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
Mizuho Securities USA LLC Mizuho Financial investor protection violation 2018 SEC $1,250,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2018 SEC $73,200,000
Credit Suisse Group AG Credit Suisse Foreign Corrupt Practices Act 2018 SEC $29,700,000
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2018 SEC $3,600,000
Wells Fargo Advisors LLC Wells Fargo investor protection violation 2018 SEC $5,108,441
Merrill Lynch, Pierce, Fenner & Smith Bank of America investor protection violation 2018 SEC $42,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2018 SEC $15,700,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China investor protection violation 2018 SEC $860,000
Charles Schwab & Co., Inc. Charles Schwab Corp. investor protection violation 2018 SEC $2,800,000
Merrill Lynch, Pierce and Fenner & Smith Incorporated Bank of America investor protection violation 2018 SEC $8,872,723
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2018 SEC $1,250,000
Massachusetts Financial Services Company Sun Life Financial investor protection violation 2018 SEC $1,900,000
Citibank NA Citigroup export control violation 2018 BIS $60,000
Commerzbank AG Commerzbank investor protection violation 2018 CFTC $12,000,000
Bank of Nova Scotia Scotiabank investor protection violation 2018 CFTC $800,000
Mizuho Bank, Ltd. Mizuho Financial investor protection violation 2018 CFTC $250,000
Bank of America, N.A. Bank of America interest rate benchmark manipulation 2018 CFTC $30,000,000
ICAP Capital Markets LLC CME Group interest rate benchmark manipulation 2018 CFTC $50,000,000
NatWest Markets Plc NatWest Group PLC investor protection violation 2018 CFTC $750,000
ABN AMRO Clearing Chicago LLC ABN AMRO investor protection violation 2018 CFTC $160,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2018 CFPB $11,790,000
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2018 EBSA $10,001
Wheelabrator Claremont Company, L.P. Macquarie energy market violation 2018 FERC $357,231
Societe Generale S.A. Societe Generale economic sanction violation 2018 FED $81,300,000
Bank of New York Mellon Bank of New York Mellon banking violation 2018 FED $16,000
MoneyGram International Inc. MoneyGram International anti-money-laundering deficiencies 2018 DOJ_CRIMINAL $125,000,000
Societe Generale S.A. Societe Generale economic sanction violation 2018 USAO $717,200,000
BMO Harris Bank, N.A. Bank of Montreal fraud 2018 USAO $10,000,000
HSBC HSBC toxic securities abuses 2018 USAO $765,000,000
Philadelphia Indemnity Insurance Company Tokio Marine False Claims Act and related 2018 USAO $30,508
LendingClub Corporation LendingClub Corp. banking violation 2018 USAO $2,000,000
Societe Generale S.A. Societe Generale economic sanction violation 2018 OFAC $53,966,916
JPMorgan Chase Bank, N.A. JPMorgan Chase economic sanction violation 2018 OFAC $5,263,171
Capital One Bank (USA), National Association Capital One Financial anti-money-laundering deficiencies 2018 OCC $100,000,000
Citibank N.A. Citigroup investor protection violation 2018 SEC $38,700,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2018 SEC $5,000,000
LendingClub Asset Management LLC LendingClub Corp. investor protection violation 2018 SEC $5,000,000
Voya Financial Advisors Inc. Voya Financial investor protection violation 2018 SEC $1,000,000
SG Americas Securities LLC (Societe Generale) Societe Generale investor protection violation 2018 SEC $800,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2018 SEC $12,937,475
Convergex Execution Solutions LLC Cowen Inc. data submission deficiencies 2018 SEC $2,750,000
Cadaret, Grant & Co. Inc. Atria Wealth Solutions investor protection violation 2018 SEC $513,194
Putnam Investment Management, LLC Power Financial Corporation investor protection violation 2018 SEC $1,000,000
TD Ameritrade, Inc. Charles Schwab Corp. investor protection violation 2018 SEC $500,000
Heartland Payment Systems, LLC Global Payments Inc. investor protection violation 2018 SEC $2,160,000
BB&T Securities, LLC Truist Financial investor protection violation 2018 SEC $100,000
JPMorgan Chase JPMorgan Chase employment discrimination 2018 private lawsuit-federal $24,000,000
Wells Fargo Advisors, LLC Wells Fargo wage and hour violation 2018 private lawsuit-federal $9,500,000
M&T Bank Corporation M&T Bank wage and hour violation 2018 private lawsuit-federal $2,490,000
