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
MONY Securities Corporation AXA investor protection violation 2003 TN-SEC $10,000
Ameritas Investment Corporation Ameritas Mutual Holding Company investor protection violation 2003 TX-SEC $25,000
AMERICAN FAMILY LIFE ASSURANCE Aflac insurance violation 2003 VA-INS $7,500
UNUM LIFE INSURANCE COMPANY Unum insurance violation 2003 VA-INS $14,000
NATIONWIDE MUTUAL INSURANCE CO ET AL Nationwide insurance violation 2003 VA-INS $64,080
PEERLESS INSURANCE COMPANY Liberty Mutual Insurance insurance violation 2003 VA-INS $28,100
FIDELITY & GUARANTY LIFE INSURANCE FGL Holdings insurance violation 2003 VA-INS $20,000
VICTORIA FIRE & CASUALTY ET AL Nationwide insurance violation 2003 VA-INS $29,000
JEFFERSON PILOT SECURITIES Lincoln National investor protection violation 2003 VA-SEC $26,500
PRINCIPAL LIFE INSURANCE CO Principal Financial insurance violation 2003 VA-INS $10,000
ALLSTATE INSURANCE & ALLSTATE INDEMNITY CO Allstate insurance violation 2003 VA-INS $31,300
FARMERS INSURANCE EXCHANGE Farmers Insurance Exchange insurance violation 2003 VA-INS $42,000
ALLSTATE INSURANCE CO., ET AL. Allstate insurance violation 2003 VA-INS $50,000
Group Hospitalization and Medical Services, Inc. CareFirst of Maryland insurance violation 2003 VA-INS $15,000
MASSACHUSETTS MUTUAL LIFE INSURANCE Massachusetts Mutual Life Insurance insurance violation 2003 VA-INS $15,000
UNITED AMERICAN INSURANCE CO. Globe Life Inc. insurance violation 2003 VA-INS $15,000
Insurance Company of North America Chubb Limited insurance violation 2003 WA-INS $500,000
Allstate Financial Services, Inc. Allstate consumer protection violation 2003 WA-FIN $58,988
AIG Warranty Guard, Inc. American International Group insurance violation 2003 WI-INS $50,000
General Casualty Company of Wisconsin QBE Insurance insurance violation 2003 WI-INS $6,500
National Union Fire Ins Co. of Pittsburgh American International Group insurance violation 2003 WI-INS $10,000
National Union Fire Ins Co. of Pittsburgh American International Group insurance violation 2003 WI-INS $5,000
National Union Fire Ins Co. of Pittsburgh American International Group insurance violation 2003 WI-INS $10,000
Regent Insurance Co. QBE Insurance insurance violation 2003 WI-INS $8,500
Hartford Insurance Company of the Midwest Hartford Financial Services insurance violation 2003 WI-INS $6,500
Foremost Insurance Co. Zurich Insurance insurance violation 2003 WI-INS $8,500
Bear, Stearns & Co. Inc. JPMorgan Chase investor protection violation 2003 MULTI-FIN (*) $25,000,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2003 MULTI-FIN (*) $150,000,000
Credit Suisse First Boston LLC Credit Suisse investor protection violation 2003 MULTI-FIN (*) $75,000,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2003 MULTI-FIN (*) $25,000,000
J.P. Morgan Securities Inc. JPMorgan Chase investor protection violation 2003 MULTI-FIN (*) $25,000,000
Lehman Brothers Inc. Lehman Brothers investor protection violation 2003 MULTI-FIN (*) $25,000,000
Monumental Life Insurance Company Aegon insurance violation 2003 MULTI-FIN $37,000,000
Morgan Stanley & Co. Morgan Stanley investor protection violation 2003 MULTI-FIN (*) $25,000,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray investor protection violation 2003 MULTI-FIN (*) $12,500,000
UBS Warburg and UBS PaineWebber UBS investor protection violation 2003 MULTI-FIN (*) $25,000,000
Credit Lyonnais Rouse Limited Credit Agricole investor protection violation 2004 CFTC $25,000
FIRST BANK First Bancorp (North Carolina) banking violation 2004 FDIC $12,000
NEW YORK COMMUNITY BANK New York Community Bancorp banking violation 2004 FDIC $8,000
Citigroup Inc. Citigroup banking violation 2004 FED $70,000,000
UBS AG UBS economic sanction violation 2004 FED $100,000,000
Credit Agricole S.A. Credit Agricole banking violation 2004 FED $8,000,000
Manulife Financial Corporation Manulife Financial investor protection violation 2004 DOJ_ANTITRUST $1,000,000
Highmark, Inc. Highmark Inc. False Claims Act and related 2004 DOJ_CIVIL $1,500,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2004 DOJ_CRIMINAL $80,000,000
ABN AMRO Bank, Inc ABN AMRO economic sanction violation 2004 OFAC $25,847
American Express American Express economic sanction violation 2004 OFAC $18,391
American Express Bank Ltd. American Express economic sanction violation 2004 OFAC $5,041
American Express Company American Express economic sanction violation 2004 OFAC $5,500
