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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$339,976,074,213
Number of Records: 6,952
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$82,898,016,192264
JPMorgan Chase$36,107,446,133199
Citigroup$25,540,645,217156
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
UBS$16,879,318,334102
Goldman Sachs$16,399,485,79387
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,148,363,95019
Credit Suisse$10,732,400,12649

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 Type sort iconYearAgencyPenalty Amount
LendingClub CorporationLendingClub Corp.banking violation2018USAO$2,000,000
Republic Bank & Trust CompanyRepublic Bancorpbanking violation2018FDIC$300,000
Wintrust Financial CorporationWintrust Financial Corp.banking violation2019FED$1,012,500
Citibank, N.A.Citigroupbanking violation2019OCC$25,000,000
UniCredit, S.p.A.UniCreditbanking violation2019FED$158,000,000
Standard Chartered plcStandard Charteredbanking violation2019FED$164,000,000
1st Financial Bank U.S.A.1st Financial Bank USAbanking violation2005WI-AG$43,142
Bank of New York MellonBank of New York Mellonbanking violation2015NY-AG$167,500,000
Capital One BankCapital One Financialbanking violation2005WI-AG$80,032
FirstBank Puerto RicoFirst Bancorp (Puerto Rico)banking violation2019FDIC$17,700
Midfirst BankMidFirst Bankbanking violation2019OCC$35,000
MUFG Union Bank, National AssociationMitsubishi UFJ Financial Groupbanking violation2019OCC$109,667
SunTrust BankTruist Financialbanking violation2005WI-AG$10,107
Wells Fargo Bank N.A.Wells Fargobanking violation2018MULTI-AG$575,000,000
Wilmington Savings Fund Society, Federal Savings BankWSFS Financial Corp.banking violation2019OCC$85,265
HomeStreet BankHomeStreet Inc.banking violation2019FDIC$1,350,000
German American BancorpGerman American Bancorpbanking violation2012FDIC$15,000
BANK OF THE WESTBNP Paribasbanking violation2011FDIC$135,000
REPUBLIC BANK & TRUST COMPANYRepublic Bancorpbanking violation2011FDIC$900,000
CATHAY BANKCathay General Bancorpbanking violation2011FDIC$17,710
BANCORPSOUTH BANKCadence Bankbanking violation2011FDIC$46,500
GREAT SOUTHERN BANKGreat Southern Bancorpbanking violation2011FDIC$21,935
MAINSOURCE BANKFirst Financial Bancorp.banking violation2010FDIC$22,000
BANK OF THE WESTBNP Paribasbanking violation2010FDIC$68,200
S&T BANKS&T Bancorpbanking violation2010FDIC$32,640
BUSEY BANKFirst Busey Corp.banking violation2010FDIC$7,445
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$806,000
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$558,000
FIRST BANKFirst Bancorp (North Carolina)banking violation2004FDIC$12,000
Citibank, N.A.Citigroupbanking violation2019OCC$30,000,000
Glacier BankGlacier Bancorpbanking violation2020FDIC$16,750
Citibank, N.A.Citigroupbanking violation2020OCC$17,998,510
East West BankEast West Bancorpbanking violation2020FED$129,108
Regions BankRegions Financialbanking violation2014AL-SBD$5,000,000
Societe Generale Financial CorporationSociete Generalebanking violation2020CA-DFPI$10,250
Credit AgricoleCredit Agricolebanking violation2004NY-DFS$5,000,000
MUFG Bank Ltd.Mitsubishi UFJ Financial Groupbanking violation2019NY-DFS$33,000,000
Deutsche Bank AG and Deutsche Bank Trust Co. AmericaDeutsche Bankbanking violation2020NY-DFS$150,000,000
Capital One Bank (USA), National AssociationCapital One Financialbanking violation2020OCC$80,000,000
Goldman Sachs Group, Inc.Goldman Sachsbanking violation2020FED$154,000,000
M&T BankM&T Bankbanking violation2020FED$546,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2020OCC$250,000,000
USAA Federal Savings BankUSAAbanking violation2020OCC$85,000,000
Morgan Stanley Bank, N.A.Morgan Stanleybanking violation2020OCC$60,000,000
Citibank, National AssociationCitigroupbanking violation2020OCC$400,000,000
CIT Bank, National AssociationFirst Citizens BancSharesbanking violation2020OCC$82,500
USAA Federal Savings BankUSAAbanking violation2020OCC$382,500
State Farm Bank, FSBState Farm Insurancebanking violation2020OCC$547,200
Bank of the WestBNP Paribasbanking violation2021FDIC$281,000
Bryn Mawr Trust CompanyWSFS Financial Corp.banking violation2021FED$105,000
Umpqua BankUmpqua Holdingsbanking violation2021FDIC$1,800,000
Wells Fargo Bank, National AssociationWells Fargobanking violation2021OCC$250,000,000
Trustmark National BankTrustmarkbanking violation2021OCC$4,000,000
Washington Federal Bank, National AssociationWashington Federal Inc.banking violation2021OCC$2,500,000
