Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$317,365,347,106
Number of Records: 
2,876
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$82,630,515,262182
JPMorgan Chase$34,512,629,073139
Citigroup$24,998,997,07298
Wells Fargo$21,102,241,886148
Deutsche Bank$17,970,400,77851
UBS$16,756,803,33165
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98738
Credit Suisse$10,394,957,62629
BNP Paribas$9,892,332,95016


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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Company Parent Primary Offense Type Year Agencysort icon Penalty Amount
BGC Financial, LP BGC Partners investor protection violation 2019 CFTC $15,000,000
GFI Securities, LLC BGC Partners investor protection violation 2019 CFTC $10,000,000
Morgan Stanley Capital Group Inc. Morgan Stanley investor protection violation 2019 CFTC $1,500,000
PNC Bank, National Association PNC Financial Services investor protection violation 2019 CFTC $300,000
Bank of New York Mellon Bank of New York Mellon investor protection violation 2019 CFTC $750,000
NatWest Markets Plc Royal Bank of Scotland investor protection violation 2019 CFTC $850,000
Northern Trust Company Northern Trust investor protection violation 2019 CFTC $1,000,000
Societe Generale International Limited Societe Generale investor protection violation 2019 CFTC $2,500,000
HSBC Bank USA, N.A. HSBC investor protection violation 2019 CFTC $650,000
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2019 CFTC $5,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2019 CFTC $300,000
Goldman Sachs & Co. LLC Goldman Sachs investor protection violation 2019 CFTC $1,000,000
Torchmark Corporation Globe Life Inc. Medicare Parts C and D Enforcement Action 2014 CMS $40,000
Torchmark Corporation Globe Life Inc. Medicare Parts C and D Enforcement Action 2013 CMS $150,000
ACE Cash Express, Inc. ACE Cash Express consumer protection violation 2002 CO-AG $1,300,000
CashCall, Inc., WS Funding, LLC, and Delbert Services Corporation CashCall Inc. consumer protection violation 2016 CO-AG $7,384,005
Countrywide Financial Corp. Bank of America mortgage abuses 2009 CO-AG $6,000,000
Lender Processing Services, Inc. Fidelity National Financial mortgage abuses 2012 CO-AG $1,800,000
Western Sky Financial, LLC et al. CashCall Inc. consumer protection violation 2014 CO-AG $565,000
American Express Centurion Bank American Express tax violations 2012 CT-AG $14,970
Bank of America Bank of America privacy violation 2009 CT-AG $350,000
Brown & Brown Insurance of Arizona, Inc. Brown & Brown tax violations 2014 CT-AG $37,650
Citibank N.A. Citigroup privacy violation 2013 CT-AG $55,000
Hartford Financial Services Group, Inc. Hartford Financial Services price-fixing or anti-competitive practices 2009 CT-AG $1,300,000
Jackson National Life Insurance Co Prudential (UK) investor protection violation 2008 CT-AG $484,000
John Hancock Assignment Co. Manulife Financial tax violations 2014 CT-AG $38,910
Liberty Mutual Insurance Co. Liberty Mutual Insurance kickbacks and bribery 2010 CT-AG $2,000,000
Marsh & McLennan Companies, Inc. Marsh & McLennan kickbacks and bribery 2009 CT-AG $2,400,000
Metropolitan Life Insurance Co. MetLife privacy violation 2012 CT-AG $10,000
MONY Life Insurance Co. AXA consumer protection violation 2000 CT-AG $250,000
Mutual of Omaha Insurance Co. Mutual of Omaha kickbacks and bribery 2008 CT-AG $1,700,000
Pacific Resources Benefits Advisors, LLC Brown & Brown tax violations 2014 CT-AG $5,400
Principal Financial Group Principal Financial kickbacks and bribery 2007 CT-AG $5,000,000
Providian Financial Corp. JPMorgan Chase consumer protection violation 2000 CT-AG $1,600,000
RBS Securities, Inc. Royal Bank of Scotland toxic securities abuses 2016 CT-AG $120,000,000
Travelers Companies, Inc. Travelers consumer protection violation 2018 CT-AG $5,000,000
United American Insurance Co. Globe Life Inc. consumer protection violation 2003 CT-AG $45,000
United States Fidelity & Guaranty Travelers False Claims Act and related 2007 CT-AG $17,500,000
Wells Fargo Bank Wells Fargo consumer protection violation 2011 CT-AG $741,465
Bank of America Bank of America fraud 2016 DC-AG $13,000,000
Bank of America Bank of America fraud 2010 DC-AG $13,502,852
CashCall Inc., WS Funding CashCall Inc. consumer protection violation 2017 DC-AG $2,962,573
TitleMax of Virginia Inc. TMX Finance consumer protection violation 2014 DC-AG $167,257
Citigroup Global Markets Inc. Citigroup investor protection violation 2009 DE-AG $309,000
J.P. Morgan Securities JPMorgan Chase investor protection violation 2014 DE-AG $51,400
Lender Processing Services, Inc. Fidelity National Financial mortgage abuses 2012 DE-AG $250,000
