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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 Type Yearsort icon Agency Penalty Amount
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $137,500
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $34,623
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $27,500
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $5,500
Bank One JPMorgan Chase economic sanction violation 2004 OFAC $5,500
Bank One JPMorgan Chase economic sanction violation 2004 OFAC $6,682
Barclays Bank PLC Barclays economic sanction violation 2004 OFAC $14,970
California United Bank PacWest Bancorp economic sanction violation 2004 OFAC $7,250
Citibank Citigroup economic sanction violation 2004 OFAC $5,500
Citicorp Vendor Finance Ltd Citigroup economic sanction violation 2004 OFAC $7,379
Commerzbank AG Commerzbank economic sanction violation 2004 OFAC $5,500
Deutsche Bank Deutsche Bank economic sanction violation 2004 OFAC $5,500
First Union Bank Wells Fargo economic sanction violation 2004 OFAC $18,740
Hanmi Bank Hanmi Financial Corp. economic sanction violation 2004 OFAC $7,000
HSBC Bank USA HSBC economic sanction violation 2004 OFAC $5,500
HSBC Bank USA HSBC economic sanction violation 2004 OFAC $8,375
JP Morgan Chase JPMorgan Chase economic sanction violation 2004 OFAC $26,980
JP Morgan Chase & Co. JPMorgan Chase economic sanction violation 2004 OFAC $17,303
JP Morgan Chase & Co. JPMorgan Chase economic sanction violation 2004 OFAC $73,281
JP Morgan Chase Bank JPMorgan Chase economic sanction violation 2004 OFAC $9,748
JP Morgan Chase Bank JPMorgan Chase economic sanction violation 2004 OFAC $18,094
Mellon Bank N.A. Bank of New York Mellon economic sanction violation 2004 OFAC $10,400
Merrill Lynch, Pierce, Fenner & Smith, Inc Bank of America economic sanction violation 2004 OFAC $22,904
Ruesch International, Inc. Western Union economic sanction violation 2004 OFAC $7,811
Santander Bank & Trust (Bahamas) Ltd Banco Santander economic sanction violation 2004 OFAC $20,000
Wachovia Bank Wells Fargo economic sanction violation 2004 OFAC $11,000
Old National Bank Old National Bancorp banking violation 2004 OCC $12,500
Old National Bank Old National Bancorp banking violation 2004 OCC $7,500
Riggs Bank National Association PNC Financial Services anti-money-laundering deficiencies 2004 OCC $25,000,000
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2004 SEC $75,000,000
Knight Securities, L.P. Virtu Financial investor protection violation 2004 SEC $66,500,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. Franklin Resources investor protection violation 2004 SEC $20,000,000
American International Group, Inc. American International Group investor protection violation 2004 SEC $46,000,000
Wachovia Corporation Wells Fargo investor protection violation 2004 SEC $37,000,000
AIM Advisors, Inc. and AIM Distributors, Inc. Invesco investor protection violation 2004 SEC $50,000,000
Invesco Funds Group, Inc. Invesco investor protection violation 2004 SEC $325,000,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank investor protection violation 2004 SEC $2,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz investor protection violation 2004 SEC $11,600,000
Charles Schwab & Co., Inc. Charles Schwab Corp. investor protection violation 2004 SEC $350,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz investor protection violation 2004 SEC $50,000,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2004 SEC $87,500,000
Thomas Weisel Partners LLC Stifel Financial investor protection violation 2004 SEC $12,500,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. investor protection violation 2004 SEC $125,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2004 SEC $875,000
Morgan Keegan & Co., Inc. Raymond James Financial investor protection violation 2004 SEC $875,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc. Prudential Financial investor protection violation 2004 SEC $375,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation Cowen Inc. investor protection violation 2004 SEC $125,000
Janus Capital Management LLC Janus Henderson investor protection violation 2004 SEC $100,000,000
Conseco, Inc. CNO Financial investor protection violation 2004 SEC $15,000,000
Fidelity Brokerage Services, LLC Fidelity Investments investor protection violation 2004 SEC $1,000,000
Franklin Advisers, Inc. Franklin Resources investor protection violation 2004 SEC $50,000,000
Banc One Investment Advisors Corporation JPMorgan Chase investor protection violation 2004 SEC $50,000,000
