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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
Merrill Lynch, Pierce, Fenner & Smith IncBank of Americainvestor protection violation2018SEC$1,404,000
UBSUBSwage and hour violation2012private lawsuit-federal$1,400,000
H&R BlockH&R Blockwage and hour violation2010private lawsuit-federal$1,400,000
MUFG Securities Americas Inc.U.S. Bancorpinvestor protection violation2018SEC$1,400,000
Ditech Financial, LLCDitech Holding Corporationconsumer protection violation2016MA-AG$1,400,000
BGC Partners, Inc.BGC Partnersinvestor protection violation2020SEC$1,400,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2017FINRA$1,400,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2015FINRA$1,400,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2009FINRA$1,400,000
State Street Global Markets LLCState Street Corp.investor protection violation2005FINRA$1,400,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2023SEC$1,400,000
MassMutual Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2020NY-DFS$1,399,708
Ditech Financial LLCDitech Holding Corporationwage and hour violation2017private lawsuit-federal$1,383,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013FINRA$1,373,000
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2011FINRA$1,371,000
Crawford and CompanyCrawford & Co.False Claims Act and related2006DOJ_CIVIL$1,363,204
Societe Generale Private Banking (Lugano-Svizzera)Societe Generaletax violations2015DOJ_TAX$1,363,000
HomeStreet BankHomeStreet Inc.banking violation2019FDIC$1,350,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceconsumer protection violation2023KY-AG$1,350,000
Transamerica Financial Life Insurance CompanyAegoninsurance violation2018NY-DFS$1,345,136
Transamerica Life Insurance Co.Aegoninsurance violation2013MA-AG$1,330,000
Wilmington Trust Investment Management, LLCM&T Bankinvestor protection violation2023SEC$1,327,147
UBSUBSwage and hour violation2015private lawsuit-federal$1,312,500
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2018SEC$1,304,197
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2002CO-AG$1,300,000
Bank of New York Mellon Corp.Bank of New York Melloninvestor protection violation2011MULTI-AG$1,300,000
First USAJPMorgan Chaseconsumer protection violation2002MULTI-AG$1,300,000
Hartford Financial Services Group, Inc.Hartford Financial Servicesprice-fixing or anti-competitive practices2009CT-AG$1,300,000
Chubb Ltd.Chubb Limitedinsurance violation2018NY-DFS$1,300,000
Barclays Capital Inc.Barclaysinvestor protection violation2016FINRA$1,300,000
LPL Financial Corp.LPL Financialinvestor protection violation2009MT-FIN$1,294,416
CitigroupCitigroupinvestor protection violation2012FINRA$1,279,106
Associated Banc-CorpAssociated Banc-Corpwage and hour violation2012private lawsuit-federal$1,275,000
Banc of America Securities LLCBank of Americainvestor protection violation2010NJ-AG$1,268,393
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2013FL-OFR$1,260,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinainvestor protection violation2018SEC$1,250,000
Mizuho Securities USA LLCMizuho Financialinvestor protection violation2018SEC$1,250,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2018SEC$1,250,000
Great American Financial Resources, Inc.American Financial Groupwage and hour violation2019private lawsuit-federal$1,250,000
LendingClub CorporationLendingClub Corp.consumer protection violation2020MA-AG$1,250,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2006AZ-CC$1,250,000
Voya Insurance and Annuity Co. et al.Voya Financialinsurance violation2014MN-FIN$1,250,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2016MN-FIN$1,250,000
American Home Assurance Co. et al.American International Groupinsurance violation2015MO-INS$1,250,000
CitifinancialCitigrouphousing program violation2010MULTI-FIN$1,250,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2020CFTC$1,250,000
Robinhood Financial, LLCRobinhood Marketsinvestor protection violation2019FINRA$1,250,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2019FINRA$1,250,000
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2017FINRA$1,250,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005FINRA$1,250,000
Aon Hewitt Health Market Insurance Solutions, Inc.Aonwage and hour violation2021private lawsuit-federal$1,250,000
