Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$325,206,110,617
Number of Records: 
5,976
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$82,700,046,034213
JPMorgan Chase$34,530,243,993154
Citigroup$25,045,655,764120
Wells Fargo$21,199,943,231179
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,582,95017
Credit Suisse$10,409,957,62631


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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Company Parentsort icon Primary Offense Type Year Agency Penalty Amount
First American Title insurance Co. First American Financial insurance violation 2020 CT-INS $40,000
First Bancorp First Bancorp (North Carolina) accounting fraud or deficiencies 2015 SEC $275,000
FIRST BANK First Bancorp (North Carolina) banking violation 2004 FDIC $12,000
FIRST BANK First Bancorp (North Carolina) banking violation 2004 FDIC $12,000
First BanCorp First Bancorp (Puerto Rico) accounting fraud or deficiencies 2007 SEC $8,500,000
FirstBank Puerto Rico First Bancorp (Puerto Rico) banking violation 2019 FDIC $17,700
BUSEY BANK First Busey Corp. banking violation 2006 FDIC $5,200
BUSEY BANK First Busey Corp. banking violation 2010 FDIC $7,445
First Financial Bank, National Association First Financial Bancorp. banking violation 2015 OCC $11,700
MAINSOURCE BANK First Financial Bancorp. banking violation 2010 FDIC $22,000
Bannockburn Global Forex, LLC First Financial Bancorp. consumer protection violation 2017 CA-DBO $500,000
Bannockburn Global Forex, LLC First Financial Bancorp. consumer protection violation 2015 KY-FIN $25,000
Bannockburn Global Forex, LLC First Financial Bancorp. consumer protection violation 2016 MI-FIN $146,000
Bannockburn Global Forex, LLC First Financial Bancorp. consumer protection violation 2016 TX-FIN $23,608
First Tennessee Bank N.A. First Horizon National False Claims Act and related 2015 DOJ_CIVIL $212,500,000
First Horizon National Corporation First Horizon National toxic securities abuses 2014 FHFA $110,000,000
First Tennessee Bank National Association First Horizon National banking violation 2009 OCC $100,000
First Tennessee Bank National Association First Horizon National banking violation 2007 OCC $125,000
First Tennessee Bank National Association First Horizon National banking violation 2005 OCC $180,000
First Tennessee Bank First Horizon National discriminatory practices (non-employment) 2016 HUD $1,900,000
First Horizon National Corporation First Horizon National wage and hour violation 2004 WHD $9,344
First Tennessee Bank National Association First Horizon National banking violation 2017 OCC $1,000,000
IBERIABANK First Horizon National False Claims Act and related 2017 DOJ_CIVIL $11,692,149
First Horizon National Corporation First Horizon National benefit plan administrator violation 2012 private lawsuit-federal $6,000,000
BANK OF THE CASCADES First Interstate Bancsystem banking violation 2008 FDIC $43,550
First Interstate Bank First Interstate Bancsystem banking violation 2005 FED $15,750
GS ASSET MANAGEMENT First Merchants Corp. workplace safety or health violation 2011 OSHA $23,400
First National Bank of Omaha First National of Nebraska consumer protection violation 2016 CFPB $32,250,000
First National Bank of Omaha First National of Nebraska banking violation 2009 OCC $100,000
First National Bank of Omaha First National of Nebraska banking violation 2006 OCC $25,000
First National Bank of Omaha First National of Nebraska banking violation 2005 OCC $20,000
First National Bank of Omaha First National of Nebraska banking violation 2016 OCC $3,000,000
First Republic Bank First Republic Bank wage and hour violation 2012 WHD $1,009,644
First Republic Investment Management, Inc. First Republic Bank investor protection violation 2019 SEC $1,005,194
Cash America International Inc. FirstCash payday lending violation 2013 CFPB $19,000,000
Cash America Advance, Inc. FirstCash payday lending violation 2019 CA-DBO $10,000
Cash America International, Inc. FirstCash consumer protection violation 2015 KY-FIN $116,998
GEORGIA CASH AMERICA, INC. FirstCash workplace safety or health violation 2015 OSHA $10,920
CASH AMERICA FirstCash workplace safety or health violation 2016 OSHA $8,500
Flagstar Bank Flagstar Bancorp consumer protection violation 2014 CFPB $37,500,000
Flagstar Bank Flagstar Bancorp mortgage abuses 2012 USAO $132,800,000
Flagstar Bank, FSB Flagstar Bancorp banking violation 2016 OCC $500,000
Flagstar Bank Flagstar Bancorp wage and hour violation 2015 private lawsuit-federal $895,000
Flagstar Bancorp, Inc. Flagstar Bancorp benefit plan administrator violation 2013 private lawsuit-federal $3,000,000
Flagstar Bank Flagstar Bancorp discriminatory practices (non-employment) 2004 private lawsuit-federal $1,100,000
Western Asset Management Company Franklin Resources investor protection violation 2014 SEC $19,400,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. Franklin Resources investor protection violation 2004 SEC $20,000,000
Franklin Advisers, Inc. Franklin Resources investor protection violation 2004 SEC $50,000,000
Legg Mason Wood Walker, Inc. Franklin Resources investor protection violation 2004 SEC $2,315,467
