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 Parentsort icon Primary Offense Type Year Agency Penalty Amount
Barclays Capital Inc. Barclays investor protection violation 2016 NY-AG $35,000,000
Barclays Capital Inc. Barclays toxic securities abuses 2016 VA-AG $9,000,000
Barclays PLC Barclays foreign exchange market manipulation 2018 DOJ_CRIMINAL $12,896,011
Barclays PLC Barclays Foreign Corrupt Practices Act 2019 SEC $6,308,726
Barclays plc Barclays economic sanction violation 2010 NY-MANDA (*) $149,000,000
Barclays Bank PLC Barclays workplace whistleblower retaliation 2018 NY-DFS $15,000,000
Barclays Bank PLC Barclays foreign exchange market manipulation 2015 NY-DFS $150,000,000
Barclays Bank PLC Barclays foreign exchange market manipulation 2015 NY-DFS $485,000,000
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. BC Capital Group investor protection violation 2016 CFTC $490,246,741
BGC Financial, L.P. BGC Partners investor protection violation 2019 CFTC $3,000,000
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
BGC Financial LP BGC Partners foreign exchange market manipulation 2019 NY-AG $7,500,000
GFI Securities LLC BGC Partners foreign exchange market manipulation 2019 NY-AG $5,000,000
GFI Securities LLC BGC Partners investor protection violation 2019 SEC $4,300,000
BlackRock Advisors LLC BlackRock investor protection violation 2015 SEC $12,000,000
BlackRock Institutional Trust Company NA BlackRock investor protection violation 2012 CFTC $250,000
BlackRock Institutional Trust Company BlackRock investor protection violation 2014 SEC $1,675,350
BlackRock Inc. BlackRock investor protection violation 2017 SEC $340,000
Blackrock Fund Advisors BlackRock investor protection violation 2017 SEC $1,500,000
BNP Paribas S.A. BNP Paribas economic sanction violation 2015 DOJ_CRIMINAL $8,973,600,000
BNP Paribas Securities BNP Paribas investor protection violation 2015 CFTC $140,000
BNP Paribas (Suisse) SA BNP Paribas tax violations 2015 DOJ_TAX $59,783,000
BNP Paribas BNP Paribas False Claims Act and related 2014 DOJ_CIVIL $80,000,000
BNP Paribas Commodity Futures, Ltd. BNP Paribas data submission deficiencies 2008 CFTC $25,000
Bank of the West BNP Paribas employment discrimination 2011 EEOC $48,000
Bank of the West BNP Paribas wage and hour violation 2015 WHD $33,750
BNP Paribas S.A. BNP Paribas foreign exchange market manipulation 2017 FED $246,000,000
BNP Paribas USA Inc. BNP Paribas foreign exchange market manipulation 2018 DOJ_ANTITRUST $90,000,000
BNP Paribas Securities Corp. BNP Paribas interest rate benchmark manipulation 2018 CFTC $90,000,000
First Hawaiian Bank BNP Paribas benefit plan administrator violation 2009 EBSA $2,500,000
BANK OF THE WEST BNP Paribas banking violation 2011 FDIC $135,000
BANK OF THE WEST BNP Paribas banking violation 2010 FDIC $68,200
BNP Paribas S.A. BNP Paribas economic sanction violation 2014 NY-MANDA (*) $2,243,400,000
BNP Paribas S.A. BNP Paribas foreign exchange market manipulation 2017 NY-DFS $350,000,000
BNP Paribas BNP Paribas economic sanction violation 2014 NY-DFS (*) $2,240,000,000
BOK Financial Corporation BOK Financial investor protection violation 2016 SEC $1,667,720
BOK Financial Corporation dba the Bank of Albuquerque BOK Financial employment discrimination 2014 EEOC $230,000
Bok Financial Securities, Inc. BOK Financial investor protection violation 2019 SEC $197,801
BROADRIDGE FINANCIAL SOLUTIONS Broadridge Financial Solutions workplace safety or health violation 2018 OSHA $15,522
BROADRIDGE FINANCIAL SOLUTIONS, INC. Broadridge Financial Solutions workplace safety or health violation 2019 OSHA $8,335
Brown & Brown Brown & Brown employment discrimination 2017 EEOC $100,000
Brown & Brown Insurance of Arizona, Inc. Brown & Brown tax violations 2014 CT-AG $37,650
Brown & Brown, Inc. Brown & Brown consumer protection violation 2006 FL-AG $5,800,000
Pacific Resources Benefits Advisors, LLC Brown & Brown tax violations 2014 CT-AG $5,400
Brown Brothers Harriman & Co. Brown Brothers Harriman investor protection violation 2014 SEC $120,000
BSI SA BSI SA tax violations 2015 DOJ_TAX $211,000,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce investor protection violation 2005 SEC $125,000,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce accounting fraud or deficiencies 2003 SEC $80,000,000
CIBC World Markets Corporation Canadian Imperial Bank of Commerce investor protection violation 2005 SEC $496,598
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce investor protection violation 2005 NY-AG (*) $125,000,000
Cantor Fitzgerald Cantor Fitzgerald investor protection violation 2012 CFTC $700,000