CS First Boston Corp.UBSinvestor protection violation2000FINRA$1,240,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2021SEC$1,207,000
Merrill LynchBank of Americainvestor protection violation2014CFTC$1,200,000
U.S. Bank, National AssociationU.S. Bancorpmortgage abuses2011HUD$1,200,000
Hartford Fire InsuranceHartford Financial Serviceswage and hour violation2011private lawsuit-federal$1,200,000
Champion Mortgage and KeyBankKeyCorpwage and hour violation2009private lawsuit-federal$1,200,000
QBE Americas, Inc.QBE Insurancewage and hour violation2018private lawsuit-federal$1,200,000
Credit Suisse Securities (USA) LLCUBStoxic securities abuses2016VA-AG$1,200,000
Metropolitan Life Insurance Co.MetLifeconsumer protection violation2000MA-AG$1,200,000
Fidelity InvestmentsFidelity Investmentswage and hour violation2019private lawsuit-federal$1,200,000
American Title Co. dba Ticor Title Company of AmericaFidelity National Financialinsurance violation2005CA-INS$1,200,000
American General Financial Services Inc.OneMain Holdingsinsurance violation2004NJ-DBI$1,200,000
Travelers Indemnity Company et al.Travelersinsurance violation2015TX-INS$1,200,000
Janney Montgomery Scott, LLCPenn Mutualinvestor protection violation2015FINRA$1,200,000
ING Groep N.V.Voya Financialinvestor protection violation2013FINRA$1,200,000
MetLife Securities, Inc.MetLifeinvestor protection violation2009FINRA$1,200,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2022SEC$1,200,000
Countrywide Financial CorporationBank of AmericaWARN Act violation2013private lawsuit-federal$1,200,000
Bank of America N.A.Bank of Americaconsumer protection violation2022private lawsuit-federal$1,200,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2021NJ-DBI$1,200,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2012private lawsuit-federal$1,195,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2013FINRA$1,188,000
First American Title Co.First American Financialinsurance violation2021CA-INS$1,185,000
Teachers Insurance Annuity AssociationTIAAwage and hour violation2007WHD$1,171,404
RBC Dain Rauscher, Inc.Royal Bank of Canadainvestor protection violation2005FINRA$1,158,000
U.S. BancorpU.S. Bancorpwage and hour violation2017private lawsuit-federal$1,150,000
Home Loan Center, Inc.LendingTreeconsumer protection violation2010AZ-AG$1,150,000
TD Ameritrade Clearing, Inc.Charles Schwab Corp.investor protection violation2013FINRA$1,150,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2010NJ-AG$1,149,028
Countrywide Financial Corp.Bank of Americamortgage abuses2009RI-AG$1,146,000
American Family Life Assurance Company of New York (AFLAC)Aflacinsurance violation2018NY-DFS$1,138,368
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2019SEC$1,134,152
Mastercard Inc.MasterCardconsumer protection violation2018NM-AG$1,125,000
Morgan Stanley Capital Group, Inc.Morgan Stanleyenvironmental violation2017EPA$1,119,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2006FINRA$1,115,000
Fifth Third BankFifth Third Bancorpwage and hour violation2017private lawsuit-federal$1,111,388
Transamerica Financial AdvisorsAegoninvestor protection violation2014SEC$1,107,248
Bank of America, National AssociationBank of Americabanking violation2015OCC$1,104,530
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2012MO-SEC$1,101,385
SunTrust BanksTruist Financialinvestor protection violation2017SEC$1,100,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesprivacy violation2017NJ-AG$1,100,000
LPL Financial LLCLPL Financialinvestor protection violation2019MA-SEC$1,100,000
Flagstar BankNew York Community Bancorpdiscriminatory practices (non-employment)2004private lawsuit-federal$1,100,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2019FINRA$1,100,000
Wachovia Securities, LLC and First Clearing, LLCWells Fargoinvestor protection violation2009FINRA$1,100,000
First Unum Life Insurance CompanyUnuminsurance violation2022NY-DFS$1,100,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2014FINRA$1,097,000
J.P. Morgan Investment Management Inc.JPMorgan Chaseinvestor protection violation2015SEC$1,084,210
CitigroupCitigroupwage and hour violation2017private lawsuit-federal$1,080,000
Merrill LynchBank of Americainvestor protection violation2012FINRA$1,074,200
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.