Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Primary Offense Type Yearsort icon Agency Penalty Amount
Transamerica Casualty Insurance Company Aegon insurance violation 2017 MULTI-FIN $3,000,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2017 MULTI-FIN $1,914,370
Wells Fargo Bank, N.A. Wells Fargo privacy violation 2017 private lawsuit-federal $30,446,022
BOWIE REFINED COAL LLC Trafigura environmental violation 2017 KY-ENV $45,000
Iberiabank Corp First Horizon National environmental violation 2017 LA-ENV $14,213
WHEELABRATOR GLOUCESTER COMPANY L P Macquarie environmental violation 2017 NJ-ENV $6,000
Regions Bank Regions Financial environmental violation 2017 TN-ENV $20,750
Navy Federal Credit Union Navy Federal Credit Union environmental violation 2017 VA-ENV $7,426
Citigroup Global Markets Inc. Citigroup investor protection violation 2017 FINRA $11,500,000
J.P. Morgan Securities JPMorgan Chase investor protection violation 2017 FINRA $2,800,000
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2017 FINRA $2,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2017 FINRA $1,400,000
J.P. Morgan Securities, LLC JPMorgan Chase investor protection violation 2017 FINRA $1,250,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2017 FINRA $3,400,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2017 FINRA $13,030,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2017 FINRA $2,500,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2017 FINRA $1,000,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2017 FINRA $800,000
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2017 FINRA $450,000
Wells Fargo Wells Fargo workplace whistleblower retaliation 2017 OSHA $577,500
Wells Fargo Bank N.A Wells Fargo workplace whistleblower retaliation 2017 OSHA $5,400,000
WELLS FARGO BANK, NA Wells Fargo workplace safety or health violation 2017 OSHA $9,000
IAC ALBEMARLE, LLC Invesco workplace safety or health violation 2017 OSHA $7,000
WHEELABRATOR SAUGUS, INC. Macquarie workplace safety or health violation 2017 OSHA $17,600
CLECO CORPORATION Macquarie workplace safety or health violation 2017 OSHA $8,626
LOUIS DREYFUS COMPANY RIVER ELEVATORS, LLC Louis Dreyfus workplace safety or health violation 2017 OSHA $8,665
NEOVIA LOGISTICS SERVICES, LLC Goldman Sachs workplace safety or health violation 2017 OSHA $7,605
CITIZENS FINANCIAL GROUP, INC. Citizens Financial Group workplace safety or health violation 2017 OSHA $6,338
W. R. BERKLEY CORPORATION W.R. Berkley workplace safety or health violation 2017 OSHA $5,000
CLECO CORPORATION Macquarie workplace safety or health violation 2017 OSHA $5,545
Morgan Stanley Capital Group, Inc. Morgan Stanley environmental violation 2017 EPA $1,119,000
Vitol Vitol environmental violation 2017 EPA $35,000
JP Morgan Chase Bank, N.A. JPMorgan Chase environmental violation 2017 EPA $230,392
Bowie Refined Coal, LLC Trafigura workplace safety or health violation 2017 MSHA $8,094
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2017 MSHA $32,300
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2017 MSHA $5,517
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2017 MSHA $22,900
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2017 MSHA $37,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2017 MSHA $6,367
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2017 MSHA $18,320
HSBC Holdings plc HSBC fraud 2018 DOJ_CRIMINAL $100,000,000
Goldman Sachs Bank USA Goldman Sachs banking violation 2018 FED $90,000
Goldman Sachs Goldman Sachs mortgage abuses 2018 FED $14,000,000
Morgan Stanley Morgan Stanley mortgage abuses 2018 FED $8,000,000
CIT Group Inc. CIT mortgage abuses 2018 FED $5,200,000
U.S. Bancorp U.S. Bancorp mortgage abuses 2018 FED $4,400,000
PNC Financial Services Group PNC Financial Services mortgage abuses 2018 FED $3,500,000
Citibank N.A. Citigroup anti-money-laundering deficiencies 2018 OCC $70,000,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2018 SEC $1,304,197
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China investor protection violation 2018 SEC $1,250,000
Deutsche Bank Securities Inc. Deutsche Bank interest rate benchmark manipulation 2018 CFTC $70,000,000
HSBC Securities (USA) Inc. HSBC investor protection violation 2018 CFTC $1,600,000
