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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
LPL Financial, LLCLPL Financialinvestor protection violation2014IL-SEC$2,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2012MA-SEC$2,000,000
Freedom Mortgage Corp.Freedom Mortgagemortgage abuses2016MA-BKG$2,000,000
LendingClub Corp. and Springstone Financial, LLCLendingClub Corp.consumer protection violation2018MA-BKG$2,000,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2005MN-FIN$2,000,000
Citicorp Insurance Agency, Inc., Citicorp Investment Services, and SBHU Life Agency, Inc.Citigroupinsurance violation2010NY-DFS$2,000,000
Cash Call Inc. and Western Sky Financial LLCCashCall Inc.consumer protection violation2015WA-FIN$2,000,000
UBS Financial Services Inc.UBSinvestor protection violation2019FINRA$2,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2019FINRA$2,000,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2017FINRA$2,000,000
RBS Securities, Inc.NatWest Group PLCinvestor protection violation2016FINRA$2,000,000
Charles Schwab & Co.Charles Schwab Corp.investor protection violation2015FINRA$2,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2015FINRA$2,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2013FINRA$2,000,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2011FINRA$2,000,000
Santander Securities of Puerto RicoBanco Santanderinvestor protection violation2011FINRA$2,000,000
Citigroup Global MarketsCitigroupinvestor protection violation2009FINRA$2,000,000
Wachovia Securities LLCWells Fargoinvestor protection violation2007FINRA$2,000,000
Chase Investment ServicesJPMorgan Chaseinvestor protection violation2005FINRA$2,000,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2003FINRA$2,000,000
Progressive Direct Insurance CompanyProgressiveinsurance violation2022NY-DFS$2,000,000
Capital One, N.A.Capital One Financialconsumer protection violation2022CA-MULTI$2,000,000
Progressive Specialty Insurance CompanyProgressiveconsumer protection violation2020private lawsuit-federal$2,000,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2024MT-FIN$2,000,000
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.: ILouis Dreyfusworkplace safety or health violation2008OSHA$2,000,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2008SEC$1,998,143
Principal Life Insurance CompanyPrincipal Financialinsurance violation2021NY-DFS$1,997,866
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2023SEC$1,975,000
Encompass Insurance Company of MassachusettsAllstateconsumer protection violation2012MA-AG$1,972,635
MetLifeMetLifewage and hour violation2015private lawsuit-federal$1,970,000
ACE GroupChubb Limitedprice-fixing or anti-competitive practices2011OH-AG$1,970,000
Citigroup Technology IncCitigroupwage and hour violation2016WHD$1,967,689
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015MULTI-FIN$1,965,000
Bank of America Corp.Bank of Americaconsumer protection violation2013WV-AG$1,950,000
Citibank/Citigroup Inc.Citigroupconsumer protection violation2013WV-AG$1,950,000
Discover Financial ServicesDiscover Financial Servicesconsumer protection violation2013WV-AG$1,950,000
HSBC Finance CorporationHSBCconsumer protection violation2013WV-AG$1,950,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2013WV-AG$1,950,000
BMO Capital Markets Corp.Bank of Montrealinvestor protection violation2019SEC$1,950,000
J.P. Morgan ChaseJPMorgan Chasediscriminatory practices (non-employment)2010private lawsuit-federal$1,950,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2022MULTI-FIN$1,950,000
Bank of America, N.A.Bank of Americaconsumer protection violation2017CA-MULTI$1,940,000
Horizon Healthcare of New Jersey, Inc.Horizon Healthcare Servicesinsurance violation2019NJ-DBI$1,940,000
Hartford Financial Services Group Inc.Hartford Financial Servicesbenefit plan administrator violation2012private lawsuit-federal$1,935,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2012FINRA$1,931,488
The Bank of New York Mellon CorporationBank of New York Mellonemployment discrimination2022OFCCP$1,925,000
Erie Insurance ExchangeErie Indemnityinsurance violation2019VA-INS$1,921,784
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017MULTI-FIN$1,914,370
First Tennessee BankFirst Horizon Nationaldiscriminatory practices (non-employment)2016HUD$1,900,000
Bank of AmericaBank of Americawage and hour violation2017private lawsuit-federal$1,900,000
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2018SEC$1,900,000
