitigroupconsumer protection violation2014HI-AG$2,825,000
Discover Financial ServicesDiscover Financial Servicesconsumer protection violation2014HI-AG$2,825,000
JP Morgan ChaseJPMorgan Chaseconsumer protection violation2014HI-AG$2,825,000
Oppenheimer & Company, Inc.Oppenheimer Holdingsanti-money-laundering deficiencies2005FINCEN$2,800,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2018SEC$2,800,000
Countrywide Home LoansBank of Americamortgage abuses2009IN-AG$2,800,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsinvestor protection violation2013MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,800,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2011CT-SEC$2,800,000
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2014MULTI-FIN$2,800,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2014MULTI-FIN$2,800,000
The Signal, LP, an Assurant CompanyAssurantinsurance violation2020NY-DFS$2,800,000
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2017FINRA$2,800,000
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americainvestor protection violation2016FINRA$2,800,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2012FINRA$2,800,000
ICAP Corporates LLCCME Groupinvestor protection violation2009FINRA$2,800,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2023private lawsuit-federal$2,771,068
Convergex Execution Solutions LLCToronto-Dominion Bankdata submission deficiencies2018SEC$2,750,000
PNC Financial Services Group, Inc.PNC Financial Serviceswage and hour violation2020private lawsuit-federal$2,750,000
LPL Financial, LLCLPL Financialinvestor protection violation2018FINRA$2,750,000
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2007FINRA$2,750,000
Vitol Inc.Vitolenergy market violation2019FERC$2,742,881
Citigroup Global Markets, IncCitigroupinvestor protection violation2012FINRA$2,741,489
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2012MN-FIN$2,731,385
Allstate Insurance Co.Allstateconsumer protection violation2012private lawsuit-federal$2,727,555
Stifel, Nicolaus & Co., Inc.Stifel Financialinvestor protection violation2019SEC$2,700,000
U.S. BankU.S. Bancorpprivacy violation2019private lawsuit-federal$2,670,336
Hartford Fire InsuranceHartford Financial Serviceswage and hour violation2016private lawsuit-federal$2,650,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2005FINRA$2,650,000
Merrill LynchBank of Americawage and hour violation2016private lawsuit-state$2,645,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003MT-FIN$2,625,000
Norddeutsche Landesbank GirozentraleNorddeutsche Landesbankemployment discrimination2008private lawsuit-federal$2,618,600
New England Securities Corp.MetLifeinvestor protection violation2006SEC$2,614,865
PNC Bank, National AssociationPNC Financial Servicesbanking violation2022OCC$2,614,456
Resource Life Insurance Co.Assurantconsumer protection violation2010TX-AG$2,600,000
U.S. BancorpU.S. Bancorpconsumer protection violation2005CA-AG$2,600,000
Willis Group Holdings Ltd.Willis Towers Watsonconsumer protection violation2007FL-AG$2,600,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2015FINRA$2,600,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2007FINRA$2,600,000
MidFirst BankMidFirst Bankconsumer protection violation2014private lawsuit-federal$2,600,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2004SEC$2,595,129
Ambac Financial Group, Inc.Ambac Financialbenefit plan administrator violation2012private lawsuit-federal$2,550,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2015NJ-DBI$2,524,290
Asset Acceptance LLCEncore Capital Groupconsumer protection violation2012FTC$2,500,000
Deutsche Bank AGDeutsche Bankdata submission deficiencies2015CFTC$2,500,000
E*TRADE SecuritiesMorgan Stanleyinvestor protection violation2014SEC$2,500,000
ScottradeCharles Schwab Corp.data submission deficiencies2014SEC$2,500,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2000SEC$2,500,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2016SEC$2,500,000
Merrill LynchBank of Americainvestor protection violation2017CFTC$2,500,000
Bank of AmericaBank of Americainvestor protection violation2017USAO$2,500,000
TD AmeritradeCharles Schwab Corp.wage and hour violation2009private lawsuit-federal$2,500,000
Home Loan Center Inc.LendingTreewage and hour violation2009private lawsuit-federal$2,500,000
Bank of AmericaBank of Americawage and hour violation2007private lawsuit-state$2,500,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCUBSinvestor protection violation2011SEC$2,500,000
Bank of HawaiiBank of Hawaiibenefit plan administrator violation2009EBSA$2,500,000
AXA Equitable Life Insurance CompanyEquitable Holdingsbenefit plan administrator violation2011private lawsuit-federal$2,500,000
Hanover Insurance GroupHanover Insuranceconsumer protection violation2010MA-AG$2,500,000
HSBC Securities (USA) Inc.HSBCtoxic securities abuses2016VA-AG$2,500,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2015MULTI-AG$2,500,000
Stewart Title Company of CaliforniaStewart Information Servicesconsumer protection violation2002CA-AG$2,500,000
Societe Generale International LimitedSociete Generaleinvestor protection violation2019CFTC$2,500,000
Ocwen Loan Servicing, LLCOcwen Financialconsumer protection violation2015CA-DFPI$2,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2015MA-SEC$2,500,000
Transamerica Life Insurance Co. et al.Aegoninsurance violation2014MN-FIN$2,500,000
The Lincoln National Life Insurance Co. et al.Lincoln Nationalinsurance violation2014MN-FIN$2,500,000
American Family Life Insurance Company of ColumbusAflacinsurance violation2018MULTI-FIN$2,500,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2017FINRA$2,500,000
Merrill LynchBank of Americainvestor protection violation2010FINRA$2,500,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2005FINRA$2,500,000
Washington Federal Bank, National AssociationWashington Federal Inc.banking violation2021OCC$2,500,000
UBS Securities LLCUBSinvestor protection violation2022FINRA$2,500,000
Stewart Title Guaranty CorporationStewart Information Servicesprice-fixing or anti-competitive practices2022NY-AG$2,500,000
IBERIABANK CorporationFirst Horizon Nationalconsumer protection violation2012private lawsuit-federal$2,500,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2020private lawsuit-federal$2,500,000
Zions First National BankZions Bancorporationconsumer protection violation2014private lawsuit-federal$2,500,000
STIFEL, NICOLAUS & COMPANY, INC.Stifel Financialinvestor protection violation2023MA-SEC$2,500,000
BlackRock Advisors, LLCBlackRockinvestor protection violation2023SEC$2,500,000
U.S. BancorpU.S. Bancorpdiscriminatory practices (non-employment)2005private lawsuit-federal$2,495,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2010private lawsuit-federal$2,492,729
M&T Bank CorporationM&T Bankwage and hour violation2018private lawsuit-federal$2,490,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2014FINRA$2,488,000
Barclays Bank PLCBarclayseconomic sanction violation2016OFAC$2,485,890
Chicago Board Options ExchangeCBOE Holdingsprice-fixing or anti-competitive practices2006private lawsuit-federal$2,468,410
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.