Arab Banking Corp. Arab Banking Corp. economic sanction violation 2004 OFAC $5,500
Bank of America Bank of America economic sanction violation 2004 OFAC $13,573
Bank of China Bank of China economic sanction violation 2004 OFAC $10,000
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $137,500
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $34,623
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $27,500
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $5,500
Bank One JPMorgan Chase economic sanction violation 2004 OFAC $5,500
Bank One JPMorgan Chase economic sanction violation 2004 OFAC $6,682
Barclays Bank PLC Barclays economic sanction violation 2004 OFAC $14,970
California United Bank PacWest Bancorp economic sanction violation 2004 OFAC $7,250
Citibank Citigroup economic sanction violation 2004 OFAC $5,500
Citicorp Vendor Finance Ltd Citigroup economic sanction violation 2004 OFAC $7,379
Commerzbank AG Commerzbank economic sanction violation 2004 OFAC $5,500
Deutsche Bank Deutsche Bank economic sanction violation 2004 OFAC $5,500
First Union Bank Wells Fargo economic sanction violation 2004 OFAC $18,740
Hanmi Bank Hanmi Financial Corp. economic sanction violation 2004 OFAC $7,000
HSBC Bank USA HSBC economic sanction violation 2004 OFAC $5,500
HSBC Bank USA HSBC economic sanction violation 2004 OFAC $8,375
JP Morgan Chase JPMorgan Chase economic sanction violation 2004 OFAC $26,980
JP Morgan Chase & Co. JPMorgan Chase economic sanction violation 2004 OFAC $17,303
JP Morgan Chase & Co. JPMorgan Chase economic sanction violation 2004 OFAC $73,281
JP Morgan Chase Bank JPMorgan Chase economic sanction violation 2004 OFAC $9,748
JP Morgan Chase Bank JPMorgan Chase economic sanction violation 2004 OFAC $18,094
Mellon Bank N.A. Bank of New York Mellon economic sanction violation 2004 OFAC $10,400
Merrill Lynch, Pierce, Fenner & Smith, Inc Bank of America economic sanction violation 2004 OFAC $22,904
Ruesch International, Inc. Western Union economic sanction violation 2004 OFAC $7,811
Santander Bank & Trust (Bahamas) Ltd Banco Santander economic sanction violation 2004 OFAC $20,000
Wachovia Bank Wells Fargo economic sanction violation 2004 OFAC $11,000
Old National Bank Old National Bancorp banking violation 2004 OCC $12,500
Old National Bank Old National Bancorp banking violation 2004 OCC $7,500
Riggs Bank National Association PNC Financial Services anti-money-laundering deficiencies 2004 OCC $25,000,000
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2004 SEC $75,000,000
Knight Securities, L.P. Virtu Financial investor protection violation 2004 SEC $66,500,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. Franklin Resources investor protection violation 2004 SEC $20,000,000
American International Group, Inc. American International Group investor protection violation 2004 SEC $46,000,000
Wachovia Corporation Wells Fargo investor protection violation 2004 SEC $37,000,000
AIM Advisors, Inc. and AIM Distributors, Inc. Invesco investor protection violation 2004 SEC $50,000,000
Invesco Funds Group, Inc. Invesco investor protection violation 2004 SEC $325,000,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank investor protection violation 2004 SEC $2,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz investor protection violation 2004 SEC $11,600,000
Charles Schwab & Co., Inc. Charles Schwab Corp. investor protection violation 2004 SEC $350,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz investor protection violation 2004 SEC $50,000,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2004 SEC $87,500,000
Thomas Weisel Partners LLC Stifel Financial investor protection violation 2004 SEC $12,500,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. investor protection violation 2004 SEC $125,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2004 SEC $875,000
Morgan Keegan & Co., Inc. Raymond James Financial investor protection violation 2004 SEC $875,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc. Prudential Financial investor protection violation 2004 SEC $375,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation Cowen Inc. investor protection violation 2004 SEC $125,000
Janus Capital Management LLC Janus Henderson investor protection violation 2004 SEC $100,000,000
Conseco, Inc. CNO Financial investor protection violation 2004 SEC $15,000,000
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