Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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 Typesort icon Year Agency Penalty Amount
Wells Fargo Bank Wells Fargo mortgage abuses 2015 MA-AG $675,000
Wells Fargo Bank Wells Fargo mortgage abuses 2015 MD-AG $13,800,000
Countrywide Financial Corp. Bank of America mortgage abuses 2008 HI-DCCA $84,548,000
Household Finance Corp. of California and Beneficial California, Inc. HSBC mortgage abuses 2002 CA-DFPI $8,900,000
SunTrust Mortgage, Inc. Truist Financial mortgage abuses 2016 CA-DFPI $50,000
Ocwen Loan Servicing, LLC Ocwen Financial mortgage abuses 2017 CA-DFPI $225,000,000
PHH Mortgage Corp. Ocwen Financial mortgage abuses 2012 IL-BKG $150,000
Freedom Mortgage Corp. Freedom Mortgage mortgage abuses 2016 MA-BKG $2,000,000
Prospect Mortgage, LLC Homebridge Financial Services mortgage abuses 2013 NY-DFS $3,427,155
PHH Mortgage Corporation Ocwen Financial mortgage abuses 2016 NY-DFS $28,000,000
James B. Nutter & Company James B. Nutter & Company mortgage abuses 2012 MULTI-FIN $492,050
Prospect Mortgage LLC Homebridge Financial Services mortgage abuses 2015 MULTI-FIN $7,035,300
Seterus Inc. Mr. Cooper Group mortgage abuses 2019 MULTI-FIN $350,000
Taylor, Bean & Whitaker Mortgage Corp. Taylor, Bean & Whitaker mortgage abuses 2009 MULTI-FIN $9,000,000
Nationstar Mortgage, LLC Mr. Cooper Group mortgage abuses 2020 DOJ_UTP $40,000,000
U.S. Bank National Association U.S. Bancorp mortgage abuses 2020 DOJ_UTP $29,000,000
PNC Bank, NA PNC Financial Services mortgage abuses 2020 DOJ_UTP $5,000,000
Ocwen Financial Corporation Ocwen Financial mortgage abuses 2020 FL-AG $11,600,000
WOORI USA CORP Woori Bank motor vehicle safety violation 2010 FMCSA $6,550
Gas Incorporated Macquarie motor vehicle safety violation 2012 FMCSA $6,140
THE GAS COMPANY LLC Macquarie motor vehicle safety violation 2009 FMCSA $28,440
THE GAS COMPANY LLC Macquarie motor vehicle safety violation 2009 FMCSA $28,440
The Gas Company Llc Macquarie motor vehicle safety violation 2017 FMCSA $12,650
Cash America International Inc. FirstCash payday lending violation 2013 CFPB $19,000,000
CashCall, Inc. CashCall Inc. payday lending violation 2017 AZ-DFS $250,000
ACE Cash Express, Inc. ACE Cash Express payday lending violation 2010 CA-DFPI $118,400
Allied Cash Advance California, LLC CNG Financial payday lending violation 2011 CA-DFPI $103,709
CashCall, Inc. CashCall Inc. payday lending violation 2015 CA-DFPI $1,000,000
ACE Cash Express, Inc. ACE Cash Express payday lending violation 2015 CA-DFPI $22,500
Cash America Advance, Inc. FirstCash payday lending violation 2019 CA-DFPI $10,000
CashCall, Inc. and Western Sky Financial L.L.C. CashCall Inc. payday lending violation 2014 CT-BKG $400,000
CashCall, Inc., Western Sky Financial, LLC, WS Funding, LLC CashCall Inc. payday lending violation 2016 FL-OFR $500,000
CashCall, Inc. and Western Sky Financial, LLC et al. CashCall Inc. payday lending violation 2014 MD-FIN $100,018
Wachovia Bank N.A. Wells Fargo price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $148,000,000
Morgan Stanley Morgan Stanley price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $4,800,000
JPMorgan Chase & Co. JPMorgan Chase price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $228,000,000
UBS AG UBS price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $160,000,000
Bank of America Bank of America price-fixing or anti-competitive practices 2010 DOJ_ANTITRUST $137,300,000
Banc of America Securities LLC Bank of America price-fixing or anti-competitive practices 2010 SEC $36,096,442
Banca IMI Securities Corp. Intesa Sanpaolo price-fixing or anti-competitive practices 2019 DOJ_ANTITRUST $2,000,000
ACE Limited Chubb Limited price-fixing or anti-competitive practices 2007 PA-AG $9,000,000
ACE Group Holdings, Inc. Chubb Limited price-fixing or anti-competitive practices 2007 MULTI-AG $4,500,000
ACE, Ltd Chubb Limited price-fixing or anti-competitive practices 2006 MULTI-AG $80,000,000
American International Group American International Group price-fixing or anti-competitive practices 2006 NY-AG (*) $1,619,000,000
American International Group American International Group price-fixing or anti-competitive practices 2010 OH-AG $9,000,000
American International Group, Inc. American International Group price-fixing or anti-competitive practices 2008 MULTI-AG $12,500,000
Aon Corporation Aon price-fixing or anti-competitive practices 2005 MULTI-AG $190,000,000
Bank of America Bank of America price-fixing or anti-competitive practices 2010 MULTI-AG (*) $67,000,000
Chubb Chubb Limited price-fixing or anti-competitive practices 2006 MULTI-AG $17,000,000
E*Trade Morgan Stanley price-fixing or anti-competitive practices 2012 MULTI-AG $100,000
