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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 TypeYear sort iconAgencyPenalty Amount
Louis Dreyfus Energy ServicesLouis DreyfusFalse Claims Act and related2012DOJ_CIVIL$4,084,000
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2012SEC$5,000,000
Cantor FitzgeraldCantor Fitzgeraldinvestor protection violation2012CFTC$700,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupinvestor protection violation2012CFTC$350,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2012CFTC$700,000
FCStone, LLC and Commodity Operations Inc.StoneX Groupinvestor protection violation2012CFTC$260,000
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2012HUD$161,180
Home Loan Center, Inc.LendingTreediscriminatory practices (non-employment)2012HUD$15,000
United Insurance Company of AmericaKemperemployment discrimination2012EEOC$37,500
Vitol, Inc.Vitolemployment discrimination2012EEOC$62,500
American Family Life Assurance Co., known as AflacAflacFamily and Medical Leave Act2012WHD$16,882
TMX Finance LLCTMX FinanceFamily and Medical Leave Act2012WHD$36,596
United American Insurance CompanyGlobe Life Inc.wage and hour violation2012WHD$19,791
Ace Cash Express, Inc.ACE Cash Expresswage and hour violation2012WHD$18,852
First Republic BankJPMorgan Chasewage and hour violation2012WHD$1,009,644
SunTrust Mortgage Inc.Truist Financialwage and hour violation2012WHD$51,518
El Paso Electric CompanyJPMorgan Chaselabor relations violation2012NLRB$79,692
Capital OneCapital One Financialwage and hour violation2012private lawsuit-federal$3,200,000
Union BankU.S. Bancorpwage and hour violation2012private lawsuit-federal$3,500,000
H&R BlockH&R Blockwage and hour violation2012private lawsuit-state$7,500,000
KeyCorpKeyCorpwage and hour violation2012private lawsuit-federal$6,250,000
H&R BlockH&R Blockwage and hour violation2012private lawsuit-federal$35,000,000
Wells Fargo BankWells Fargowage and hour violation2012private lawsuit-federal$280,000
E-TradeMorgan Stanleywage and hour violation2012private lawsuit-federal$1,500,000
Freedom MortgageFreedom Mortgagewage and hour violation2012private lawsuit-federal$1,600,000
UBSUBSwage and hour violation2012private lawsuit-federal$1,400,000
SunTrust MortgageTruist Financialwage and hour violation2012private lawsuit-federal$2,400,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2012private lawsuit-federal$1,195,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2012private lawsuit-federal$9,000,000
Associated Banc-CorpAssociated Banc-Corpwage and hour violation2012private lawsuit-federal$1,275,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2012SEC$100,000
Morgan Keegan and Co. Inc.Raymond James Financialbenefit plan administrator violation2012EBSA$633,715
U.S. Bank Pension PlanU.S. Bancorpbenefit plan administrator violation2012private lawsuit-federal$9,600,000
First Horizon National CorporationFirst Horizon Nationalbenefit plan administrator violation2012private lawsuit-federal$6,000,000
Merrill LynchBank of Americabenefit plan administrator violation2012private lawsuit-federal$10,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasebenefit plan administrator violation2012private lawsuit-federal$150,000,000
Bear Stearns Companies, Inc.JPMorgan Chasebenefit plan administrator violation2012private lawsuit-federal$10,000,000
Metropolitan LifeMetLifebenefit plan administrator violation2012private lawsuit-federal$350,000
Hartford Financial Services Group Inc.Hartford Financial Servicesbenefit plan administrator violation2012private lawsuit-federal$1,935,000
Farmers Group, Inc.Zurich Insurancebenefit plan administrator violation2012private lawsuit-federal$6,850,000
Popular, Inc.Popular Inc.benefit plan administrator violation2012private lawsuit-federal$8,200,000
Ambac Financial Group, Inc.Ambac Financialbenefit plan administrator violation2012private lawsuit-federal$2,550,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2012MULTI-AG$10,000,000
Ally FinancialAlly Financialmortgage abuses2012MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $109,628,425
American Express Centurion BankAmerican Expresstax violations2012CT-AG$14,970
Amica Mutual Insurance Co.Amica Mutual Insuranceconsumer protection violation2012MA-AG$837,384
AXA Equitable Life Insurance CompanyEquitable Holdingsinsurance violation2012NY-AG$850,000
