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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 Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Discover BankDiscover Financial Servicesconsumer protection violation2011MN-AG$2,000,000
Discover Financial ServicesDiscover Financial Servicesconsumer protection violation2014HI-AG$2,825,000
Discover Financial ServicesDiscover Financial Servicesconsumer protection violation2015MO-AG$760,000
Discover Financial ServicesDiscover Financial Servicesconsumer protection violation2013WV-AG$1,950,000
Discover Financial Services, Inc./Millenium Teleservices, Inc.Discover Financial Servicesprivacy violation2002KY-AG$5,000
Discover Financial ServicesDiscover Financial Serviceseconomic sanction violation2010OFAC$8,720
Discover Bank et al.Discover Financial Servicesconsumer protection violation2020CFPB$35,000,000
Green Tree Servicing LLCDitech Holding Corporationconsumer protection violation2015FTC$63,000,000
Walter Investment Management Corp.Ditech Holding CorporationFalse Claims Act and related2015DOJ_CIVIL$29,630,000
Ditech Financial LLCDitech Holding Corporationwage and hour violation2017private lawsuit-federal$1,383,000
DitechDitech Holding Corporationwage and hour violation2002private lawsuit-federal$6,150,000
Ditech Financial, LLCDitech Holding Corporationconsumer protection violation2016MA-AG$1,400,000
DITECH INCDitech Holding Corporationworkplace safety or health violation2014OSHA$5,880
East West BankEast West Bancorpbanking violation2007FED$16,245
East West BankEast West Bancorpbanking violation2020FED$129,108
Asset Acceptance LLCEncore Capital Groupconsumer protection violation2012FTC$2,500,000
Encore Capital GroupEncore Capital Groupconsumer protection violation2015CFPB$52,000,000
Asset Acceptance, LLCEncore Capital GroupFamily and Medical Leave Act2014WHD$7,450
Atlantic Credit and Finance, Inc.Encore Capital Groupwage and hour violation2006WHD$9,422
Encore Capital Group Inc.Encore Capital Groupconsumer protection violation2018MULTI-AG$6,000,000
Encore Capital Group Inc., Midland Credit Management, Inc. and Midland Funding LLCEncore Capital Groupconsumer protection violation2009MD-AG$998,000
Encore Capital Group, Inc.Encore Capital Groupconsumer protection violation2015NY-AG$675,000
Midland Credit Management, Inc.Encore Capital Groupconsumer protection violation2005WV-AG$3,500,000
Midland Funding, LLCEncore Capital Groupconsumer protection violation2012MN-AG$500,000
Midland Credit Management, Inc.Encore Capital Groupconsumer protection violation2012AZ-DIFI$750,000
Encore Capital Group, Inc.Encore Capital Groupconsumer protection violation2020CFPB$15,079,308
Encore Capital Group, Inc. et al.Encore Capital Groupconsumer protection violation2022MA-AG$12,000,000
Midland Funding LLCEncore Capital Groupconsumer protection violation2019private lawsuit-federal$9,805,000
Asset Acceptance, LLCEncore Capital Groupconsumer protection violation2013NC-INS$8,000
Midland Credit Management, Inc.Encore Capital Groupbenefit plan administrator violation2023EBSA$10,001
Enova International, Inc.Enova Internationalconsumer protection violation2019CFPB$3,200,000
Enova International Inc.Enova Internationalconsumer protection violation2023CFPB$15,000,000
Alliance Capital Management L.P.Equitable Holdingsinvestor protection violation2003SEC$250,000,000
Equitable Life & Casualty Insurance CompanyEquitable Holdingswage and hour violation2008WHD$19,445
AXA Equitable Life Insurance CompanyEquitable Holdingswage and hour violation2006WHD$29,534
AXA AdvisorsEquitable Holdingswage and hour violation2016private lawsuit-federal$2,300,000
AllianceBernsteinEquitable Holdingswage and hour violation2013private lawsuit-federal$2,980,000
AXA FinancialEquitable Holdingswage and hour violation2009private lawsuit-federal$6,500,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2012SEC$100,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2009SEC$50,000
AllianceBernstein, L.P.Equitable Holdingsinvestor protection violation2007SEC$450,000
AXA Equitable Life Insurance CompanyEquitable Holdingsbenefit plan administrator violation2011private lawsuit-federal$2,500,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2019SEC$1,134,152
Alliance Capital ManagementEquitable Holdingsinvestor protection violation2003NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $600,000,000
AXA Equitable Life Insurance CompanyEquitable Holdingsinsurance violation2012NY-AG$850,000
AllianceBernstein L.P.Equitable Holdingsinvestor protection violation2013CO-SEC$20,232
AllianceBernstein L.P.Equitable Holdingsinvestor protection violation2012DE-SEC$20,000
