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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 TypeYear sort iconAgencyPenalty Amount
Capital One Bank (USA), National AssociationCapital One Financialanti-money-laundering deficiencies2018OCC$100,000,000
Citibank N.A.Citigroupinvestor protection violation2018SEC$38,700,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2018SEC$5,000,000
LendingClub Asset Management LLCLendingClub Corp.investor protection violation2018SEC$5,000,000
Voya Financial Advisors Inc.Voya Financialinvestor protection violation2018SEC$1,000,000
SG Americas Securities LLC (Societe Generale)Societe Generaleinvestor protection violation2018SEC$800,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2018SEC$12,937,475
Convergex Execution Solutions LLCToronto-Dominion Bankdata submission deficiencies2018SEC$2,750,000
Cadaret, Grant & Co. Inc.Atria Wealth Solutionsinvestor protection violation2018SEC$513,194
Putnam Investment Management, LLCFranklin Resourcesinvestor protection violation2018SEC$1,000,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2018SEC$500,000
Heartland Payment Systems, LLCGlobal Payments Inc.investor protection violation2018SEC$2,160,000
BB&T Securities, LLCTruist Financialinvestor protection violation2018SEC$100,000
JPMorgan ChaseJPMorgan Chaseemployment discrimination2018private lawsuit-federal$24,000,000
Wells Fargo Advisors, LLCWells Fargowage and hour violation2018private lawsuit-federal$9,500,000
M&T Bank CorporationM&T Bankwage and hour violation2018private lawsuit-federal$2,490,000
Allstate Insurance CompanyAllstatewage and hour violation2018private lawsuit-state$5,500,000
SunTrust Banks, Inc.Truist Financialbenefit plan administrator violation2018private lawsuit-federal$4,750,000
Liberty Mutual Retirement Benefit PlanLiberty Mutual Insurancebenefit plan administrator violation2018private lawsuit-federal$30,000,000
Allianz Asset Management of America, L.P.Allianzbenefit plan administrator violation2018private lawsuit-federal$12,000,000
Wilmington Trust CorporationM&T Bankemployment discrimination2018EEOC$700,000
Republic Bank & Trust CompanyRepublic Bancorpbanking violation2018FDIC$300,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$7,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$6,250
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$10,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$5,000
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2018FRA$6,000
Citibank N.A.Citigroupbankruptcy professional violation2018DOJ_UTP$5,000,000
JPMorgan Chase Bank N.A.JPMorgan Chaseinvestor protection violation2018SEC$135,100,000
Bank of New York MellonBank of New York Melloninvestor protection violation2018SEC$54,000,000
MUFG Securities Americas Inc.U.S. Bancorpinvestor protection violation2018SEC$1,400,000
Santander Consumer USA Holdings Inc.Banco Santanderinvestor protection violation2018SEC$1,500,000
UBS Financial Services Inc.UBSinvestor protection violation2018SEC$5,000,000
UBS Financial Services Inc.UBSanti-money-laundering deficiencies2018FINCEN$5,000,000
QBE Americas, Inc.QBE Insurancewage and hour violation2018private lawsuit-federal$1,200,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2018NJ-AG$375,000
Bank of America Merrill LynchBank of Americainvestor protection violation2018NY-AG$42,000,000
CitibankCitigroupprice-fixing or anti-competitive practices2018MULTI-AG$100,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2018NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $10,000,000
Encore Capital Group Inc.Encore Capital Groupconsumer protection violation2018MULTI-AG$6,000,000
HSBC SecuritiesHSBCmortgage abuses2018MA-AG$26,800,000
Liberty Mutual Insurance Group Inc.Liberty Mutual Insuranceconsumer protection violation2018MA-AG$50,000
Lincoln Financial Group Trust Company, Inc.Lincoln Nationalwage and hour violation2018WHD$17,567
Mastercard Inc.MasterCardconsumer protection violation2018NM-AG$1,125,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2018MD-AG$760,000
Nationstar Mortgage LLC dba Mr. CooperMr. Cooper Groupmortgage abuses2018MA-AG$500,000
PHH Mortgage Corp.Ocwen Financialmortgage abuses2018MULTI-AG$45,000,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2018GA-AG$75,000