Bank of AmericaBank of Americainvestor protection violation2012MULTI-AG$2,430,000,000
Bank of AmericaBank of Americamortgage abuses2012MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,382,415,075
Bear StearnsJPMorgan Chaseinvestor protection violation2012MI-AG$275,000,000
CitigroupCitigroupmortgage abuses2012MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,041,577
Credit Acceptance Corp.Credit Acceptance Corp.consumer protection violation2012MO-AG$125,000
E*TradeMorgan Stanleyprice-fixing or anti-competitive practices2012MULTI-AG$100,000
Encompass Insurance Company of MassachusettsAllstateconsumer protection violation2012MA-AG$1,972,635
JPMorgan ChaseJPMorgan Chasemortgage abuses2012MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,121,188,661
MetLifeMetLifeinsurance violation2012MULTI-AG$40,000,000
Metropolitan Life Insurance Co.MetLifeprivacy violation2012CT-AG$10,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2012MA-AG$395,000
Midland Funding, LLCEncore Capital Groupconsumer protection violation2012MN-AG$500,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2012MULTI-AG$7,200,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2012MULTI-AG$17,000,000
RBS Financial ProductsNatWest Group PLCtoxic securities abuses2012NV-AG$42,000,000
Wells FargoWells Fargomortgage abuses2012MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,005,233,716
Wells FargoWells Fargomortgage abuses2012MD-AG$940,056
German American BancorpGerman American Bancorpbanking violation2012FDIC$15,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupeconomic sanction violation2012OFAC$8,571,634
HSBC Holdings plcHSBCeconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $187,500,000
Standard Chartered BankStandard Charteredeconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $113,500,000
ING Bank, NVINGeconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $309,500,000
Brown & Brown of Washington, Inc.Brown & Browninsurance violation2012AK-INS$30,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2012AL-SEC$60,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2012AR-SEC$59,659
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2012AZ-DIFI$5,000
Infinity Insurance Co.Kemperinsurance violation2012AZ-DIFI$38,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2012AZ-DIFI$30,000
Midland Credit Management, Inc.Encore Capital Groupconsumer protection violation2012AZ-DIFI$750,000
First Mercury Insurance Co.Fairfax Financial Holdingsinsurance violation2012CA-INS$330,000
Travelers CompaniesTravelersinsurance violation2012CA-INS$10,500,000
New Hampshire Insurance Co.American International Groupinsurance violation2012CA-INS$142,500
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2012CO-INS$218,000
United American Insurance Co.Globe Life Inc.insurance violation2012CO-INS$86,500
Transamerica Life Insurance Co.Aegoninsurance violation2012CO-INS$6,270
John Alden Life Insurance Co.Assurantinsurance violation2012CO-INS$86,500
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2012CO-INS$70,400
North River Insurance Co.Fairfax Financial Holdingsinsurance violation2012CO-INS$62,700
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2012CO-INS$111,500
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2012CT-SEC$40,000
MetLife Securities, Inc.MetLifeinvestor protection violation2012DC-DISB$25,000
AllianceBernstein L.P.Equitable Holdingsinvestor protection violation2012DE-SEC$20,000
State Farm Fire & Casualty Co.State Farm Insuranceinsurance violation2012DE-INS$150,000
Saxon Mortgage Services, Inc.Ocwen Financialconsumer protection violation2012FL-OFR$15,000
LendingClub Corp.LendingClub Corp.investor protection violation2012FL-OFR$100,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2012FL-OFR$10,500
Pacific Life Insurance Co.Pacific Lifeinsurance violation2012FL-OFR$10,500
Metropolitan Life Insurance Co.MetLifeinsurance violation2012FL-OFR$103,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2012IL-SEC$25,930,000
PHH Mortgage Corp.Ocwen Financialmortgage abuses2012IL-BKG$150,000
Allied Home Mortgage Corp.Americus Mortgageconsumer protection violation2012IL-BKG$7,500
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2012IL-SEC$7,500
North Pointe Insurance Co.QBE Insuranceinsurance violation2012IN-INS$75,575
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2012IN-SEC$210,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.