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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$325,206,110,617
Number of Records: 
5,976
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$82,700,046,034213
JPMorgan Chase$34,530,243,993154
Citigroup$25,045,655,764120
Wells Fargo$21,199,943,231179
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,582,95017
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.
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Company Parent Primary Offense Type Yearsort icon Agency Penalty Amount
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 Jaffray 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
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
WHEELABRATOR BALTIMORE, LP Macquarie environmental violation 2003 EPA $17,500
MORGAN STANLEY - 140 58TH ST Morgan Stanley environmental violation 2003 EPA $7,500
CORPUS CHRISTI ALUMINA Glencore environmental violation 2003 EPA $6,300
CORPUS CHRISTI ALUMINA Glencore environmental violation 2003 EPA $6,300
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 AXA 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. Waddell & Reed Financial Inc. investor protection violation 2003 FL-OFR $8,800
Ace American Insurance Co. Chubb Limited insurance violation 2003 FL-OFR $6,000
Illinois National Insurance Co. American International Group insurance violation 2003 FL-OFR $5,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2003 FL-OFR $62,250
Kemper Auto and Home Insurance Co. Kemper insurance violation 2003 FL-OFR $16,500
CitiFinancial, Inc. Citigroup consumer protection violation 2003 FL-OFR $8,199
Alpha Property & Casualty Insurance Co. Kemper insurance violation 2003 FL-OFR $32,500
The Equitable Life Assurance Society of the United States AXA insurance violation 2003 FL-OFR $1,600,000
American Alternative Insurance Corp. Munich Re insurance violation 2003 FL-OFR $21,500
Victoria Fire & Casualty Co. Nationwide insurance violation 2003 IN-INS $5,000
Workmen's Auto Insurance Company Mercury General Corporation insurance violation 2003 IN-INS $8,000
Progressive Casualty Insurance Company Progressive insurance violation 2003 IN-INS $8,000
Allstate Insurance Company Allstate insurance violation 2003 IN-INS $12,220
Protective Life Insurance Company Dai-ichi Life insurance violation 2003 MA-INS $30,000
American Zurich Insurance Company Zurich Insurance insurance violation 2003 MA-INS $40,000
American Home Assurance Company American International Group insurance violation 2003 MA-INS $12,500
Bankers Life & Casualty Co. CNO Financial insurance violation 2003 ME-INS $5,000
Illinois Farmers Insurance Co. Zurich Insurance insurance violation 2003 MN-FIN $20,000
American Bankers Insurance Company of Florida Assurant insurance violation 2003 MN-FIN $100,000
American Bankers Life Assurance Company of Florida Assurant insurance violation 2003 MN-FIN $100,000
Illinois Farmers Insurance Co. Zurich Insurance insurance violation 2003 MN-FIN $10,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2003 MN-FIN $5,000
Metropolitan Life Insurance Co. MetLife insurance violation 2003 MN-FIN $10,000
Berthel Fisher & Company Berthel Fisher investor protection violation 2003 MN-FIN $10,000
Foremost Insurance Co. Zurich Insurance insurance violation 2003 MN-FIN $5,000
Monumental Life Insurance Co. Aegon insurance violation 2003 MS-INS $24,351
Conseco Life Insurance Co. CNO Financial insurance violation 2003 MS-INS $50,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray investor protection violation 2003 MT-SEC $2,625,000
Hartford Fire Insurance Co. et al. Hartford Financial Services insurance violation 2003 MT-INS $30,000
Edward D. Jones & Co. LP Jones Financial investor protection violation 2003 ND-SEC $7,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2003 ND-SEC $12,303
A.G. Edwards & Sons Inc. Wells Fargo investor protection violation 2003 NE-DBF $20,000
USAA Casualty Insurance and United Services Auto Association USAA insurance violation 2003 NJ-DBI $6,200,000
Horizon Healthcare of New Jersey Inc. Horizon Healthcare Services insurance violation 2003 NJ-DBI $200,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2003 OR-FIN $10,000
Conseco Life Insurance Company CNO Financial insurance violation 2003 OR-FIN $8,300
Fortis Insurance Company Assurant insurance violation 2003 OR-FIN $20,000
Dairyland Insurance Company Sentry Insurance insurance violation 2003 SC-INS $5,000
MONY Securities Corporation AXA investor protection violation 2003 TN-SEC $10,000
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