Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$323,889,987,491
Number of Records: 
5,839
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$82,695,676,034210
JPMorgan Chase$34,517,828,993151
Citigroup$25,045,655,764120
Wells Fargo$21,139,073,231172
Deutsche Bank$17,995,700,77855
UBS$16,782,800,91082
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,332,95016
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.
Download results as CSV or XML
Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
Homesite Insurance Company of the Midwest American Family Insurance insurance violation 2015 MD-INS $5,000
Homesite Insurance Company of the Midwest American Family Insurance insurance violation 2011 ME-INS $7,500
Homesite Insurance Company of the Midwest American Family Insurance insurance violation 2009 MN-FIN $15,000
Homesite Insurance Company Of The Midwest American Family Insurance insurance violation 2011 WA-INS $12,000
Homesite Insurance Company Of The Midwest American Family Insurance insurance violation 2012 WA-INS $30,000
Homesite Insurance Company Of The Midwest American Family Insurance insurance violation 2019 WA-INS $15,000
Homesite Insurance Group American Family Insurance insurance violation 2016 MULTI-FIN $500,000
HomeStreet Bank HomeStreet Inc. banking violation 2019 FDIC $1,350,000
HomeStreet Inc HomeStreet Inc. accounting fraud or deficiencies 2017 SEC $500,000
HORACE MANN SERVICE CORPORATION Horace Mann Educators Corp. benefit plan administrator violation 2006 EBSA $10,001
Horizon Healthcare of New Jersey Inc. Horizon Healthcare Services insurance violation 2003 NJ-DBI $200,000
Horizon Healthcare of New Jersey, Inc. Horizon Healthcare Services insurance violation 2017 NJ-DBI $291,824
Horizon Healthcare of New Jersey, Inc. Horizon Healthcare Services insurance violation 2019 NJ-DBI $1,940,000
Horizon Healthcare Services, Inc. Horizon Healthcare Services insurance violation 2010 NJ-DBI $500,000
Horizon Healthcare Services, Inc. Horizon Healthcare Services insurance violation 2012 NJ-DBI $4,233,100
Horizon Healthcare Services, Inc. Horizon Healthcare Services insurance violation 2012 NJ-DBI $100,000
Horizon Healthcare Services, Inc. Horizon Healthcare Services insurance violation 2014 NJ-DBI $750,000
Horizon Healthcare Services, Inc. Horizon Healthcare Services insurance violation 2016 NJ-DBI $400,000
Horizon Healthcare Services, Inc. Horizon Healthcare Services insurance violation 2019 NJ-DBI $250,000
Horizon Healthcare Services, Inc. and Horizon Healthcare of New Jersey Inc. Horizon Healthcare Services insurance violation 2017 NJ-DBI $1,500,000
Household Finance Corp. HSBC mortgage abuses 2002 MULTI-AG $484,000,000
Household Finance Corp. of California and Beneficial California, Inc. HSBC mortgage abuses 2002 CA-DBO $8,900,000
Household Finance Corpoation HSBC consumer protection violation 2008 NE-DBF $55,000
Household International HSBC wage and hour violation 2003 WHD $54,328
Household International HSBC benefit plan administrator violation 2004 private lawsuit-federal $46,500,000
HSBC HSBC toxic securities abuses 2012 NCUA $5,250,000
HSBC HSBC mortgage abuses 2014 USAO $10,000,000
HSBC HSBC wage and hour violation 2007 WHD $16,545
HSBC HSBC wage and hour violation 2016 private lawsuit-federal $6,982,000
HSBC HSBC toxic securities abuses 2018 USAO $765,000,000
HSBC HSBC mortgage abuses 2016 MULTI-AG (*) $59,500,000
HSBC HSBC consumer protection violation 2016 MA-AG $4,000,000
HSBC HSBC consumer protection violation 2015 MO-AG $825,000
HSBC Auto Finance HSBC wage and hour violation 2009 private lawsuit-federal $420,000
HSBC Bank HSBC interest rate benchmark manipulation 2014 CFTC $275,000,000
HSBC Bank HSBC wage and hour violation 2006 WHD $7,599
HSBC Bank HSBC wage and hour violation 2013 private lawsuit-federal $15,625,000
HSBC Bank USA HSBC economic sanction violation 2004 OFAC $5,500
HSBC Bank USA HSBC economic sanction violation 2004 OFAC $8,375
HSBC Bank USA HSBC economic sanction violation 2003 OFAC $5,500
HSBC Bank USA HSBC economic sanction violation 2003 OFAC $11,000
HSBC Bank USA HSBC benefit plan administrator violation 2005 private lawsuit-federal $9,350,000
HSBC Bank USA N.A. HSBC False Claims Act and related 2017 USAO $2,118,861
HSBC Bank USA NA HSBC mortgage abuses 2016 DOJ $470,000,000
HSBC Bank USA, N.A. HSBC banking violation 2012 OCC $500,000,000
HSBC Bank USA, N.A. HSBC investor protection violation 2007 SEC $10,500,000