Allstate Insurance Company Allstate wage and hour violation 2018 private lawsuit-state $5,500,000
SunTrust Banks, Inc. Truist Financial benefit plan administrator violation 2018 private lawsuit-federal $4,750,000
Liberty Mutual Retirement Benefit Plan Liberty Mutual Insurance benefit plan administrator violation 2018 private lawsuit-federal $30,000,000
Allianz Asset Management of America, L.P. Allianz benefit plan administrator violation 2018 private lawsuit-federal $12,000,000
Wilmington Trust Corporation M&T Bank employment discrimination 2018 EEOC $700,000
Republic Bank & Trust Company Republic Bancorp banking violation 2018 FDIC $300,000
Louis Dreyfus Company LLC Louis Dreyfus railroad safety violation 2018 FRA $6,000
Citibank N.A. Citigroup bankruptcy professional violation 2018 DOJ_UTP $5,000,000
JPMorgan Chase Bank N.A. JPMorgan Chase investor protection violation 2018 SEC $135,100,000
Bank of New York Mellon Bank of New York Mellon investor protection violation 2018 SEC $54,000,000
Natixis Securities Americas LLC Natixis investor protection violation 2018 SEC $1,250,000
Santander Consumer USA Holdings Inc. Banco Santander investor protection violation 2018 SEC $1,500,000
UBS Financial Services Inc. UBS investor protection violation 2018 SEC $5,000,000
UBS Financial Services Inc. UBS anti-money-laundering deficiencies 2018 FINCEN $5,000,000
QBE Americas, Inc. QBE Insurance wage and hour violation 2018 private lawsuit-federal $1,200,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2018 NJ-AG $375,000
Bank of America Merrill Lynch Bank of America investor protection violation 2018 NY-AG $42,000,000
CareFirst BlueChoice CareFirst of Maryland consumer protection violation 2018 DC-AG $50,000
Citibank Citigroup interest rate benchmark manipulation 2018 MULTI-AG $100,000,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2018 NY-AG (*) $10,000,000
Encore Capital Group Inc. Encore Capital Group consumer protection violation 2018 MULTI-AG $6,000,000
HSBC Securities HSBC mortgage abuses 2018 MA-AG $26,800,000
Liberty Mutual Insurance Group Inc. Liberty Mutual Insurance consumer protection violation 2018 MA-AG $50,000
Lincoln Financial Group Trust Company, Inc. Lincoln National wage and hour violation 2018 WHD $17,567
Mastercard Inc. MasterCard consumer protection violation 2018 NM-AG $1,125,000
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2018 MD-AG $760,000
Nationstar Mortgage LLC dba Mr. Cooper Mr. Cooper Group mortgage abuses 2018 MA-AG $500,000
PHH Mortgage Corp. Ocwen Financial mortgage abuses 2018 MULTI-AG $45,000,000
PHH Mortgage Corp. Ocwen Financial consumer protection violation 2018 GA-AG $75,000
QBE Insurance QBE Insurance consumer protection violation 2018 MA-AG $2,400,000
Royal Bank of Scotland NatWest Group PLC toxic securities abuses 2018 IL-AG $20,000,000
Royal Bank of Scotland NatWest Group PLC toxic securities abuses 2018 NY-AG $500,000,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2018 MA-AG $19,647
Travelers Companies, Inc. Travelers consumer protection violation 2018 CT-AG $5,000,000
UBS AG UBS interest rate benchmark manipulation 2018 MULTI-AG $68,000,000
UBS Securities LLC UBS toxic securities abuses 2018 NY-AG $230,000,000
Visa Inc. Visa consumer protection violation 2018 NM-AG $2,270,000
Wells Fargo Wells Fargo toxic securities abuses 2018 IL-AG $17,250,000
Wells Fargo & Company Wells Fargo investor protection violation 2018 NY-AG $65,000,000
Wells Fargo Bank N.A. Wells Fargo banking violation 2018 MULTI-AG $575,000,000
Barclays PLC Barclays foreign exchange market manipulation 2018 DOJ_CRIMINAL $12,896,011
Societe Generale Societe Generale economic sanction violation 2018 NY-MANDA $162,800,000
Nationwide Mutual Insurance Co Nationwide wage and hour violation 2018 WHD $210,373
Bank of Hawaii Bank of Hawaii wage and hour violation 2018 WHD $7,631
The Prudential Insurance Company of America Prudential Financial labor relations violation 2018 NLRB $17,842
Quicken Loans Inc. Quicken Loans consumer protection violation 2018 AK-DBS $11,000
LPL Financial LLC LPL Financial investor protection violation 2018 AL-SEC $80,000
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2018 AR-SEC $50,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $8,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $7,500
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)