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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 TypeYearAgency sort iconPenalty Amount
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2024OR-FIN$100,000
LITTON LOAN SERVICING LPOcwen Financialenvironmental violation2010OR-ENV$7,125
American International Group Inc.American International Groupinvestor protection violation2010OR-AG$8,000,000
Countrywide Financial CorporationBank of Americamortgage abuses2009OR-AG$1,000,000
OppenheimerFunds Inc.Invescoinvestor protection violation2009OR-AG$20,000,000
Waddell & Reed Inc.Macquarieinvestor protection violation2008OK-SEC$10,000
CUNA Brokerage Services Inc.CUNA Mutualinvestor protection violation2014OK-SEC$15,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020OK-SEC$9,968
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2022OK-SEC$15,000
CashCall, Inc.CashCall Inc.consumer protection violation2017OK-DCC$1,000,000
Great Plains Specialty Finance Inc. dba Check 'N GoCNG Financialconsumer protection violation2019OK-DCC$48,600
Great Plains Specialty Finance Inc. dba Check 'N GoCNG Financialconsumer protection violation2020OK-DCC$27,500
Farmers InsuranceZurich Insuranceinsurance violation2021OK-AG$25,000,000
USAAUSAAinsurance violation2002OH-INS$30,000
Buckeye Pipe Line Company, L.P.IFM Investorsenvironmental violation2007OH-ENV$30,000
Synagro - WWT, Inc.Goldman Sachsenvironmental violation2005OH-ENV$10,000
Ocwen Loan Servicing LLCOcwen Financialconsumer protection violation2009OH-BKG$10,000
Ace Cash ExpressACE Cash Expressconsumer protection violation2009OH-BKG$7,050
Quicken Loans Inc.Rocket Companies Inc.consumer protection violation2011OH-BKG$35,000
ACE GroupChubb Limitedprice-fixing or anti-competitive practices2011OH-AG$1,970,000
American International GroupAmerican International Groupinvestor protection violation2010OH-AG$725,000,000
American International GroupAmerican International Groupprice-fixing or anti-competitive practices2010OH-AG$9,000,000
Farmers Insurance GroupZurich Insurancediscriminatory practices (non-employment)2001OH-AG$4,300,000
Merrill LynchBank of Americainvestor protection violation2009OH-AG$475,000,000
Zurich American Insurance CompanyZurich Insuranceprice-fixing or anti-competitive practices2006OH-AG$7,000,000
Ameriprise Financial, Inc.Ameriprise Financialemployment discrimination2016OFCCP$128,200
Bank of America CorpBank of Americaemployment discrimination2013OFCCP$2,181,593
Simmons First National BankSimmons First National Corp.employment discrimination2010OFCCP$360,187
Wells FargoWells Fargoemployment discrimination2015OFCCP$14,000
Standard Insurance CompanyMeiji Yasuda Life Insuranceemployment discrimination2011OFCCP$18,505
Bank of AmericaBank of Americaemployment discrimination2017OFCCP$1,000,000
Fifth Third BankFifth Third Bancorpemployment discrimination2000OFCCP$440,000
State Street CorporationState Street Corp.employment discrimination2017OFCCP$4,492,174
Goldman SachsGoldman Sachsemployment discrimination2019OFCCP$9,995,000
Wells Fargo Bank N.A.Wells Fargoemployment discrimination2019OFCCP$283,697
Bank of AmericaBank of Americaemployment discrimination2019OFCCP$4,200,000
Teachers Insurance and Annuity AssociationTIAAemployment discrimination2020OFCCP$1,500,000
Wells Fargo Bank, N.A.Wells Fargoemployment discrimination2020OFCCP$7,800,000
JPMorgan Chase & Co.JPMorgan Chaseemployment discrimination2020OFCCP$9,000,000
The Bank of New York Mellon CorporationBank of New York Mellonemployment discrimination2022OFCCP$1,925,000
Navient CorporationNavientemployment discrimination2023OFCCP$700,000
Barclays Bank PLCBarclayseconomic sanction violation2016OFAC$2,485,890
Credit Agricole Corporate and Investment BankCredit Agricoleeconomic sanction violation2015OFAC$329,593,585
UBS AGUBSeconomic sanction violation2015OFAC$1,700,100
Navigators Insurance CompanyHartford Financial Serviceseconomic sanction violation2015OFAC$271,815
PayPal Inc.PayPal Holdingseconomic sanction violation2015OFAC$7,658,300
Commerzbank AGCommerzbankeconomic sanction violation2014OFAC$258,660,796
Bank of America N.A.Bank of Americaeconomic sanction violation2014OFAC$16,562,700
