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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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 (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Primary Offense Type Yearsort icon Agency Penalty Amount
Salomon Smith Barney Inc. Morgan Stanley investor protection violation 2002 FINRA (*) $1,650,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2002 FINRA (*) $1,650,000
Salomon Smith Barney Morgan Stanley investor protection violation 2002 FINRA $5,000,000
U.S. Bancorp Piper Jaffray Piper Sandler investor protection violation 2002 FINRA $250,000
Interactive Brokers, L.L.C. Interactive Brokers Group investor protection violation 2002 FINRA $230,000
Credit Suisse First Boston Corporation Credit Suisse investor protection violation 2002 FINRA (*) $50,000,000
Knight Securities L.P. Virtu Financial investor protection violation 2002 FINRA $1,500,000
ALLSTATE Allstate workplace safety or health violation 2002 OSHA $69,500
VITOL SA, INC Vitol environmental violation 2002 EPA $95,000
Morgan Stanley Capital Group, Inc. Morgan Stanley environmental violation 2002 EPA $7,500
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2002 MSHA $25,000
A.G. Edwards & Sons, Inc. Wells Fargo data submission deficiencies 2003 CFTC $45,000
SCOTIABANK DE PUERTO RICO Scotiabank banking violation 2003 FDIC $8,000
Cleco Corporation Macquarie energy market violation 2003 FERC $2,850,000
Crawford Healthcare Management of Norfolk & Baltimore Crawford & Co. fraud 2003 DOJ_CRIMINAL $8,000,000
PNC ICLC Corp. PNC Financial Services accounting fraud or deficiencies 2003 DOJ_CRIMINAL $115,000,000
Bank of America Bank of America economic sanction violation 2003 OFAC $158,038
Bank of New York Bank of New York Mellon economic sanction violation 2003 OFAC $24,750
Barclays Bank PLC Barclays economic sanction violation 2003 OFAC $10,107
Credit Lyonnais, NY Credit Agricole economic sanction violation 2003 OFAC $5,500
Deutsche Bank A.G. Deutsche Bank economic sanction violation 2003 OFAC $5,500
Guy Carpenter & Company, Inc Marsh & McLennan economic sanction violation 2003 OFAC $50,000
HSBC Bank USA HSBC economic sanction violation 2003 OFAC $5,500
HSBC Bank USA HSBC economic sanction violation 2003 OFAC $11,000
National City Bank PNC Financial Services economic sanction violation 2003 OFAC $5,500
Northern Trust, IBC Northern Trust economic sanction violation 2003 OFAC $18,027
Societe Generale Societe Generale economic sanction violation 2003 OFAC $6,600
Societe Generale Societe Generale economic sanction violation 2003 OFAC $11,000
State Street Bank & Trust Co State Street Corp. economic sanction violation 2003 OFAC $22,000
UBS (USA) Inc UBS economic sanction violation 2003 OFAC $14,750
UBS (USA) Inc UBS economic sanction violation 2003 OFAC $5,000
Wells Fargo Bank Wells Fargo economic sanction violation 2003 OFAC $5,500
National City Bank PNC Financial Services banking violation 2003 OCC $56,800
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce accounting fraud or deficiencies 2003 SEC $80,000,000
Alliance Capital Management L.P. Equitable Holdings investor protection violation 2003 SEC $250,000,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2003 SEC $50,000,000
J.P. Morgan Securities Inc. JPMorgan Chase investor protection violation 2003 SEC $25,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2003 SEC $10,000,000
Goldman Sachs Goldman Sachs investor protection violation 2003 SEC $9,305,382
Massachusetts Financial Services Company Sun Life Financial investor protection violation 2003 SEC $917,858
UBS PaineWebber, Inc. UBS investor protection violation 2003 SEC $500,000
Deutsche Asset Management, Inc. Deutsche Bank investor protection violation 2003 SEC $750,000
Lehman Brothers, Inc. Lehman Brothers investor protection violation 2003 SEC $2,500,000
SG Cowen Securities Corporation Cowen Inc. investor protection violation 2003 SEC $5,000,000
Citigroup, Inc. Citigroup accounting fraud or deficiencies 2003 SEC $101,000,000
Citigroup, Inc. Citigroup accounting fraud or deficiencies 2003 SEC $19,000,000
J.P. Morgan Chase & Co. JPMorgan Chase accounting fraud or deficiencies 2003 SEC $135,000,000
Prudential Securities, Inc. Wells Fargo investor protection violation 2003 SEC $382,000
Bear, Stearns & Co. Inc. JPMorgan Chase investor protection violation 2003 SEC $80,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. Citigroup investor protection violation 2003 SEC $400,000,000