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2011 CFTC $100,000
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2018 SEC $1,250,000
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2019 SEC $647,000
Capital City Bank Capital City Bank Group banking violation 2007 FED $85,045
Capital City Mortgage Corporation Capital City Bank Group consumer protection violation 2005 FTC $750,000
Capital One Bank (U.S.A.), N.A. Capital One Financial consumer protection violation 2012 CFPB $165,000,000
Capital One, National Association Capital One Financial banking violation 2014 OCC $4,000,000
Capital One Bank (USA), National Association Capital One Financial banking violation 2012 OCC $35,000,000
Capital One Financial Corporation Capital One Financial accounting fraud or deficiencies 2013 SEC $3,500,000
Chevy Chase Bank F.S.B. Capital One Financial mortgage abuses 2013 DOJ_RIGHTS $2,850,000
Capital One N.A. Capital One Financial Servicemembers Civil Relief Act 2012 DOJ_RIGHTS $12,000,000
Capital One, National Association Capital One Financial banking violation 2009 OCC $125,000
Capital One Capital One Financial wage and hour violation 2015 private lawsuit-federal $3,000,000
Capital One Capital One Financial wage and hour violation 2012 private lawsuit-federal $3,200,000
Capital One Bank (USA), National Association Capital One Financial anti-money-laundering deficiencies 2018 OCC $100,000,000
Capital One Bank (USA) N.A. Capital One Financial bankruptcy professional violation 2011 DOJ_UTP $2,350,000
Capital One Capital One Financial consumer protection violation 2015 MO-AG $740,000
Capital One Bank Capital One Financial banking violation 2005 WI-AG $80,032
Capmark Finance LLC Capmark Bank False Claims Act and related 2012 DOJ_CIVIL $3,900,000
Capmark Bank Capmark Bank banking violation 2012 FDIC $8,500
CashCall and Western Sky CashCall Inc. consumer protection violation 2016 NC-AG $9,000,000
CashCall Inc. CashCall Inc. consumer protection violation 2014 IA-AG $1,500,000
CashCall Inc. CashCall Inc. consumer protection violation 2015 WV-AG $13,000,000
CashCall Inc., WS Funding CashCall Inc. consumer protection violation 2017 DC-AG $2,962,573
CashCall, Inc. CashCall Inc. consumer protection violation 2016 MN-AG $11,700,000
CashCall, Inc. CashCall Inc. consumer protection violation 2017 VA-AG $15,335,000
CashCall, Inc., WS Funding, LLC, and Delbert Services Corporation CashCall Inc. consumer protection violation 2016 CO-AG $7,384,005
Western Sky Financial LLC, CashCall, Inc., WS Funding, LLC and Delbert Services Corp. CashCall Inc. consumer protection violation 2016 IN-AG $1,000,000
Western Sky Financial, CashCall Inc. and WS Funding CashCall Inc. consumer protection violation 2016 AR-AG $750,000
Western Sky Financial, LLC CashCall Inc. consumer protection violation 2014 NY-AG $1,500,000
Western Sky Financial, LLC and CashCall, Inc. CashCall Inc. consumer protection violation 2015 MI-AG $24,700,000
Western Sky Financial, LLC et al. CashCall Inc. consumer protection violation 2014 CO-AG $565,000
Western Sky Financial, LLC, CashCall, Inc. CashCall Inc. consumer protection violation 2017 GA-AG $42,000,000
Western Sky Financial, LLC, WS Funding, LLC, CashCall, Inc., Delbert Services Corp. CashCall Inc. consumer protection violation 2015 MA-AG $259,115
CATHAY BANK Cathay General Bancorp banking violation 2008 FDIC $55,500
CATHAY BANK Cathay General Bancorp banking violation 2011 FDIC $17,710
Chicago Board Options Exchange CBOE Holdings investor protection violation 2013 SEC $6,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc. Charles Schwab Corp. investor protection violation 2011 SEC $118,000,000
Charles Schwab & Co. Charles Schwab Corp. investor protection violation 2014 SEC $61,800
Charles Schwab & Co., Inc. Charles Schwab Corp. investor protection violation 2004 SEC $350,000
Charles Schwab Bank Charles Schwab Corp. discriminatory practices (non-employment) 2011 HUD $30,000
Charles Schwab Charles Schwab Corp. wage and hour violation 2014 private lawsuit-federal $3,800,000
Charles Schwab & Co., Inc. Charles Schwab Corp. investor protection violation 2018 SEC $2,800,000
Combined Insurance Company of America Chubb Limited wage and hour violation 2010 private lawsuit-federal $6,000,000
Combined Insurance Company of America Chubb Limited employment discrimination 2005 private lawsuit-federal $8,500,000
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
Chubb Chubb Limited price-fixing or anti-competitive practices 2006 MULTI-AG $17,000,000
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