Merrill Lynch Bank of America investor protection violation 2009 DE-AG $459,000
Merrill Lynch Bank of America investor protection violation 2002 DE-AG $500,000
Morgan Stanley DW Morgan Stanley investor protection violation 2005 DE-AG $700,000
Royal Bank of Canada Royal Bank of Canada investor protection violation 2009 DE-AG $22,156
Santander Consumer USA Holdings, Inc. Banco Santander consumer protection violation 2017 DE-AG $3,875,000
UBS Financial Services, Inc. UBS investor protection violation 2013 DE-AG $70,077
Wachovia Securities, LLC Wells Fargo investor protection violation 2009 DE-AG $309,000
RBS PLC and RBS Securities Japan Royal Bank of Scotland interest rate benchmark manipulation 2014 DOJ_ANTITRUST $150,000,000
UBS Securities Japan Co. Ltd. UBS interest rate benchmark manipulation 2012 DOJ_ANTITRUST $500,000,000
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
Manulife Financial Corporation Manulife Financial investor protection violation 2004 DOJ_ANTITRUST $1,000,000
DB Group Services (UK) Limited Deutsche Bank interest rate benchmark manipulation 2017 DOJ_ANTITRUST $150,000,000
BNP Paribas USA Inc. BNP Paribas foreign exchange market manipulation 2018 DOJ_ANTITRUST $90,000,000
Banca IMI Securities Corp. Intesa Sanpaolo price-fixing or anti-competitive practices 2019 DOJ_ANTITRUST $2,000,000
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
M&T Bank Corp. M&T Bank False Claims Act and related 2016 DOJ_CIVIL $64,000,000
Freedom Mortgage Corporation Freedom Mortgage False Claims Act and related 2016 DOJ_CIVIL $113,000,000
Goldman Sachs Goldman Sachs toxic securities abuses 2016 DOJ_CIVIL $5,060,000,000
Wells Fargo Bank, National Association Wells Fargo False Claims Act and related 2016 DOJ_CIVIL $1,200,000,000
Morgan Stanley Morgan Stanley toxic securities abuses 2016 DOJ_CIVIL $2,600,000,000
HSBC Bank USA NA HSBC mortgage abuses 2016 DOJ_CIVIL $470,000,000
First Tennessee Bank N.A. First Horizon National False Claims Act and related 2015 DOJ_CIVIL $212,500,000
MetLife Home Loans LLC MetLife False Claims Act and related 2015 DOJ_CIVIL $123,500,000
Citigroup Inc. Citigroup toxic securities abuses 2014 DOJ_CIVIL $7,000,000,000
U.S. Bank U.S. Bancorp False Claims Act and related 2014 DOJ_CIVIL $200,000,000
Bank of America Corporation Bank of America mortgage abuses 2014 DOJ_CIVIL $16,650,000,000
JPMorgan Chase JPMorgan Chase False Claims Act and related 2014 DOJ_CIVIL $614,000,000
JPMorgan Chase JPMorgan Chase toxic securities abuses 2013 DOJ_CIVIL $13,000,000,000
PNC Bank N.A PNC Financial Services False Claims Act and related 2013 DOJ_CIVIL $7,100,000
Capmark Finance LLC Capmark Bank False Claims Act and related 2012 DOJ_CIVIL $3,900,000
Bank of America Corporation Bank of America mortgage abuses 2012 DOJ_CIVIL $10,956,600,000
JPMorgan Chase & Co. JPMorgan Chase mortgage abuses 2012 DOJ_CIVIL $5,333,600,000
Wells Fargo & Company Wells Fargo mortgage abuses 2012 DOJ_CIVIL $5,342,200,000
Citigroup Inc. Citigroup mortgage abuses 2012 DOJ_CIVIL $2,202,000,000
Ally Financial Inc. (formerly GMAC) Ally Financial mortgage abuses 2012 DOJ_CIVIL $309,600,000
BAC Home Loans Servicing LP fka Countrywide Home Loans Servicing LP Bank of America mortgage abuses 2011 DOJ_CIVIL $20,000,000
Saxon Mortgage Services Inc. Morgan Stanley mortgage abuses 2011 DOJ_CIVIL $2,350,000
SunTrust Mortgage Inc. Truist Financial mortgage abuses 2014 DOJ_CIVIL $320,000,000
Franklin American Mortgage Company Citizens Financial Group mortgage abuses 2015 DOJ_CIVIL $70,000,000
Walter Investment Management Corp. Ditech Holding Corporation False Claims Act and related 2015 DOJ_CIVIL $29,630,000
Fireman's Fund Insurance Company Allianz False Claims Act and related 2015 DOJ_CIVIL $44,000,000
BNP Paribas BNP Paribas False Claims Act and related 2014 DOJ_CIVIL $80,000,000
SunTrust Mortgage Inc. Truist Financial False Claims Act and related 2014 DOJ_CIVIL $418,000,000
Louis Dreyfus Energy Services Louis Dreyfus False Claims Act and related 2012 DOJ_CIVIL $4,084,000
Nelnet Inc. Nelnet False Claims Act and related 2010 DOJ_CIVIL $47,000,000
National City Mortgage Inc. PNC Financial Services False Claims Act and related 2008 DOJ_CIVIL $4,600,000
Mellon Bank, N.A. Bank of New York Mellon False Claims Act and related 2007 DOJ_CIVIL $16,500,000
Crawford and Company Crawford & Co. False Claims Act and related 2006 DOJ_CIVIL $1,363,204
General American Life Insurance Company, Inc. MetLife False Claims Act and related 2002 DOJ_CIVIL $76,000,000
Regions Bank Regions Financial False Claims Act and related 2016 DOJ_CIVIL $52,400,000
Branch Banking & Trust Company (BB&T) Truist Financial False Claims Act and related 2016 DOJ_CIVIL $83,000,000
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