Wilmington Trust Company M&T Bank investor protection violation 2004 SEC $125,000
Strong Capital Management, Inc. Wells Fargo investor protection violation 2004 SEC $80,000,000
Putnam Investment Management LLC Power Financial Corporation investor protection violation 2004 SEC $55,000,000
Massachusetts Financial Services Company Sun Life Financial investor protection violation 2004 SEC $50,000,000
Spear, Leeds & Kellogg Specialists LLC Goldman Sachs investor protection violation 2004 SEC $45,272,478
FleetBoston Financial Corporation Bank of America investor protection violation 2004 SEC $140,000,000
Banc of America Securities LLC Bank of America investor protection violation 2004 SEC $10,000,000
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2004 SEC $3,706,693
Legg Mason Wood Walker, Inc. Franklin Resources investor protection violation 2004 SEC $2,315,467
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2004 SEC $2,595,129
UBS Financial Services Inc. UBS investor protection violation 2004 SEC $4,621,768
Wachovia Securities, LLC Wells Fargo investor protection violation 2004 SEC $4,844,465
Massachusetts Financial Services Co. Sun Life Financial investor protection violation 2004 SEC $225,000,000
AmSouth Regions Financial anti-money-laundering deficiencies 2004 FINCEN $10,000,000
Morgan Stanley Morgan Stanley employment discrimination 2004 EEOC $54,000,000
Doral Mortgage Corp. Doral Financial wage and hour violation 2004 WHD $21,680
National City Mortgage, Co. PNC Financial Services wage and hour violation 2004 WHD $6,150
American Express Travel Related Services Comp American Express Family and Medical Leave Act 2004 WHD $26,722
First Horizon National Corporation First Horizon National wage and hour violation 2004 WHD $9,344
Ace America's Cash Express, Inc. ACE Cash Express wage and hour violation 2004 WHD $26,295
Towers Perrin Willis Towers Watson wage and hour violation 2004 WHD $376,093
Wells Fargo Bank, National Association Wells Fargo wage and hour violation 2004 WHD $228,209
Bank of America Corporation Bank of America wage and hour violation 2004 WHD $5,972
AON Consulting Corporation Inc Aon wage and hour violation 2004 WHD $47,131
JPMorgan Chase Bank JPMorgan Chase wage and hour violation 2004 WHD $19,373
Santander Mortage Corporation Banco Santander wage and hour violation 2004 WHD $62,895
Countrywide Financial Corporation Bank of America wage and hour violation 2004 WHD $54,453
Sentry Insurance a Mutual Company Sentry Insurance wage and hour violation 2004 WHD $46,524
Fidelity National Financial, Inc Fidelity National Financial wage and hour violation 2004 WHD $7,945
The Home Loan Center, LLC LendingTree wage and hour violation 2004 WHD $13,903
Allied Home Mortgage Americus Mortgage wage and hour violation 2004 WHD $14,037
Banco Popular North America, Inc. Popular Inc. wage and hour violation 2004 WHD $17,363
Wachovia Bank Wells Fargo wage and hour violation 2004 WHD $5,798,744
AmSouth Bancorporation Regions Financial fraud 2004 USAO $40,000,000
Ace America's Cash Express ACE Cash Express wage and hour violation 2004 CA-LCO $75,000
Progressive Progressive wage and hour violation 2004 private lawsuit-federal $5,400,000
Donaldson, Lufkin & Jenrette Securities Corp. Credit Suisse investor protection violation 2004 SEC $1,000,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2004 SEC $2,000,000
Household International HSBC benefit plan administrator violation 2004 private lawsuit-federal $46,500,000
AIM Advisors Invesco investor protection violation 2004 MULTI-AG (*) $125,000,000
Allianz Dresdner Asset Management of America LP Allianz investor protection violation 2004 NJ-AG $18,000,000
Banc of America Capital Management LLC et al. Bank of America investor protection violation 2004 NY-AG (*) $375,000,000
Banc One Investment Advisors Corporation JPMorgan Chase investor protection violation 2004 NY-AG (*) $90,000,000
CIT Technology Financing Services, Inc. CIT consumer protection violation 2004 NY-AG $4,200,000
Conseco, Inc. CNO Financial investor protection violation 2004 NY-AG (*) $15,000,000
DeLage Landen Financial Services Rabobank consumer protection violation 2004 NY-AG $405,000
FleetBoston Financial Corp. Bank of America investor protection violation 2004 NY-AG (*) $300,000,000
Franklin/Templeton Distributors, Inc. Franklin Resources investor protection violation 2004 CA-AG $18,000,000
Invesco Funds Group Invesco investor protection violation 2004 MULTI-AG (*) $325,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)