AXA Equitable Life Insurance Co.Equitable Holdingsinsurance violation2018DE-INS$5,000
The Equitable Life Assurance Society of the United StatesEquitable Holdingsinsurance violation2003FL-OFR$1,600,000
AXA Equitable Life Insurance Co. et al.Equitable Holdingsinsurance violation2016MN-FIN$900,000
AXA Equitable Life Insurance Co.Equitable Holdingsinsurance violation2016MN-FIN$5,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2010MO-SEC$92,015
AXA Equitable Life & Annuity Co.Equitable Holdingsinsurance violation2016MT-FIN$5,000
AXA Equitable Life Insurance CompanyEquitable Holdingsinsurance violation2010NY-DFS$1,900,000
AXA EquitableEquitable Holdingsinsurance violation2014NY-DFS$20,000,000
Equitable Life and Casualty Insurance CompanyEquitable Holdingsinsurance violation2002OR-FIN$25,000
AXA Advisors LLCEquitable Holdingsinvestor protection violation2011OR-FIN$80,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2019FINRA$772,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2015FINRA$600,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2007FINRA$2,600,000
AllianceBernstein Investments, Inc.Equitable Holdingsinvestor protection violation2007FINRA$100,000
Sanford C. Bernstein & Co.Equitable Holdingsinvestor protection violation2006FINRA$350,000
AllianceBernstein Investment Research and Management, Inc.Equitable Holdingsinvestor protection violation2005FINRA$3,984,087
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2005FINRA$900,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2004FINRA$250,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2004FINRA$250,000
Equitable Financial Life Insurance CompanyEquitable Holdingsinvestor protection violation2022SEC$50,000,000
Erie Insurance ExchangeErie Indemnityinsurance violation2012MD-INS$50,000
Erie Insurance ExchangeErie Indemnityinsurance violation2016MD-INS$5,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2014NY-DFS$9,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2015NY-DFS$21,000
ERIE INSURANCE EXCHANGEErie Indemnityinsurance violation2003VA-INS$6,200
Erie Insurance ExchangeErie Indemnityinsurance violation2019VA-INS$1,921,784
Erie Insurance Company and Erie Insurance ExchangeErie Indemnityinsurance violation2019VA-INS$90,219
Erie Insurance Company and Erie Insurance ExchangeErie Indemnityinsurance violation2020VA-INS$19,371
Erie Insurance Company of New YorkErie Indemnityinsurance violation2021NY-DFS$22,000
Erie Insurance Company and Erie Insurance Company of New YorkErie Indemnityinsurance violation2021NY-DFS$561,900
Erie Insurance Company of New York and Erie Insurance CompanyErie Indemnityinsurance violation2022NY-DFS$19,000
Everest National Insurance CompanyEverest Re Groupinsurance violation2014TX-INS$25,000
Everest National Insurance CompanyEverest Re Groupinsurance violation2019TX-INS$13,500
Everest Reinsurance CompanyEverest Re Groupinsurance violation2020MN-FIN$8,000
Everest National Insurance CompanyEverest Re Groupinsurance violation2021TX-INS$5,500
Everest National Insurance CompanyEverest Re Groupinsurance violation2023TX-INS$22,000
Everest Premier Insurance CompanyEverest Re Groupinsurance violation2023TX-INS$5,500
Everest Premier Insurance CompanyEverest Re Groupinsurance violation2023TX-INS$13,500
EZCORP Inc.EZCORP Inc.consumer protection violation2015CFPB$10,500,000
EZCORP, Inc.EZCORP Inc.privacy violation2008TX-AG$600,000
First National Bank of PennsylvaniaF.N.B. Corporationbanking violation2015OCC$180,720
First National Bank of PennsylvaniaF.N.B. Corporationconsumer protection violation2013private lawsuit-federal$3,000,000
First National Bank of PennsylvaniaF.N.B. Corporationmortgage abuses2024NC-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $13,500,000
First National Bank of PennsylvaniaF.N.B. Corporationdiscriminatory practices (non-employment)2024DOJ_RIGHTS$13,500,000
Zenith Insurance Co.Fairfax Financial Holdingsemployment discrimination2006EEOC$180,000
First Mercury Insurance Co.Fairfax Financial Holdingsinsurance violation2012CA-INS$330,000
North River Insurance Co.Fairfax Financial Holdingsinsurance violation2012CO-INS$62,700
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2012CO-INS$111,500
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2014DE-INS$10,000
ZENITH INSURANCE COMPANYFairfax Financial Holdingsinsurance violation2001FL-OFR$6,850
Seneca Insurance Co.Fairfax Financial Holdingsinsurance violation2014KS-INS$5,000
Crum & Forster Indemnity Co.Fairfax Financial Holdingsinsurance violation2018MD-INS$20,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2018MD-INS$7,500
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2014MN-FIN$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.