Credit Suisse First Boston LLC Credit Suisse investor protection violation 2003 SEC $200,000,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2003 SEC $110,000,000
J.P. Morgan Securities Inc. JPMorgan Chase investor protection violation 2003 SEC $80,000,000
Lehman Brothers Inc. Lehman Brothers investor protection violation 2003 SEC $80,000,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America investor protection violation 2003 SEC $200,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2003 SEC $125,000,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2003 SEC $32,500,000
UBS Warburg LLC UBS investor protection violation 2003 SEC $80,000,000
Merrill Lynch & Co. Inc. Bank of America accounting fraud or deficiencies 2003 SEC $80,000,000
Robertson Stephens Inc. Bank of America investor protection violation 2003 SEC $33,000,000
Cleco Corporation Macquarie energy market violation 2003 FERC $2,850,000
Allied Home Mortgage Capital Corporation Americus Mortgage consumer protection violation 2003 HUD $370,000
Household International HSBC wage and hour violation 2003 WHD $54,328
Bear Stearns Companies Inc. JPMorgan Chase wage and hour violation 2003 WHD $358,974
FSC Corporation Bank of America wage and hour violation 2003 WHD $108,716
IMTT Bayonne Macquarie railroad safety violation 2003 FRA $5,000
Banco Popular de Puerto Rico Popular Inc. anti-money-laundering deficiencies 2003 DOJ_CRIMINAL $21,600,000
Credit Lyonnais Credit Agricole fraud 2003 USAO $100,000,000
H & R Block H&R Block wage and hour violation 2003 CA-LCO $12,000
Bank of America Bank of America wage and hour violation 2003 private lawsuit-state $4,100,000
Metropolitan Life MetLife employment discrimination 2003 private lawsuit-federal $10,000,000
Brut, LLC Nasdaq Inc. investor protection violation 2003 SEC $45,000
Spear, Leeds & Kellogg, L.P. Goldman Sachs investor protection violation 2003 SEC $450,000
Providian Financial Corp. JPMorgan Chase benefit plan administrator violation 2003 private lawsuit-federal $8,600,000
Alliance Capital Management Equitable Holdings investor protection violation 2003 NY-AG (*) $600,000,000
Allstate Allstate consumer protection violation 2003 TX-AG $3,440,000
Allstate Insurance Co. Allstate privacy violation 2003 PA-AG $10,000
American Express Co. American Express consumer protection violation 2003 NY-AG $3,285,000
Bankers Life and Casualty Co. CNO Financial privacy violation 2003 KS-AG $15,000
Farmers Insurance Group Zurich Insurance consumer protection violation 2003 TX-AG $2,400,000
First Niagara Bank KeyCorp consumer protection violation 2003 NY-AG $33,500
H&R Block H&R Block consumer protection violation 2003 MULTI-AG $3,300,000
IMTT-Lemont Macquarie environmental violation 2003 IL-AG $250,000
United American Insurance Co. Globe Life Inc. consumer protection violation 2003 CT-AG $45,000
US Bank NA U.S. Bancorp consumer protection violation 2003 NY-AG $33,500
USAA Federal Savings Bank USAA consumer protection violation 2003 NY-AG $33,500
Wells Fargo Financial Bank Wells Fargo consumer protection violation 2003 NY-AG $33,500
Citigroup, Inc. Citigroup accounting fraud or deficiencies 2003 NY-MANDA $25,000,000
J.P. Morgan Chase & Co. JPMorgan Chase accounting fraud or deficiencies 2003 NY-MANDA $25,000,000
Wells Fargo Home Mortgage, Inc. Wells Fargo consumer protection violation 2003 CA-SCCDA $25,000
Wells Fargo Financial Texas, Inc. Wells Fargo employment discrimination 2003 EEOC $110,000
Edward D. Jones and Co.,LP Jones Financial investor protection violation 2003 AK-DBS $11,000
Federal Insurance Co. et al. Chubb Limited insurance violation 2003 CA-INS $403,652
State Farm Mutual Automobile Insurance Co. State Farm Insurance insurance violation 2003 CA-INS $250,000
The Tokio Marine and Fire Insurance Company, Ltd. and Trans Pacific Insurance Co. Tokio Marine insurance violation 2003 CA-INS $42,500
Liberty Mutual Insurance Group Liberty Mutual Insurance insurance violation 2003 CA-INS $215,000
American International Insurance Co. and AIG National Insurance Company, Inc. American International Group insurance violation 2003 FL-OFR $66,750
Travelers Indemnity Co. Travelers insurance violation 2003 FL-OFR $8,000
Travelers Indemnity Company of Illinois Travelers insurance violation 2003 FL-OFR $20,500
Waddell & Reed, Inc. Macquarie investor protection violation 2003 FL-OFR $8,800
Ace American Insurance Co. Chubb Limited insurance violation 2003 FL-OFR $6,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)