Hartford Financial Services Group, Inc. Hartford Financial Services price-fixing or anti-competitive practices 2009 CT-AG $1,300,000
Hartford Financial Services Group, Inc. Hartford Financial Services price-fixing or anti-competitive practices 2007 MULTI-AG $115,000,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China price-fixing or anti-competitive practices 2019 DOJ_ANTITRUST $3,000,000
JPMorgan Chase JPMorgan Chase price-fixing or anti-competitive practices 2011 MULTI-AG (*) $75,000,000
JPMorgan Chase and Co. JPMorgan Chase price-fixing or anti-competitive practices 2014 WV-AG $400,000
Marsh & McLennan Companies, Inc. Marsh & McLennan price-fixing or anti-competitive practices 2005 MULTI-AG $850,000,000
Marsh and McLennan Marsh & McLennan price-fixing or anti-competitive practices 2009 MULTI-AG $7,000,000
Mastercard International Inc. MasterCard price-fixing or anti-competitive practices 2008 WV-AG $6,400,000
Merrill Lynch Commodities Inc. Bank of America price-fixing or anti-competitive practices 2019 DOJ_CRIMINAL $25,000,000
Natixis Funding Corp. Natixis price-fixing or anti-competitive practices 2016 MULTI-AG $29,950,000
Natixis Funding Corp. Natixis price-fixing or anti-competitive practices 2016 WV-AG $325,000
Royal Bank of Canada Royal Bank of Canada price-fixing or anti-competitive practices 2013 WV-AG $175,000
Societe Generale Societe Generale price-fixing or anti-competitive practices 2016 MULTI-AG $26,750,000
St. Paul Travelers Travelers price-fixing or anti-competitive practices 2006 MULTI-AG $77,000,000
TravelersCompanies, Inc. Travelers price-fixing or anti-competitive practices 2007 MULTI-AG $6,000,000
UBS AG UBS price-fixing or anti-competitive practices 2011 MULTI-AG (*) $90,800,000
UBS AG UBS price-fixing or anti-competitive practices 2016 WV-AG $325,000
Visa USA Inc. Visa price-fixing or anti-competitive practices 2008 WV-AG $6,400,000
Wachovia Bank N.A. Wells Fargo price-fixing or anti-competitive practices 2011 MULTI-AG (*) $58,750,000
Willis Group Holdings Ltd. Willis Towers Watson price-fixing or anti-competitive practices 2005 NY-AG $50,000,000
Zurich American Insurance Company Zurich Insurance price-fixing or anti-competitive practices 2006 MULTI-AG $171,700,000
Zurich American Insurance Company Zurich Insurance price-fixing or anti-competitive practices 2006 OH-AG $7,000,000
Bank of Nova Scotia Scotiabank price-fixing or anti-competitive practices 2020 DOJ_CRIMINAL $60,400,000
Allstate Insurance Co. Allstate privacy violation 2003 PA-AG $10,000
Bank of America Bank of America privacy violation 2009 CT-AG $350,000
Bank of America Corp. Bank of America privacy violation 2010 MO-AG $195,000
Bankers Life and Casualty CNO Financial privacy violation 2008 MO-AG $25,000
Bankers Life and Casualty Co. CNO Financial privacy violation 2003 KS-AG $15,000
Bankers Life and Casualty Company CNO Financial privacy violation 2002 KY-AG $5,000
Citibank N.A. Citigroup privacy violation 2013 CT-AG $55,000
Discover Financial Services, Inc./Millenium Teleservices, Inc. Discover Financial Services privacy violation 2002 KY-AG $5,000
EZCORP, Inc. EZCORP Inc. privacy violation 2008 TX-AG $600,000
FleetBoston Financial Corporation Bank of America privacy violation 2001 NY-AG $100,000
H&R Block Financial Advisors H&R Block privacy violation 2001 MO-AG $15,000
Horizon Healthcare Services, Inc. Horizon Healthcare Services privacy violation 2017 NJ-AG $1,100,000
Metropolitan Life Insurance Co. MetLife privacy violation 2012 CT-AG $10,000
Nationwide Mutual Insurance Company Nationwide privacy violation 2017 MULTI-AG $5,500,000
PayPal Inc. PayPal Holdings privacy violation 2016 TX-AG $175,000
PNC Bank PNC Financial Services privacy violation 2002 KY-AG $5,000
Premera Blue Cross Premera Blue Cross privacy violation 2019 MULTI-AG $10,000,000
TD Bank Toronto-Dominion Bank privacy violation 2014 MA-AG $625,000
TD Bank, N.A. Toronto-Dominion Bank privacy violation 2014 MULTI-AG $850,000
US Bank U.S. Bancorp privacy violation 2000 MULTI-AG $2,000,000
Wells Fargo Bank Wells Fargo privacy violation 2016 CA-AG $8,500,000
Merrill Lynch Bank of America privacy violation 2014 NH-BSR $400,000
Ocwen Loan Servicing LLC Ocwen Financial privacy violation 2015 VT-FIN $155,000
Premera Blue Cross Premera Blue Cross privacy violation 2020 HHSOCR $6,850,000
AmeriSave Mortgage Corporation AmeriSave Mortgage privacy violation 2020 private lawsuit-federal $6,250,000
Premera Blue Cross Premera Blue Cross privacy violation 2020 private lawsuit-federal $74,000,000
U.S. Bank U.S. Bancorp privacy violation 2019 private lawsuit-federal $2,670,336
Wells Fargo Bank, N.A. Wells Fargo privacy violation 2017 private lawsuit-federal $30,446,022
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)