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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 Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Navient Corp.Navientconsumer protection violation2018private lawsuit-federal$275,000
Navient CorporationNavientemployment discrimination2023OFCCP$700,000
Navient Solutions LLCNavientconsumer protection violation2023private lawsuit-federal$198,400,000
Navient Solutions, LLCNavientconsumer protection violation2023VA-FIN$43,600
Navy Federal Credit UnionNavy Federal Credit Unionconsumer protection violation2016CFPB$28,500,000
Navy Federal Credit UnionNavy Federal Credit Unionenvironmental violation2017VA-ENV$7,426
Navy Federal Credit UnionNavy Federal Credit Unionconsumer protection violation2021private lawsuit-federal$16,000,000
NBT Bank, N.A.NBT Bancorpconsumer protection violation2022private lawsuit-federal$5,747,792
Nelnet Inc.NelnetFalse Claims Act and related2010DOJ_CIVIL$47,000,000
Nelnet Inc.Nelnetconsumer protection violation2007NY-AG$2,000,000
Nelnet, Inc.Nelnetconsumer protection violation2008NY-AG$200,000
Nelnet, Inc.Nelnetconsumer protection violation2024MA-AG$1,800,000
New Day Financial LLC dba New Day USANew Day Financial LLCconsumer protection violation2015NY-DFS$1,000,000
New Day Financial LLCNew Day Financial LLCconsumer protection violation2011PA-BKG$57,500
New Day Financial, LLC d/b/a NewDay USANew Day Financial LLCconsumer protection violation2015WA-FIN$120,000
New Day Financial, LLC d/b/a NewDay USANew Day Financial LLCinvestor protection violation2015MULTI-FIN$5,160,000
Flagstar BankNew York Community Bancorpconsumer protection violation2014CFPB$37,500,000
Flagstar BankNew York Community Bancorpmortgage abuses2012USAO$132,800,000
NEW YORK COMMUNITY BANKNew York Community Bancorpbanking violation2004FDIC$8,000
Flagstar Bank, FSBNew York Community Bancorpbanking violation2016OCC$500,000
Flagstar BankNew York Community Bancorpwage and hour violation2015private lawsuit-federal$895,000
Flagstar Bancorp, Inc.New York Community Bancorpbenefit plan administrator violation2013private lawsuit-federal$3,000,000
Flagstar BankNew York Community Bancorpdiscriminatory practices (non-employment)2004private lawsuit-federal$1,100,000
Flagstar Bank, FSBNew York Community Bancorpbanking violation2021OCC$3,620,000
Flagstar Bancorp, Inc. a Michigan CorporationNew York Community Bancorpwage and hour violation2021CA-LCO$30,677
Flagstar Bank, FSB,New York Community Bancorpwage and hour violation2021CA-LCO$30,677
New York LifeNew York Life Insurancewage and hour violation2016private lawsuit-federal$94,818
New York Life Investment Management LLCNew York Life Insuranceinvestor protection violation2009SEC$6,100,784
New York Life InsuranceNew York Life Insurancebenefit plan administrator violation2008private lawsuit-federal$14,000,000
New York Life Insurance CompanyNew York Life Insurancebenefit plan administrator violation2017private lawsuit-federal$3,000,000
New York Life Insurance CompanyNew York Life Insuranceinsurance violation2013MULTI-AG$15,000,000
New York Life Insurance Co.New York Life Insuranceinsurance violation2009CA-INS$175,000
New York Life Insurance and Annuity Corp.New York Life Insuranceinsurance violation2018DE-INS$5,000
New York Life Insurance Co.New York Life Insuranceinsurance violation2011FL-OFR$18,000
NYLIFE Securities, LLCNew York Life Insuranceinvestor protection violation2017IN-SEC$275,000
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2019ME-SEC$50,000
New York Life Insurance Co. et al.New York Life Insuranceinsurance violation2016MN-FIN$800,000
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2017NH-BSR$7,500
NEW YORK LIFE INSURANCE CONew York Life Insuranceinsurance violation2002VA-INS$13,500
New York Life Insurance & Annuity CorporationNew York Life Insuranceconsumer protection violation2021NY-DFS$10,929,000
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2007FINRA$354,000
NYLife Securities, Inc.New York Life Insuranceinvestor protection violation2004FINRA$350,000
New York Life Insurance Company and New York Life Insurance and Annuity CorporationNew York Life Insuranceinsurance violation2021MT-FIN$10,000
New York Life Insurance CompanyNew York Life Insurancewage and hour violation2017MI-LEO$8,000
NEW YORK LIFE INSURANCE COMPANYNew York Life Insuranceinsurance violation2024WA-INS$46,328
NEW YORK LIFE INSURANCE COMPANYNew York Life Insuranceworkplace safety or health violation2023OSHA$6,697
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc.Nomuratoxic securities abuses2016NCUA$3,000,000
Nomura Securities International Inc.Nomurainvestor protection violation2019SEC$26,400,000
