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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 LynchBank of Americainvestor protection violation2012FINRA$1,074,200
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2011NJ-AG$1,057,996
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2009NJ-AG$1,057,350
KCG Americas LLCVirtu Financialinvestor protection violation2015SEC$1,055,197
Banco PopularPopular Inc.wage and hour violation2009private lawsuit-federal$1,050,000
HealthNow New York Inc.Highmark Inc.insurance violation2008NY-DFS$1,050,000
Prudential SecuritiesWells Fargoinvestor protection violation2008FINRA$1,050,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006NY-AG$1,040,964
Investment Centers of America, Inc.LPL Financialinvestor protection violation2007MO-SEC$1,031,618
Fidelity Brokerage Services LLCFidelity Investmentsinvestor protection violation2015FINRA$1,030,000
Stifel Financial CorporationStifel Financialinvestor protection violation2014FINRA$1,025,000
Arch Insurance CompanyArch Capitalinsurance violation2017MULTI-FIN$1,017,000
Prudential InsurancePrudential Financialwage and hour violation2011private lawsuit-federal$1,016,500
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc.Voya Financialinvestor protection violation2019CT-SEC$1,015,000
Wintrust Financial CorporationWintrust Financial Corp.banking violation2019FED$1,012,500
SG Americas Securities LLCSociete Generaleinvestor protection violation2015SEC$1,011,093
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2022CFTC$1,010,828
First Republic BankJPMorgan Chasewage and hour violation2012WHD$1,009,644
First Republic Investment Management, Inc.JPMorgan Chaseinvestor protection violation2019SEC$1,005,194
Wachovia SecuritiesWells Fargobenefit plan administrator violation2009private lawsuit-federal$1,005,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2007CA-INS$1,000,400
Regions BankRegions Financialinvestor protection violation2010SEC$1,000,001
EverbankTIAAbanking violation2016OCC$1,000,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2013CFTC$1,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2016SEC$1,000,000
Manulife Financial CorporationManulife Financialinvestor protection violation2004DOJ_ANTITRUST$1,000,000
Regions BankRegions Financialinvestor protection violation2009SEC$1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2009SEC$1,000,000
Fidelity Brokerage Services, LLCFidelity Investmentsinvestor protection violation2004SEC$1,000,000
Cincinnati Bell Telephone and Cincinnati Bell Information SystemsMacquarieemployment discrimination2000EEOC$1,000,000
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2017OCC$1,000,000
Bank of AmericaBank of Americaemployment discrimination2017OFCCP$1,000,000
TD Options LLCToronto-Dominion Bankinvestor protection violation2009SEC$1,000,000
Voya Financial Advisors Inc.Voya Financialinvestor protection violation2018SEC$1,000,000
Putnam Investment Management, LLCFranklin Resourcesinvestor protection violation2018SEC$1,000,000
Legg Mason Wood Walker, IncorporatedFranklin Resourcesinvestor protection violation2005SEC$1,000,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSinvestor protection violation2004SEC$1,000,000
Countrywide Financial CorporationBank of Americamortgage abuses2009OR-AG$1,000,000
Union Security Life Insurance CoAssurantconsumer protection violation2000MA-AG$1,000,000
Western Sky Financial LLC, CashCall, Inc., WS Funding, LLC and Delbert Services Corp.CashCall Inc.consumer protection violation2016IN-AG$1,000,000
Northern Trust CompanyNorthern Trustinvestor protection violation2019CFTC$1,000,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2019CFTC$1,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005AZ-CC$1,000,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2006CA-INS$1,000,000
CashCall, Inc.CashCall Inc.payday lending violation2015CA-DFPI$1,000,000
Mercury Insurance CompanyMercury General Corporationinsurance violation2015CA-INS$1,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2017MA-SEC$1,000,000
LPL Financial LLCLPL Financialinvestor protection violation2017MA-SEC$1,000,000
MetLife, Inc.MetLifeinvestor protection violation2018MA-SEC$1,000,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2013MN-FIN$1,000,000
