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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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 TypeYearAgencyPenalty Amount sort icon
HomeStreet BankHomeStreet Inc.banking violation2019FDIC$1,350,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceconsumer protection violation2023KY-AG$1,350,000
Societe Generale Private Banking (Lugano-Svizzera)Societe Generaletax violations2015DOJ_TAX$1,363,000
Crawford and CompanyCrawford & Co.False Claims Act and related2006DOJ_CIVIL$1,363,204
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2011FINRA$1,371,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013FINRA$1,373,000
Ditech Financial LLCDitech Holding Corporationwage and hour violation2017private lawsuit-federal$1,383,000
MassMutual Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2020NY-DFS$1,399,708
UBSUBSwage and hour violation2012private lawsuit-federal$1,400,000
H&R BlockH&R Blockwage and hour violation2010private lawsuit-federal$1,400,000
MUFG Securities Americas Inc.U.S. Bancorpinvestor protection violation2018SEC$1,400,000
Ditech Financial, LLCDitech Holding Corporationconsumer protection violation2016MA-AG$1,400,000
BGC Partners, Inc.BGC Partnersinvestor protection violation2020SEC$1,400,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2017FINRA$1,400,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2015FINRA$1,400,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2009FINRA$1,400,000
State Street Global Markets LLCState Street Corp.investor protection violation2005FINRA$1,400,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2023SEC$1,400,000
Merrill Lynch, Pierce, Fenner & Smith IncBank of Americainvestor protection violation2018SEC$1,404,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2019SEC$1,405,349
Fidelity National Title Insurance Co. et al.Fidelity National Financialinsurance violation2013CA-INS$1,425,000
LPL Financial LLCLPL Financialinvestor protection violation2015MULTI-FIN$1,425,000
Oppenheimer and Co., Inc.Oppenheimer Holdingsanti-money-laundering deficiencies2013FINRA$1,425,000
RBC Capital MarketsRoyal Bank of Canadainvestor protection violation2015FINRA$1,434,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2010FINRA$1,440,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008IL-SEC$1,449,384
JPMorgan ChaseJPMorgan Chaseemployment discrimination2014EEOC$1,450,000
Huntington Bancshares Inc.Huntington Bancsharesbenefit plan administrator violation2011private lawsuit-federal$1,450,000
Allstate Insurance GroupAllstateinsurance violation2020NY-DFS$1,455,368
Oscar Insurance CorporationOscar Health Inc.insurance violation2021NY-DFS$1,465,800
Goldman SachsGoldman Sachsinvestor protection violation2012CFTC$1,500,000
FCStone LLCStoneX Groupinvestor protection violation2013CFTC$1,500,000
Highmark, Inc.Highmark Inc.False Claims Act and related2004DOJ_CIVIL$1,500,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2006SEC$1,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2006SEC$1,500,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2006SEC$1,500,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2006SEC$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2006SEC$1,500,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2006SEC$1,500,000
RBC Dain Rauscher IncRoyal Bank of Canadainvestor protection violation2006SEC$1,500,000
UMB Bank, NAUMB Financial Corp.banking violation2017OCC$1,500,000
Blackrock Fund AdvisorsBlackRockinvestor protection violation2017SEC$1,500,000
PNC BankPNC Financial Serviceswage and hour violation2016private lawsuit-federal$1,500,000
E-TradeMorgan Stanleywage and hour violation2012private lawsuit-federal$1,500,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLCBank of Americainvestor protection violation2005SEC$1,500,000
Santander Consumer USA Holdings Inc.Banco Santanderinvestor protection violation2018SEC$1,500,000
Ameriprise GroupAmeriprise Financialinsurance violation2017MULTI-AG$1,500,000
CashCall Inc.CashCall Inc.consumer protection violation2014IA-AG$1,500,000
Morgan Stanley & Co.Morgan Stanleytoxic securities abuses2008MA-AG$1,500,000
Western Sky Financial, LLCCashCall Inc.consumer protection violation2014NY-AG$1,500,000
Morgan Stanley Capital Group Inc.Morgan Stanleyinvestor protection violation2019CFTC$1,500,000