Nomura SecuritiesNomurainvestor protection violation2022CFTC$50,000,000
Nomura Securities International, Inc.Nomurainvestor protection violation2022SEC$50,000,000
Nomura Securities International Inc.Nomuraprice-fixing or anti-competitive practices2018private lawsuit-federal$8,750,000
Nomura Securities International Inc.Nomuraprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Nomura Securities InternationalNomurafraud2023USAO$35,000,000
Norddeutsche Landesbank GirozentraleNorddeutsche Landesbankemployment discrimination2008private lawsuit-federal$2,618,600
Norinchukin BankNorinchukin Bankprice-fixing or anti-competitive practices2019private lawsuit-federal$13,083,333
Norinchukin BankNorinchukin Bankprice-fixing or anti-competitive practices2023private lawsuit-federal$449,000
Norinchukin BankNorinchukin Bankprice-fixing or anti-competitive practices2023private lawsuit-federal$30,000,000
The Northern Trust CompanyNorthern Trustinvestor protection violation2015SEC$60,000
Northern Trust, IBCNorthern Trusteconomic sanction violation2003OFAC$18,027
Northern Trust, National AssociationNorthern Trustbanking violation2008OCC$125,000
Northern Trust Investments, N.A.Northern Trustbenefit plan administrator violation2015private lawsuit-federal$36,000,000
Northern TrustNorthern Trustbenefit plan administrator violation2006private lawsuit-federal$37,500,000
Northern Trust CompanyNorthern Trustinvestor protection violation2019CFTC$1,000,000
Northern Trust Hedge Fund Services LLCNorthern Trustinvestor protection violation2020SEC$167,629
Northern Trust SecuritiesNorthern Trustinvestor protection violation2011FINRA$600,000
The Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2013MN-FIN$150,000
Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2019NY-DFS$57,937
Northwestern Mutual Investment ServicesNorthwestern Mutualinsurance violation2006PA-INS$10,000
Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2020WA-INS$50,000
Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2021VT-FIN$287,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualinvestor protection violation2009FINRA$200,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualinvestor protection violation2007FINRA$100,000
Northwestern MutualNorthwestern Mutualwage and hour violation2016MI-LEO$34,371
Northwestern MutualNorthwestern Mutualwage and hour violation2016MI-LEO$68,815
Northwestern Mutual Investment Services, LLCNorthwestern Mutualinvestor protection violation2023NH-BSR$200,000
Northwestern Mutual Life Insurance CompanyNorthwestern Mutualinsurance violation2023NH-INS$200,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$9,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$9,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$7,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$7,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualinvestor protection violation2024SEC$16,500,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualinvestor protection violation2024ME-SEC$5,000
Sun National BankOceanFirst Financialbanking violation2016OCC$25,000
Ocwen Financial Corporation and Ocwen Loan ServicingOcwen Financialconsumer protection violation2013CFPB$2,125,000,000
Saxon Mortgage Services Inc.Ocwen Financialmortgage abuses2011DOJ_CIVIL$2,350,000
Option One Mortgage CorporationOcwen Financialtoxic securities abuses2012SEC$28,200,000
Ocwen Financial Corp.Ocwen Financialaccounting fraud or deficiencies2016SEC$2,000,000
PHH Corp.Ocwen FinancialFalse Claims Act and related2017DOJ_CIVIL$74,453,802
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2018EBSA$10,001
Ocwen FinancialOcwen Financialemployment discrimination2005private lawsuit-state$2,000,000
PHH Mortgage CorporationOcwen Financialconsumer protection violation2019DOJ_RIGHTS$750,000
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2019EBSA$10,001
Ocwen Financial Corp.Ocwen Financialmortgage abuses2014MA-AG$3,700,000
Ocwen Financial CorporationOcwen Financialconsumer protection violation2019ME-AG$84,000
Ocwen Financial ServicesOcwen Financialmortgage abuses2013MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $127,300,000
Ocwen Loan Servicing LLCOcwen Financialmortgage abuses2019MA-AG$2,000,000
PHH Mortgage Corp.Ocwen Financialmortgage abuses2018MULTI-AG$45,000,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2018GA-AG$75,000
PHH Mortgage CorporationOcwen Financialmortgage abuses2013NJ-AG$6,250,000
Ocwen Loan Servicing, LLCOcwen Financialconsumer protection violation2015CA-DFPI$2,500,000
Ocwen Financial Solutions, Private Ltd.Ocwen Financialconsumer protection violation2017CA-DFPI$52,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.