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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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Norddeutsche Landesbank GirozentraleNorddeutsche Landesbankemployment discrimination2008private lawsuit-federal$2,618,600
Nomura Securities International, Inc.Nomurainvestor protection violation2022SEC$50,000,000
Nomura Securities International Inc.Nomurainvestor protection violation2019SEC$26,400,000
Nomura Securities International Inc.Nomuraprice-fixing or anti-competitive practices2018private lawsuit-federal$8,750,000
Nomura Securities International Inc.Nomuraprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Nomura Securities InternationalNomurafraud2023USAO$35,000,000
Nomura SecuritiesNomurainvestor protection violation2022CFTC$50,000,000
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc.Nomuratoxic securities abuses2016NCUA$3,000,000
Noble Americas CorporationVitolrailroad safety violation2017FRA$6,500
Noble Americas Corp.Vitolrailroad safety violation2012FRA$15,000
Noble Americas Corp.Vitolinvestor protection violation2010CFTC$130,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2019SEC$1,405,349
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2012AL-SEC$60,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2019MA-SEC$150,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2010MT-FIN$5,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2020TX-SEC$600,000
NEXT FINANCIAL GROUP, INC.Atria Wealth Solutionsinvestor protection violation2015VA-SEC$18,000
NEXT FINANCIAL GROUP, INC.Atria Wealth Solutionsinvestor protection violation2017VA-SEC$60,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2020VA-SEC$5,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2011FINRA$2,050,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2009FINRA$1,000,000
NEXT Financial Group, IncAtria Wealth Solutionsinvestor protection violation2014NH-BSR$140,000
NEXT Financial Group, IncAtria Wealth Solutionsinvestor protection violation2019NH-BSR$325,000
New York Stock Exchange, Inc.IntercontinentalExchange Groupinvestor protection violation2005SEC$20,000,000
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2014SEC$4,500,000
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2012SEC$5,000,000
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2018SEC$14,000,000
New York Life Investment Management LLCNew York Life Insuranceinvestor protection violation2009SEC$6,100,784
New York Life Insurance Company and New York Life Insurance and Annuity CorporationNew York Life Insuranceinsurance violation2021MT-FIN$10,000
New York Life Insurance CompanyNew York Life Insurancebenefit plan administrator violation2017private lawsuit-federal$3,000,000
New York Life Insurance CompanyNew York Life Insuranceinsurance violation2013MULTI-AG$15,000,000
New York Life Insurance CompanyNew York Life Insurancewage and hour violation2017MI-LEO$8,000
NEW YORK LIFE INSURANCE COMPANYNew York Life Insuranceinsurance violation2024WA-INS$46,328
NEW YORK LIFE INSURANCE COMPANYNew York Life Insuranceworkplace safety or health violation2023OSHA$6,697
New York Life Insurance Co. et al.New York Life Insuranceinsurance violation2016MN-FIN$800,000
New York Life Insurance Co.New York Life Insuranceinsurance violation2009CA-INS$175,000
New York Life Insurance Co.New York Life Insuranceinsurance violation2011FL-OFR$18,000
NEW YORK LIFE INSURANCE CONew York Life Insuranceinsurance violation2002VA-INS$13,500
New York Life Insurance and Annuity Corp.New York Life Insuranceinsurance violation2018DE-INS$5,000
New York Life Insurance & Annuity CorporationNew York Life Insuranceconsumer protection violation2021NY-DFS$10,929,000
New York Life InsuranceNew York Life Insurancebenefit plan administrator violation2008private lawsuit-federal$14,000,000
New York LifeNew York Life Insurancewage and hour violation2016private lawsuit-federal$94,818
NEW YORK COMMUNITY BANKNew York Community Bancorpbanking violation2004FDIC$8,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2002MA-INS$639,576
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015NY-DFS$100,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012OR-FIN$30,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2013SD-INS$5,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2014SD-INS$5,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2009TX-INS$7,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2010TX-INS$175,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2010TX-INS$40,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2011TX-INS$5,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$16,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$18,096
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$16,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2014TX-INS$29,981
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2014TX-INS$89,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$19,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$34,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$7,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$8,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$12,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$6,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2017TX-INS$5,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2017TX-INS$38,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2019TX-INS$7,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2019TX-INS$30,000
NEW HAMPSHIRE INSURANCE COMPANYAmerican International Groupinsurance violation2020WA-INS$15,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2021TX-INS$5,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$6,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$30,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$16,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$8,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$17,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$12,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$27,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$40,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$5,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$10,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$9,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$17,000
New Hampshire Insurance Co.American International Groupinsurance violation2012CA-INS$142,500
New Hampshire Insurance Co.American International Groupinsurance violation2002FL-OFR$5,400
New Hampshire Insurance Co.American International Groupinsurance violation2000KS-INS$10,375
New Hampshire Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
New Hampshire Insurance Co.American International Groupinsurance violation2018MO-INS$11,000
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$7,000
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$16,500
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$9,500
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$5,500
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$6,200
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$7,500
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$15,000
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$6,000
New Hampshire Insurance Co.American International Groupinsurance violation2022AK-INS$7,500
New Hampshire Insurance Co.American International Groupinsurance violation2023TX-INS$5,500
New England Securities Corp.MetLifeinvestor protection violation2006SEC$2,614,865
New England SecuritiesMetLifeinvestor protection violation2009FINRA$500,000
New England SecuritiesMetLifeinvestor protection violation2004FINRA$200,000
New England Life Insurance CompanyBrighthouse Financialinsurance violation2005MA-INS$13,000
New England Life Insurance Co.Brighthouse Financialinsurance violation2006CO-INS$32,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.