Genworth Life Insurance Co.Genworth Financialinsurance violation2014MULTI-AG$1,900,000
AXA Equitable Life Insurance CompanyEquitable Holdingsinsurance violation2010NY-DFS$1,900,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2009MULTI-FIN$1,900,000
Cincinnati Life Insurance CompanyCincinnati Financialdiscriminatory practices (non-employment)2004private lawsuit-state$1,900,000
Mutual of OmahaMutual of Omahaconsumer protection violation2012private lawsuit-federal$1,900,000
Bank of AmericaBank of Americawage and hour violation2024private lawsuit-federal$1,890,000
American Modern Home Insurance CompanyMunich Reinsurance violation2012NC-INS$1,860,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2019SEC$1,852,540
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2019SEC$1,852,383
Wells Fargo BankWells Fargowage and hour violation2015private lawsuit-federal$1,850,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasewage and hour violation2019private lawsuit-federal$1,850,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2000MA-AG$1,840,000
First Republic Investment Management, Inc.JPMorgan Chaseinvestor protection violation2022SEC$1,825,953
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020SEC$1,822,438
PROGRESSIVE NORTHERN INSURANCE CO.Progressiveinsurance violation2018VA-INS$1,818,318
Sentinel Insurance CompanyHartford Financial Servicesinsurance violation2018NY-DFS$1,816,596
Fifth Third BancorpFifth Third Bancorpconsumer protection violation2015private lawsuit-federal$1,801,384
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$1,800,282
Aon CorporationAonbenefit plan administrator violation2010private lawsuit-federal$1,800,000
Jefferson Insurance CompanyAllianzinsurance violation2017MULTI-FIN$1,800,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsinvestor protection violation2015FINRA$1,800,000
First Unum Life Insurance Company of America and Paul Revere Life Insurance CompanyUnumprivacy violation2021NY-DFS$1,800,000
Umpqua BankUmpqua Holdingsbanking violation2021FDIC$1,800,000
Nelnet, Inc.Nelnetconsumer protection violation2024MA-AG$1,800,000
Liberty Insurance Underwriters, Inc.Liberty Mutual Insuranceinsurance violation2022NJ-DBI$1,778,000
American Security Insurance Co. et al.Assurantinsurance violation2005NJ-DBI$1,775,000
Principal Securities, Inc.Principal Financialinvestor protection violation2019SEC$1,764,624
Aon CorporationAonForeign Corrupt Practices Act2011DOJ_CRIMINAL$1,760,000
Compass BankPNC Financial Servicesdiscriminatory practices (non-employment)2007DOJ_RIGHTS$1,750,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2017CFPB$1,750,000
Freedom Mortgage CorporationFreedom Mortgagemortgage abuses2019CFPB$1,750,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2011MULTI-FIN$1,750,000
Louisiana Generating, LLCMacquarieenvironmental violation2013LA-ENV$1,750,000
VALIC Financial Advisors, Inc.American International Groupinvestor protection violation2016FINRA$1,750,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2011FINRA$1,750,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2009FINRA$1,750,000
Thomas Weisel PartnersStifel Financialinvestor protection violation2005FINRA$1,750,000
RBS Financial Products Inc.NatWest Group PLCconsumer protection violation2013private lawsuit-federal$1,750,000
Freedom Mortgage CorporationFreedom Mortgagekickbacks and bribery2023CFPB$1,750,000
Standard Chartered BankStandard Charteredprice-fixing or anti-competitive practices2020private lawsuit-federal$1,720,000
IFCO Systems North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$1,712,712
UBS AGUBSeconomic sanction violation2015OFAC$1,700,100
American General Finance Management CorporationOneMain Holdingswage and hour violation2011private lawsuit-federal$1,700,000
American Heritage Life Insurance Co.Allstateconsumer protection violation2007TX-AG$1,700,000
Mutual of Omaha Insurance Co.Mutual of Omahakickbacks and bribery2008CT-AG$1,700,000
PayPal, Inc.PayPal Holdingsconsumer protection violation2006MULTI-AG$1,700,000
RBC Dain Rauscher, Inc.Royal Bank of Canadainvestor protection violation2005FINRA$1,700,000
John Alden Life Insurance Co. and Time Insurance Co.Assurantinsurance violation2015MT-FIN$1,699,709
BlackRock Institutional Trust CompanyBlackRockinvestor protection violation2014SEC$1,675,350
Deutsche Bank Energy Trading LLDeutsche Bankprice-fixing or anti-competitive practices2013FERC$1,670,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.