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 Typesort icon Year Agency Penalty Amount
Northern Trust Northern Trust benefit plan administrator violation 2006 private lawsuit-federal $37,500,000
AXA Equitable Life Insurance Company AXA benefit plan administrator violation 2011 private lawsuit-federal $2,500,000
Allianz Asset Management of America, L.P. Allianz benefit plan administrator violation 2018 private lawsuit-federal $12,000,000
HSBC Bank USA HSBC benefit plan administrator violation 2005 private lawsuit-federal $9,350,000
Farmers Group, Inc. Zurich Insurance benefit plan administrator violation 2012 private lawsuit-federal $6,850,000
UBS Global Asset Management UBS benefit plan administrator violation 2006 private lawsuit-federal $5,493,000
Aon Corporation Aon benefit plan administrator violation 2010 private lawsuit-federal $1,800,000
Popular, Inc. Popular Inc. benefit plan administrator violation 2012 private lawsuit-federal $8,200,000
Comerica Incorporated Comerica benefit plan administrator violation 2013 private lawsuit-federal $11,000,000
Comerica Incorporated Comerica benefit plan administrator violation 2007 private lawsuit-federal $2,020,000
FMR LLC Fidelity Investments benefit plan administrator violation 2014 private lawsuit-federal $12,000,000
Household International HSBC benefit plan administrator violation 2004 private lawsuit-federal $46,500,000
Huntington Bancshares Inc. Huntington Bancshares benefit plan administrator violation 2011 private lawsuit-federal $1,450,000
ING Groep N.V. Voya Financial benefit plan administrator violation 2013 private lawsuit-federal $3,500,000
LaSalle Bank Bank of America benefit plan administrator violation 2011 private lawsuit-federal $13,500,000
MBNA Corp. Lloyds Banking Group benefit plan administrator violation 2009 private lawsuit-federal $4,500,000
Moneygram International, Inc. MoneyGram International benefit plan administrator violation 2011 private lawsuit-federal $4,500,000
National City Corp. PNC Financial Services benefit plan administrator violation 2010 private lawsuit-federal $43,000,000
Providian Financial Corp. JPMorgan Chase benefit plan administrator violation 2003 private lawsuit-federal $8,600,000
Sterling Financial Corporation Umpqua Holdings benefit plan administrator violation 2013 private lawsuit-federal $3,025,000
Transamerica Corporation Aegon benefit plan administrator violation 2016 private lawsuit-federal $3,800,000
Ambac Financial Group, Inc. Ambac Financial benefit plan administrator violation 2012 private lawsuit-federal $2,550,000
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2019 EBSA $10,001
BB&T Corporation Truist Financial benefit plan administrator violation 2019 private lawsuit-federal $24,000,000
Horizon Healthcare Services, Inc. Horizon Healthcare Services benefit plan administrator violation 2016 private lawsuit-federal $33,000,000
Old Second Bancorp, Inc. Old Second Bancorp benefit plan administrator violation 2013 private lawsuit-federal $7,500,000
Prudential Insurance Company Of America Prudential Financial benefit plan administrator violation 2019 private lawsuit-federal $9,000,000
Wilmington Trust N.A. M&T Bank benefit plan administrator violation 2017 private lawsuit-federal $29,773,250
Edward D. Jones & Co., L.P. Jones Financial benefit plan administrator violation 2019 private lawsuit-federal $3,175,000
Wilmington Trust, N.A. M&T Bank benefit plan administrator violation 2020 EBSA $88,000,000
Green Tree Servicing LLC Ditech Holding Corporation consumer protection violation 2015 FTC $63,000,000
Asset Acceptance LLC Encore Capital Group consumer protection violation 2012 FTC $2,500,000
Countrywide Home Loans, Inc. and BAC Home Loans Servicing LP Bank of America consumer protection violation 2010 FTC $108,000,000
Citibank Citigroup consumer protection violation 2016 CFPB $7,890,000
Citibank Citigroup consumer protection violation 2016 CFPB $45,000,000
EZCORP Inc. EZCORP Inc. consumer protection violation 2015 CFPB $10,500,000
Fifth Third Bank Fifth Third Bancorp consumer protection violation 2015 CFPB $21,500,000
Encore Capital Group Encore Capital Group consumer protection violation 2015 CFPB $52,000,000
Springstone Financial, LLC LendingClub Corp. consumer protection violation 2015 CFPB $700,000
Citizens Bank, N.A. Citizens Financial Group consumer protection violation 2015 CFPB $18,500,000
Paymap Inc. Western Union consumer protection violation 2015 CFPB $38,400,000
Discover Bank Discover Financial Services consumer protection violation 2015 CFPB $18,500,000
Citibank N.A. Citigroup consumer protection violation 2015 CFPB $733,800,000
JPMorgan Chase JPMorgan Chase consumer protection violation 2015 CFPB $186,000,000
Provident Funding Associates Provident Funding Associates consumer protection violation 2015 CFPB $9,000,000
PayPal Inc. PayPal Holdings consumer protection violation 2015 CFPB $25,000,000
Regions Bank Regions Financial consumer protection violation 2015 CFPB $7,500,000
Wells Fargo Wells Fargo consumer protection violation 2015 CFPB $34,800,000