QBE InsuranceQBE Insuranceconsumer protection violation2018MA-AG$2,400,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2018IL-AG$20,000,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2018NY-AG$500,000,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2018MA-AG$19,647
Travelers Companies, Inc.Travelersconsumer protection violation2018CT-AG$5,000,000
UBS AGUBSprice-fixing or anti-competitive practices2018MULTI-AG$68,000,000
UBS Securities LLCUBStoxic securities abuses2018NY-AG$230,000,000
Visa Inc.Visaconsumer protection violation2018NM-AG$2,270,000
Wells FargoWells Fargotoxic securities abuses2018IL-AG$17,250,000
Wells Fargo & CompanyWells Fargoinvestor protection violation2018NY-AG$65,000,000
Wells Fargo Bank N.A.Wells Fargobanking violation2018MULTI-AG$575,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2018DOJ_CRIMINAL$12,896,011
Societe GeneraleSociete Generaleeconomic sanction violation2018NY-MANDA$162,800,000
Nationwide Mutual Insurance CoNationwidewage and hour violation2018WHD$210,373
Bank of HawaiiBank of Hawaiiwage and hour violation2018WHD$7,631
The Prudential Insurance Company of AmericaPrudential Financiallabor relations violation2018NLRB$17,842
Academy Mortgage CorporationAcademy Mortgage Corp.labor relations violation2018NLRB$6,061
Quicken Loans Inc.Rocket Companies Inc.consumer protection violation2018AK-DBS$11,000
LPL Financial LLCLPL Financialinvestor protection violation2018AL-SEC$80,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2018AR-SEC$50,000
Santander Consumer USA, Inc.Banco Santanderconsumer protection violation2018CA-DFPI$300,000
United Casualty Insurance Co.Kemperinsurance violation2018CA-INS$22,500
Ticor Title Company of CaliforniaFidelity National Financialinsurance violation2018CA-INS$6,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2018CA-DFPI$115,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2018CA-MHC$10,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2018CT-BKG$100,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2018CT-SEC$7,590
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2018DC-DISB$5,000
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2018DE-INS$76,000
Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2018DE-INS$17,000
New York Life Insurance and Annuity Corp.New York Life Insuranceinsurance violation2018DE-INS$5,000
State Farm Fire & Casualty Co. and State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2018DE-INS$24,000
Principal Life Insurance Co.Principal Financialinsurance violation2018DE-INS$200,000
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2018DE-INS$17,000
AXA Equitable Life Insurance Co.Equitable Holdingsinsurance violation2018DE-INS$5,000
RiverSource Life Insurance Co.Ameriprise Financialinsurance violation2018DE-INS$75,000
Nationwide Life Insurance Co. and Nationwide Life and Annuity Insurance Co.Nationwideinsurance violation2018DE-INS$45,500
American General Life Insurance Co.American International Groupinsurance violation2018FL-OFR$210,000
LPL Financial, LLCLPL Financialinvestor protection violation2018IN-SEC$450,000
Standard Fire Insurance Co.Travelersinsurance violation2018KS-INS$7,500
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2018KS-INS$80,000
AIG Claims, Inc.American International Groupinsurance violation2018LA-INS$11,000
LendingClub Corp. and Springstone Financial, LLCLendingClub Corp.consumer protection violation2018MA-BKG$2,000,000
Quicken Loans, Inc. and One Reverse Mortgage, LLCRocket Companies Inc.consumer protection violation2018MA-BKG$250,000
MetLife, Inc.MetLifeinvestor protection violation2018MA-SEC$1,000,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2018MD-INS$10,000
Progressive Direct Insurance Co.Progressiveinsurance violation2018MD-INS$70,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2018MD-INS$14,100
Elephant Insurance Co.Admiral Groupinsurance violation2018MD-INS$75,000
Allstate Insurance Co.Allstateinsurance violation2018MD-INS$32,500
Travelers Casualty and Surety Co.Travelersinsurance violation2018MD-INS$67,500
Nationwide General Insurance Co. et al.Nationwideinsurance violation2018MD-INS$33,000
Progressive Casualty Insurance Co.Progressiveinsurance violation2018MD-INS$81,520
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.