HSBC Bank USA, N.A. HSBC environmental violation 2007 NY-AG $918,000
HSBC Bank USA, N.A. HSBC investor protection violation 2019 CFTC $650,000
HSBC Bank USA, N.A. HSBC economic sanction violation 2013 OFAC $32,400
HSBC Bank USA, National Association HSBC banking violation 2016 OCC $35,000,000
HSBC Bank USA, National Association HSBC banking violation 2013 OCC $249,000,000
HSBC Bank USA, National Association HSBC banking violation 2017 OCC $32,500,000
HSBC Finance Corporation HSBC Servicemembers Civil Relief Act 2016 DOJ_RIGHTS $434,500
HSBC Finance Corporation HSBC consumer protection violation 2013 WV-AG $1,950,000
HSBC Holdings HSBC economic sanction violation 2012 OFAC $375,000,000
HSBC Holdings HSBC banking violation 2017 FED $175,000,000
HSBC HOLDINGS PLC HSBC banking violation 2012 FED $165,000,000
HSBC Holdings plc HSBC fraud 2018 DOJ_CRIMINAL $100,000,000
HSBC Holdings plc HSBC economic sanction violation 2012 NY-MANDA (*) $187,500,000
HSBC Holdings plc HSBC Bank USA N.A. HSBC anti-money-laundering deficiencies 2012 DOJ_CRIMINAL $1,256,000,000
HSBC North America HSBC environmental violation 2010 EPA $36,083
HSBC North America Holdings Inc. HSBC toxic securities abuses 2014 FHFA $550,000,000
HSBC North America Holdings, Inc. HSBC banking violation 2016 FED $131,000,000
HSBC North America Inc HSBC wage and hour violation 2006 WHD $5,357
HSBC North America Inc. HSBC wage and hour violation 2006 WHD $11,489
HSBC North America Inc. HSBC wage and hour violation 2006 WHD $12,685
HSBC North America Inc. HSBC wage and hour violation 2006 WHD $8,273
HSBC Private Bank (Suisse) HSBC investor protection violation 2014 SEC $12,500,000
HSBC Private Bank (Suisse) SA HSBC tax violations 2019 USAO $192,350,000
HSBC Securities HSBC mortgage abuses 2018 MA-AG $26,800,000
HSBC Securities (USA) Inc. HSBC investor protection violation 2018 CFTC $1,600,000
HSBC Securities (USA) Inc. HSBC toxic securities abuses 2016 VA-AG $2,500,000
HSBC Securities (USA) Inc. HSBC investor protection violation 2020 SEC $725,000
HSBC Securities USA Inc HSBC insurance violation 2011 WA-INS $7,000
HSBC TOWER HSBC environmental violation 2017 EPA $5,000
Hudson City Savings Bank M&T Bank banking violation 2015 CFPB $32,750,000
Hunter Wise Hunter Wise Commodities investor protection violation 2014 CFTC $108,000,000
Huntington Bancshares Huntington Bancshares wage and hour violation 2013 private lawsuit-federal $3,100,000
Huntington Bancshares Inc. Huntington Bancshares benefit plan administrator violation 2011 private lawsuit-federal $1,450,000
Huntington Bancshares Incorporated Huntington Bancshares Family and Medical Leave Act 2015 WHD $7,788
Huntington Bancshares, Inc. Huntington Bancshares accounting fraud or deficiencies 2005 SEC $7,500,000
Huntington National Bank Huntington Bancshares wage and hour violation 2010 WHD $10,007
Huntington National Bank Huntington Bancshares wage and hour violation 2005 WHD $51,259
Hutchinson, Shockey, Erley & Co. Huntington Bancshares investor protection violation 2015 SEC $220,000
IAC Invesco workplace safety or health violation 2013 OSHA $9,025
IAC ALBEMARLE, LLC Invesco workplace safety or health violation 2017 OSHA $7,000
IAC DAYTON LLC Invesco workplace safety or health violation 2013 OSHA $5,775
IAC GREENVILLE, LLC Invesco environmental violation 2013 EPA $16,870
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLC Invesco workplace safety or health violation 2011 OSHA $5,850
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLC Invesco workplace safety or health violation 2014 OSHA $6,300
IAC HURON, LLC Invesco workplace safety or health violation 2011 OSHA $20,940
IAC MADISONVILLE LLC Invesco workplace safety or health violation 2014 OSHA $5,000
IAC MADISONVILLE LLC Invesco workplace safety or health violation 2014 OSHA $7,500
IAC SPARTANBURG Invesco workplace safety or health violation 2011 OSHA $7,277
IAC SPARTANBURG INC Invesco environmental violation 2015 EPA $58,000
IAC SPRINGFIELD LLC Invesco workplace safety or health violation 2014 OSHA $6,350
IAC Springfield, LLC Invesco Family and Medical Leave Act 2015 WHD $5,377
IAC SPRINGFIELD, LLC Invesco environmental violation 2005 EPA $17,500
IAC SPRINGFIELD, LLC Invesco environmental violation 2007 EPA $12,500
IAC SPRINGFIELD, LLC Invesco workplace safety or health violation 2014 OSHA $9,100
IBERIABANK IberiaBank False Claims Act and related 2017 DOJ_CIVIL $11,692,149
Download results as CSV or XML