UBS AG UBS investor protection violation 2018 CFTC $15,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2018 CFTC $30,000,000
US Bancorp U.S. Bancorp banking violation 2018 FED $15,000,000
BNP Paribas USA Inc. BNP Paribas foreign exchange market manipulation 2018 DOJ_ANTITRUST $90,000,000
Rabobank National Association Rabobank anti-money-laundering deficiencies 2018 DOJ_CRIMINAL $368,701,259
U.S. Bancorp U.S. Bancorp anti-money-laundering deficiencies 2018 USAO $453,000,000
Rabobank, National Association Rabobank anti-money-laundering deficiencies 2018 OCC $50,000,000
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 OCC $75,000,000
Voya Holdings Inc. Voya Financial investor protection violation 2018 SEC $3,600,000
Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America investor protection violation 2018 SEC $1,404,000
New York Stock Exchange IntercontinentalExchange Group investor protection violation 2018 SEC $14,000,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2018 SEC $4,450,000
Ameriprise Financial Services Ameriprise Financial investor protection violation 2018 SEC $230,000
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 FINCEN $70,000,000
PNC Investments LLC PNC Financial Services investor protection violation 2018 SEC $7,307,770
Barclays Capital, Inc. Barclays toxic securities abuses 2018 USAO $2,000,000,000
Wells Fargo Bank N.A. Wells Fargo banking violation 2018 OCC $500,000,000
Wells Fargo Bank N.A. Wells Fargo consumer protection violation 2018 CFPB $500,000,000
Goldman Sachs Group, Inc. Goldman Sachs investor protection violation 2018 FED $54,750,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2018 private lawsuit-federal $3,000,000
Wells Fargo Wells Fargo wage and hour violation 2018 private lawsuit-state $27,500,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2018 private lawsuit-federal $8,333,333
BB&T Truist Financial wage and hour violation 2018 private lawsuit-federal $72,336
BNP Paribas Securities Corp. BNP Paribas interest rate benchmark manipulation 2018 CFTC $90,000,000
Lansing Trade Group, LLC Lansing Trade Group investor protection violation 2018 CFTC $3,400,000
JPMorgan Chase Bank, N.A. JPMorgan Chase interest rate benchmark manipulation 2018 CFTC $65,000,000
Societe Generale S.A. Societe Generale interest rate benchmark manipulation 2018 CFTC $475,000,000
TCF National Bank Huntington Bancshares consumer protection violation 2018 CFPB $28,000,000
Citibank, N.A. Citigroup consumer protection violation 2018 CFPB $335,000,000
Citigroup Citigroup banking violation 2018 FED $8,600,000
Royal Bank of Scotland Group plc NatWest Group PLC toxic securities abuses 2018 DOJ_CIVIL $4,900,000,000
Wells Fargo Bank, N.A. Wells Fargo toxic securities abuses 2018 DOJ_CIVIL $2,090,000,000
Credit Suisse (Hong Kong) Limited Credit Suisse Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $47,029,916
Societe Generale S.A. Societe Generale Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $860,000
Legg Mason Inc. Franklin Resources Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $64,200,000
Rabobank N.A. Rabobank anti-money-laundering deficiencies 2018 USAO $500,000
UBS Financial Services Inc. UBS wage and hour violation 2018 WHD $6,246
TCF National Bank Huntington Bancshares banking violation 2018 OCC $3,000,000
PNC Bank, National Association PNC Financial Services banking violation 2018 OCC $207,245
PNC Bank, National Association PNC Financial Services banking violation 2018 OCC $15,000,000
Bank of China Bank of China banking violation 2018 OCC $12,500,000
IMTT-PIPELINE Macquarie environmental violation 2018 PHMSA $19,600
IMTT-BAYONNE Macquarie environmental violation 2018 PHMSA $144,000
Legg Mason Inc. Franklin Resources Foreign Corrupt Practices Act 2018 SEC $34,500,000
AEGON USA Investment Management LLC et al. Aegon investor protection violation 2018 SEC $97,600,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America investor protection violation 2018 SEC $8,900,000
Citigroup Citigroup accounting fraud or deficiencies 2018 SEC $10,500,000
Ameriprise Financial Services Inc. Ameriprise Financial investor protection violation 2018 SEC $4,500,000
Mizuho Securities USA LLC Mizuho Financial investor protection violation 2018 SEC $1,250,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)