American Modern Insurance Group, Inc. et al.Munich Reinsurance violation2016MN-FIN$1,000,000
Time Insurance Co. et al.Haven Holdingsinsurance violation2013MO-INS$1,000,000
UBS Financial Services Inc.UBSinvestor protection violation2011NH-BSR$1,000,000
CitigroupCitigroupdiscriminatory practices (non-employment)2001NY-DFS$1,000,000
New Day Financial LLC dba New Day USANew Day Financial LLCconsumer protection violation2015NY-DFS$1,000,000
CashCall, Inc.CashCall Inc.consumer protection violation2017OK-DCC$1,000,000
AIU Insurance Company et al.American International Groupinsurance violation2007OR-FIN$1,000,000
CashCall Inc. et al.CashCall Inc.consumer protection violation2014PA-BKG$1,000,000
BCS Insurance CompanyBCS Financial Corporationinsurance violation2017MULTI-FIN$1,000,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2008MULTI-FIN$1,000,000
Morgan Stanley Smith Barney FA Notes Holdings LLCMorgan Stanleyconsumer protection violation2020CA-DFPI$1,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2017FINRA$1,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2014FINRA$1,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2014FINRA$1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2014FINRA$1,000,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2012FINRA$1,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2011FINRA$1,000,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2011FINRA$1,000,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2009FINRA$1,000,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2009FINRA$1,000,000
E-Trade Securities LLC and E-Trade Clearing LLCMorgan Stanleyanti-money-laundering deficiencies2009FINRA$1,000,000
UBS Financial Services, Inc.UBSinvestor protection violation2008FINRA$1,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2007FINRA$1,000,000
Spear, Leeds & Kellogg, L.PGoldman Sachsinvestor protection violation2005FINRA$1,000,000
Old Republic National Title Insurance CompanyOld Republic Internationalwage and hour violation2021NY-AG$1,000,000
Citibank, N.A.Citigroupinvestor protection violation2021CFTC$1,000,000
First American Title Insurance CompanyFirst American Financialprivacy violation2023NY-DFS$1,000,000
Encore Capital Group Inc., Midland Credit Management, Inc. and Midland Funding LLCEncore Capital Groupconsumer protection violation2009MD-AG$998,000
MUFG Bank Ltd.U.S. Bancorpprice-fixing or anti-competitive practices2020private lawsuit-federal$985,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009KY-FIN$983,984
Morgan Stanley Smith Barney, LLCMorgan Stanleyinvestor protection violation2018NH-BSR$983,284
Smith BarneyMorgan Stanleyinvestor protection violation2007NJ-AG$978,000
LPL Financial LLCLPL Financialinvestor protection violation2020NH-BSR$976,000
TD BankToronto-Dominion Bankwage and hour violation2013private lawsuit-federal$975,000
LPL Financial, LLCLPL Financialinvestor protection violation2017NJ-AG$975,000
LPL Financial LLCLPL Financialinvestor protection violation2017MA-SEC$975,000
Bankers Life & Casualty CompanyCNO Financialinsurance violation2011RI-FIN$975,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2020private lawsuit-federal$975,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2015FINRA$963,534
Customers BankCustomers Bancorpbanking violation2016FED$960,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2011NJ-AG$959,794
BNY Mellon Capital Markets LLCBank of New York Melloninvestor protection violation2022SEC$956,833
Scottrade, Inc.Charles Schwab Corp.investor protection violation2008SEC$950,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2016private lawsuit-federal$950,000
Dreyfus CorporationBank of New York Melloninvestor protection violation2000SEC$950,000
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2016IN-SEC$950,000
Prudential Annuities Distributors, Inc.Prudential Financialinvestor protection violation2016FINRA$950,000
LPL Financial LLCLPL Financialinvestor protection violation2014FINRA$950,000
Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2005FINRA$950,000
Universal Underwriters Insurance CompanyZurich Insuranceinsurance violation2006IN-INS$948,240
Wells FargoWells Fargomortgage abuses2012MD-AG$940,056
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.