Clearstream Banking SADeutsche Borseeconomic sanction violation2014OFAC$152,000,000
Royal Bank of Scotland PLCNatWest Group PLCeconomic sanction violation2013OFAC$33,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2012OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $132,000,000
HSBC HoldingsHSBCeconomic sanction violation2012OFAC$375,000,000
ING Bank N.V.INGeconomic sanction violation2012OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $619,000,000
JPMorgan Chase BankJPMorgan Chaseeconomic sanction violation2011OFAC$88,300,000
Australia and New Zealand Bank Group, Ltd.Australia and New Zealand Banking Groupeconomic sanction violation2009OFAC$5,750,000
A.G. Edwards and Sons Inc.Wells Fargoeconomic sanction violation2008OFAC$122,358
BankAtlanticTruist Financialeconomic sanction violation2008OFAC$7,500
BB&TTruist Financialeconomic sanction violation2007OFAC$10,000
Citigroup, N. A.Citigroupeconomic sanction violation2008OFAC$16,250
Key Bank National AssociationKeyCorpeconomic sanction violation2008OFAC$200,000
American Express Travel Related Services Co., Inc.American Expresseconomic sanction violation2007OFAC$16,625
National Australia Bank Ltd.National Australia Bankeconomic sanction violation2007OFAC$100,000
Wachovia BankWells Fargoeconomic sanction violation2007OFAC$11,000
ABN AMRO Bank, N.V.ABN AMROeconomic sanction violation2006OFAC$40,000,000
Bank of ChinaBank of Chinaeconomic sanction violation2005OFAC$11,000
Fidelity Brokerage Services, Inc. dba Fidelity InvestmentsFidelity Investmentseconomic sanction violation2005OFAC$63,853
PNC BankPNC Financial Serviceseconomic sanction violation2005OFAC$8,200
Seabury & Smith Inc.Marsh & McLennaneconomic sanction violation2005OFAC$46,341
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$40,423
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$30,800
The Bank of New YorkBank of New York Melloneconomic sanction violation2005OFAC$5,844
Union Bank of CaliforniaU.S. Bancorpeconomic sanction violation2005OFAC$5,500
Wachovia BankWells Fargoeconomic sanction violation2005OFAC$5,500
Wells Fargo BankWells Fargoeconomic sanction violation2005OFAC$42,833
ABN AMRO Bank, IncABN AMROeconomic sanction violation2004OFAC$25,847
American ExpressAmerican Expresseconomic sanction violation2004OFAC$18,391
American Express Bank Ltd.American Expresseconomic sanction violation2004OFAC$5,041
American Express CompanyAmerican Expresseconomic sanction violation2004OFAC$5,500
Arab Banking Corp.Arab Banking Corp.economic sanction violation2004OFAC$5,500
Bank of AmericaBank of Americaeconomic sanction violation2004OFAC$13,573
Bank of ChinaBank of Chinaeconomic sanction violation2004OFAC$10,000
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$137,500
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$34,623
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$27,500
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$5,500
Bank OneJPMorgan Chaseeconomic sanction violation2004OFAC$5,500
Bank OneJPMorgan Chaseeconomic sanction violation2004OFAC$6,682
Barclays Bank PLCBarclayseconomic sanction violation2004OFAC$14,970
California United BankPacWest Bancorpeconomic sanction violation2004OFAC$7,250
CitibankCitigroupeconomic sanction violation2004OFAC$5,500
Citicorp Vendor Finance LtdCitigroupeconomic sanction violation2004OFAC$7,379
Commerzbank AGCommerzbankeconomic sanction violation2004OFAC$5,500
Deutsche BankDeutsche Bankeconomic sanction violation2004OFAC$5,500
First Union BankWells Fargoeconomic sanction violation2004OFAC$18,740
Hanmi BankHanmi Financial Corp.economic sanction violation2004OFAC$7,000
HSBC Bank USAHSBCeconomic sanction violation2004OFAC$5,500
HSBC Bank USAHSBCeconomic sanction violation2004OFAC$8,375
JP Morgan ChaseJPMorgan Chaseeconomic sanction violation2004OFAC$26,980
JP Morgan Chase & Co.JPMorgan Chaseeconomic sanction violation2004OFAC$17,303
JP Morgan Chase & Co.JPMorgan Chaseeconomic sanction violation2004OFAC$73,281
JP Morgan Chase BankJPMorgan Chaseeconomic sanction violation2004OFAC$9,748
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.