JPMorgan Chase JPMorgan Chase consumer protection violation 2015 CFPB $900,000
M&T Bank M&T Bank consumer protection violation 2014 CFPB $3,100,000
Flagstar Bank Flagstar Bancorp consumer protection violation 2014 CFPB $37,500,000
U.S. Bank U.S. Bancorp consumer protection violation 2014 CFPB $53,000,000
Amerisave Mortgage Corporation and Novo Appraisal Management Company AmeriSave Mortgage consumer protection violation 2014 CFPB $19,300,000
ACE Cash Express ACE Cash Express consumer protection violation 2014 CFPB $15,000,000
GE Capital Retail Bank, now known as Synchrony Bank Synchrony Financial consumer protection violation 2014 CFPB $225,000,000
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2014 CFPB $550,000,000
Bank of America, N.A. Bank of America consumer protection violation 2014 CFPB $747,000,000
American Express American Express consumer protection violation 2013 CFPB $69,100,000
Ally Financial Inc. and Ally Bank Ally Financial consumer protection violation 2013 CFPB $98,000,000
Ocwen Financial Corporation and Ocwen Loan Servicing Ocwen Financial consumer protection violation 2013 CFPB $2,125,000,000
Republic Mortgage Insurance Corporation Old Republic International consumer protection violation 2013 CFPB $100,000
Washington Federal Washington Federal Inc. consumer protection violation 2013 CFPB $34,000
Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A. JPMorgan Chase consumer protection violation 2013 CFPB $329,000,000
American Express American Express consumer protection violation 2012 CFPB $99,100,000
Discover Bank Discover Financial Services consumer protection violation 2012 CFPB $214,000,000
Capital One Bank (U.S.A.), N.A. Capital One Financial consumer protection violation 2012 CFPB $165,000,000
Sallie Mae Inc. Navient consumer protection violation 2014 DOJ_RIGHTS $60,000,000
Santander Bank, N.A. Banco Santander consumer protection violation 2016 CFPB $10,000,000
Wells Fargo Bank Wells Fargo consumer protection violation 2016 CFPB $4,010,000
First National Bank of Omaha First National of Nebraska consumer protection violation 2016 CFPB $32,250,000
MoneyGram International, Inc. MoneyGram International consumer protection violation 2009 FTC $18,000,000
CompuCredit Corporation Atlanticus Holdings consumer protection violation 2008 FTC $114,000,000
Capital City Mortgage Corporation Capital City Bank Group consumer protection violation 2005 FTC $750,000
Citigroup Inc. Citigroup consumer protection violation 2002 FTC $215,000,000
TMX Finance LLC TMX Finance consumer protection violation 2016 CFPB $9,000,000
Navy Federal Credit Union Navy Federal Credit Union consumer protection violation 2016 CFPB $28,500,000
CitiMortgage, Inc. Citigroup consumer protection violation 2006 HUD $650,000
Allied Home Mortgage Capital Corporation Americus Mortgage consumer protection violation 2003 HUD $370,000
CitiFinancial Servicing and CitiMortgage, Inc. Citigroup consumer protection violation 2017 CFPB $28,800,000
Prospect Mortgage, LLC Homebridge Financial Services consumer protection violation 2017 CFPB $3,500,000
Mastercard International Inc. MasterCard consumer protection violation 2017 CFPB $13,000,000
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2017 CFPB $1,750,000
American Express American Express consumer protection violation 2017 CFPB $96,000,000
JPMorgan Chase Bank, N.A. JPMorgan Chase consumer protection violation 2017 CFPB $4,600,000
ZB N.A. (fka Zions First National Bank) Zions Bancorporation consumer protection violation 2017 USAO $3,600,000
Citibank N.A. Citigroup consumer protection violation 2017 CFPB $6,000,000
Wells Fargo Bank N.A. Wells Fargo consumer protection violation 2018 CFPB $500,000,000
TCF National Bank TCF Financial Corp. consumer protection violation 2018 CFPB $28,000,000
Citibank, N.A. Citigroup consumer protection violation 2018 CFPB $335,000,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2018 CFPB $11,790,000
Enova International, Inc. Enova International consumer protection violation 2019 CFPB $3,200,000
USAA Federal Savings Bank USAA consumer protection violation 2019 CFPB $15,500,000
ACE Cash Express, Inc. ACE Cash Express consumer protection violation 2002 CO-AG $1,300,000
Allstate Allstate consumer protection violation 2003 TX-AG $3,440,000
American Automobile Insurance Co. Allianz consumer protection violation 2011 MA-AG $571,394
American Bankers Insurance Co. Assurant consumer protection violation 2006 MA-AG $20,000
American Express Co. American Express consumer protection violation 2003 NY-AG $3,285,000
American Express Publishing Corporation American Express consumer protection violation 2000 MULTI-AG $200,000
American Heritage Life Insurance Co. Allstate consumer protection violation 2007 TX-AG $1,700,000
American National Insurance Co. American National Insurance consumer protection violation 2007 TX-AG $6,500,000
American Security Insurance Co. Assurant consumer protection violation 2017 MA-AG $6,300,000
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