Washington Federal Bank, National AssociationWashington Federal Inc.banking violation2021OCC$40,500
Wells Fargo Bank, N.A.Wells Fargobanking violation2021USAO$72,600,000
First Midwest BankOld National Bancorpbanking violation2022FED$253,500
Flagstar Bank, FSBFlagstar Bancorpbanking violation2021OCC$3,620,000
JPMorgan Chase Bank N.A.JPMorgan Chasebankruptcy professional violation2015DOJ_UTP$50,000,000
Citibank N.A.Citigroupbankruptcy professional violation2018DOJ_UTP$5,000,000
Wells Fargo Bank N.A.Wells Fargobankruptcy professional violation2015DOJ_UTP$81,600,000
Capital One Bank (USA) N.A.Capital One Financialbankruptcy professional violation2011DOJ_UTP$2,350,000
FIRST NIAGARA FINANCIAL GROUP, INC.KeyCorpbenefit plan administrator violation2011EBSA$10,001
FIRST NBC BANKHancock Whitney Corp.benefit plan administrator violation2011EBSA$10,001
E*Trade Group, Inc.Morgan Stanleybenefit plan administrator violation2008EBSA$50,001
FRED ALGER & COMPANY, INCORPORATEDAlger Associatesbenefit plan administrator violation2007EBSA$50,001
FIRST FINANCIAL BANCORPFirst Financial Bancorp.benefit plan administrator violation2007EBSA$50,001
FRED ALGER & COMPANY, INCORPORATEDAlger Associatesbenefit plan administrator violation2006EBSA$10,001
HORACE MANN SERVICE CORPORATIONHorace Mann Educators Corp.benefit plan administrator violation2006EBSA$10,001
LAVA TRADING INC.Citigroupbenefit plan administrator violation2006EBSA$50,001
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLANAmerican International Groupbenefit plan administrator violation2005EBSA$50,001
Wachovia National Bank, N.A.Wells Fargobenefit plan administrator violation2000EBSA$30,000,000
Harris N.A.Bank of Montrealbenefit plan administrator violation2007EBSA$274,600
Bank of HawaiiBank of Hawaiibenefit plan administrator violation2009EBSA$2,500,000
Independent BankIndependent Bank Corp. (Michigan)benefit plan administrator violation2011EBSA$95,700
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americabenefit plan administrator violation2011EBSA$170,854
Morgan Keegan and Co. Inc.Raymond James Financialbenefit plan administrator violation2012EBSA$633,715
ING Life Insurance and Annuity Co.Voya Financialbenefit plan administrator violation2013EBSA$5,200,000
Western Asset Management CompanyFranklin Resourcesbenefit plan administrator violation2014EBSA$21,000,000
Bank of New York MellonBank of New York Mellonbenefit plan administrator violation2015EBSA$84,000,000
Invesco Trust CompanyInvescobenefit plan administrator violation2016EBSA$10,270,000
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2018EBSA$10,001
FleetBoston Financial CorpBank of Americabenefit plan administrator violation2008private lawsuit-federal$83,401,000
J.P. Morgan Chase Retirement PlanJPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$604,957
SunTrust Banks, Inc.Truist Financialbenefit plan administrator violation2018private lawsuit-federal$4,750,000
Washington Mutual Inc.JPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$49,000,000
Washington Mutual Pension PlanJPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$20,000,000
Marsh & McLennan Companies, Inc.Marsh & McLennanbenefit plan administrator violation2010private lawsuit-federal$35,000,000
Bank of America CorpBank of Americabenefit plan administrator violation2011private lawsuit-federal$21,000,000
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
Regions Financial Corp.Regions Financialbenefit plan administrator violation2014private lawsuit-federal$22,500,000
United Community Banks, Inc.United Community Banks Inc.benefit plan administrator violation2013private lawsuit-federal$3,500,000
Flagstar Bancorp, Inc.Flagstar Bancorpbenefit plan administrator violation2013private lawsuit-federal$3,000,000
ING Life Insurance & Annuity Co.Voya Financialbenefit plan administrator violation2014private lawsuit-federal$14,950,000
Nationwide Life InsuranceNationwidebenefit plan administrator violation2015private lawsuit-federal$140,000,000
State Street CorporationState Street Corp.benefit plan administrator violation2014private lawsuit-federal$10,000,000
Prudential InsurancePrudential Financialbenefit plan administrator violation2014private lawsuit-federal$39,100,000
TIAA-CREFTIAAbenefit plan administrator violation2014private lawsuit-federal$22,800,000
American International Group, Inc.American International Groupbenefit plan administrator violation2015private lawsuit-federal$40,000,000
Northern Trust Investments, N.A.Northern Trustbenefit plan administrator violation2015private lawsuit-federal$36,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.