Legg Mason Inc. Franklin Resources Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $64,200,000
Legg Mason Inc. Franklin Resources Foreign Corrupt Practices Act 2018 SEC $34,500,000
Western Asset Management Company Franklin Resources benefit plan administrator violation 2014 EBSA $21,000,000
Smith Barney Fund Management LLC Franklin Resources investor protection violation 2007 SEC $450,000
Legg Mason Wood Walker, Incorporated Franklin Resources investor protection violation 2005 SEC $1,000,000
Western Asset Management Co. Franklin Resources investor protection violation 2001 SEC $50,000
Legg Mason Fund Adviser, Inc. Franklin Resources investor protection violation 2001 SEC $50,000
Legg Mason Wood Walker, Incorporated Franklin Resources investor protection violation 2001 SEC $50,000
Franklin/Templeton Distributors, Inc. Franklin Resources investor protection violation 2004 CA-AG $18,000,000
Franklin Templeton Distributors, Inc. Franklin Resources Family and Medical Leave Act 2016 WHD $23,252
Franklin Advisers and Inc. Franklin Resources investor protection violation 2020 SEC $250,000
Franklin Templeton Investments Corp. Franklin Resources investor protection violation 2020 SEC $75,000
Federal Home Loan Mortgage Corporation (Freddie Mac) Freddie Mac (Federal Home Loan Mortgage Corporation) investor protection violation 2007 SEC $50,000,000
The Federal Home Loan Mortgage Corporation Freddie Mac (Federal Home Loan Mortgage Corporation) wage and hour violation 2011 WHD $24,153
FREDDIE MAC CORPORATION Freddie Mac (Federal Home Loan Mortgage Corporation) environmental violation 2012 EPA $55,802
Freddie Mac Freddie Mac (Federal Home Loan Mortgage Corporation) consumer protection violation 2008 NY-AG $12,000,000
Freedom Mortgage Corporation Freedom Mortgage False Claims Act and related 2016 DOJ_CIVIL $113,000,000
Freedom Mortgage Corporation Freedom Mortgage discriminatory practices (non-employment) 2014 HUD $104,000
Freedom Mortgage Freedom Mortgage wage and hour violation 2015 private lawsuit-federal $900,000
Freedom Mortgage Freedom Mortgage wage and hour violation 2012 private lawsuit-federal $1,600,000
Freedom Mortgage Corporation Freedom Mortgage mortgage abuses 2019 CFPB $1,750,000
Freedom Mortgage Corporation Freedom Mortgage wage and hour violation 2019 private lawsuit-federal $4,480,000
Freedom Mortgage Corp. Freedom Mortgage consumer protection violation 2009 CT-BKG $43,000
Freedom Mortgage Corp. Freedom Mortgage mortgage abuses 2016 MA-BKG $2,000,000
Freedom Mortgage Corporation dba Jefferson Home Mortgage and Loan Freedom Mortgage consumer protection violation 2010 PA-BKG $10,000
FREEDOM MORTGAGE CORPORATION Freedom Mortgage consumer protection violation 2016 VA-FIN $17,000
Freedom Mortgage Corp. Freedom Mortgage consumer protection violation 2009 WA-FIN $52,791
Freedom Mortgage Corp. Freedom Mortgage consumer protection violation 2020 MA-BKG $25,000
Swineford National Bank Fulton Financial banking violation 2013 OCC $33,880
THE COLUMBIA BANK Fulton Financial banking violation 2002 FDIC $7,000
Global Futures & Forex, Ltd. GAIN Capital Holdings investor protection violation 2014 CFTC $200,000
Gabelli Funds, LLC Gamco Investors Inc. investor protection violation 2009 SEC $450,000
Gabelli Funds LLC Gamco Investors Inc. investor protection violation 2008 SEC $16,000,000
Genworth Life Insurance Co. Genworth Financial insurance violation 2014 MULTI-AG $1,900,000
Genworth Life and Annuity Insurance Co. Genworth Financial insurance violation 2010 FL-OFR $18,000
Genworth Life and Annuity Insurance Co. Genworth Financial insurance violation 2014 FL-OFR $10,500
Genworth Life Insurance Co. Genworth Financial insurance violation 2016 MD-INS $37,800
Genworth Mortgage Insurance Corp. Genworth Financial insurance violation 2015 MN-FIN $90,000
Genworth Life Insurance Co. Genworth Financial insurance violation 2016 MN-FIN $7,500
Genworth Life and Annuity Insurance Co. Genworth Financial insurance violation 2011 MT-INS $5,000
Genworth Life Insurance Company Genworth Financial insurance violation 2019 NJ-DBI $10,000
Genworth Life Insurance Company Genworth Financial insurance violation 2019 SD-INS $5,000
Genworth Life and Annuity Insurance Company Genworth Financial insurance violation 2011 UT-INS $6,000
GENWORTH LIFE AND ANNUITY INSURANCE CO Genworth Financial insurance violation 2006 VA-INS $12,000
GENWORTH LIFE AND ANNUITY INS Genworth Financial insurance violation 2014 VA-INS $13,000
Genworth Life Insurance Co. Genworth Financial insurance violation 2012 WI-INS $65,000
German American Bancorp German American Bancorp banking violation 2013 FDIC $70,000
German American Bancorp German American Bancorp banking violation 2012 FDIC $15,000
Gibraltar Private Bank & Trust Co. Gibraltar Private Bank and Trust banking violation 2016 OCC $2,500,000
Gibraltar Private Bank and Trust Company Gibraltar Private Bank and Trust anti-money-laundering deficiencies 2016 FINCEN $4,000,000
Xstrata Copper Glencore railroad safety violation 2011 FRA $7,500
Xstrata Copper Glencore railroad safety violation 2012 FRA $12,000
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