Virtu Americas LLCVirtu Financialinvestor protection violation2019SEC$1,500,000
Stewart Title Guaranty Co. and Electronic Closing Services, Inc. dba E-TitleStewart Information Servicesinsurance violation2007CA-INS$1,500,000
MetLife, Inc. et al.MetLifeinsurance violation2014MN-FIN$1,500,000
Riversource Life Insurance Co. and Riversource Life Insurance Co. of New YorkAmeriprise Financialinsurance violation2017MN-FIN$1,500,000
Edward D. Jones & Co. L.P.Jones Financialinvestor protection violation2005MO-SEC$1,500,000
Horizon Healthcare Services, Inc. and Horizon Healthcare of New Jersey Inc.Horizon Healthcare Servicesinsurance violation2017NJ-DBI$1,500,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2010WI-INS$1,500,000
RiverSource Life Insurance CompanyAmeriprise Financialinsurance violation2016MULTI-FIN$1,500,000
Teachers Insurance and Annuity AssociationTIAAemployment discrimination2020OFCCP$1,500,000
Fulton Financial CorporationFulton Financialinvestor protection violation2020SEC$1,500,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2018FINRA$1,500,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLCWells Fargoinvestor protection violation2016FINRA$1,500,000
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2016FINRA$1,500,000
Wells Fargo Advisors and Wells Fargo Advisors Financial NetworkWells Fargoanti-money-laundering deficiencies2014FINRA$1,500,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2010FINRA$1,500,000
HSBC Securities (USA)HSBCinvestor protection violation2010FINRA$1,500,000
ING Funds DistributorVoya Financialinvestor protection violation2005FINRA$1,500,000
State Street Research Investment Services, Inc.BlackRockinvestor protection violation2004FINRA$1,500,000
Knight Securities L.P.Virtu Financialinvestor protection violation2002FINRA$1,500,000
Credit SuisseUBSinvestor protection violation2021CFTC$1,500,000
Societe Generale S.A.Societe Generaleinvestor protection violation2021CFTC$1,500,000
Mizuho Capital Markets LLCMizuho Financialinvestor protection violation2021CFTC$1,500,000
BNY Mellon Investment Adviser, Inc.Bank of New York Melloninvestor protection violation2022SEC$1,500,000
Ocwen Loan Servicing, LLCOcwen Financialprivacy violation2022private lawsuit-federal$1,500,000
Bank of America N.A.Bank of Americaprice-fixing or anti-competitive practices2020private lawsuit-federal$1,500,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2020private lawsuit-federal$1,500,000
AllianzAllianzdiscriminatory practices (non-employment)2024WA-AG$1,500,000
AllianzAllianzdiscriminatory practices (non-employment)2024WA-AG$1,500,000
SunTrust BankTruist Financialbanking violation2017FED$1,501,000
Farmer's InsuranceZurich Insurancewage and hour violation2011WHD$1,520,705
Aon Investments USA Inc.Aoninvestor protection violation2024SEC$1,542,187
Admiral Risk Insurance Services, Inc.W.R. Berkleyinsurance violation2017CA-INS$1,542,500
Admiral Insurance Co.W.R. Berkleyinsurance violation2017CA-INS$1,542,500
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2019SEC$1,545,758
Merrill LynchBank of Americaemployment discrimination2008EEOC$1,550,000
SG Americas Securities LLCSociete Generaleinvestor protection violation2020SEC$1,550,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2020FINRA$1,550,000
Morgan StanleyMorgan Stanleyinvestor protection violation2011NJ-AG$1,560,000
American General Life and Accident Insurance Co.American International Groupinsurance violation2006FL-OFR$1,568,324
Protective Life Insurance Co.Dai-ichi Lifeconsumer protection violation2007TX-AG$1,570,000
Bank LeumiBank Leumiinvestor protection violation2016SEC$1,600,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2018CFTC$1,600,000
Freedom MortgageFreedom Mortgagewage and hour violation2012private lawsuit-federal$1,600,000
CitibankCitigroupconsumer protection violation2002MULTI-AG$1,600,000
CitibankCitigroupconsumer protection violation2002CA-AG$1,600,000
Providian Financial Corp.JPMorgan Chaseconsumer protection violation2000CT-AG$1,600,000
The Equitable Life Assurance Society of the United StatesEquitable Holdingsinsurance violation2003FL-OFR$1,600,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2012MULTI-FIN$1,600,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2004FINRA$1,600,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2024FINRA$1,600,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.