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 Yearsort icon Agency Penalty Amount
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2006 WHD $14,479
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2006 WHD $1,800,282
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2006 WHD $30,928
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America wage and hour violation 2006 WHD $7,060
Atlantic Credit and Finance, Inc. Encore Capital Group wage and hour violation 2006 WHD $9,422
Brothers Property Corporation American Financial Group wage and hour violation 2006 WHD $29,273
PNC Bank PNC Financial Services labor relations violation 2006 NLRB $40,000
TD Banknorth Toronto-Dominion Bank labor relations violation 2006 NLRB $5,000
J.P. Morgan Chase & Co. and Forum Temporary Services JPMorgan Chase labor relations violation 2006 NLRB $60,760
Mercury Air Centers, Inc. Macquarie labor relations violation 2006 NLRB $40,000
International Matex Tank Terminals Macquarie railroad safety violation 2006 FRA $5,000
Citigroup Citigroup wage and hour violation 2006 private lawsuit-federal $3,550,000
Morgan Stanley Morgan Stanley wage and hour violation 2006 private lawsuit-federal $42,500,000
Bank of America Bank of America wage and hour violation 2006 private lawsuit-federal $9,000,000
Merrill Lynch Bank of America wage and hour violation 2006 private lawsuit-federal $37,000,000
Deutsche Bank Securities, Inc. Deutsche Bank investor protection violation 2006 SEC $442,954
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. Deutsche Bank investor protection violation 2006 SEC $17,200,000
Strong Capital Management, Inc. Wells Fargo investor protection violation 2006 SEC $2,185,927
Deutsche Investment Management Americas, Inc. et al. Deutsche Bank investor protection violation 2006 SEC $19,329,729
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2006 SEC $50,000,000
Metropolitan Life Insurance Company MetLife investor protection violation 2006 SEC $250,000
Morgan Keegan & Co., Inc. Raymond James Financial investor protection violation 2006 SEC $558,806
Cincinnati Insurance Company Cincinnati Financial employment discrimination 2006 private lawsuit-federal $537,500
New York Life Insurance New York Life Insurance employment discrimination 2006 private lawsuit-federal $6,000,000
LOUIS DREYFUS CITRUS, INC. Louis Dreyfus environmental violation 2006 EPA $7,200
Northern Trust Northern Trust benefit plan administrator violation 2006 private lawsuit-federal $37,500,000
UBS Global Asset Management UBS benefit plan administrator violation 2006 private lawsuit-federal $5,493,000
Nationwide Mutual Insurance Company Nationwide Fair Credit Reporting Act violation 2006 private lawsuit-federal $19,250,000
ACE, Ltd Chubb Limited price-fixing or anti-competitive practices 2006 MULTI-AG $80,000,000
American Bankers Insurance Co. Assurant consumer protection violation 2006 MA-AG $20,000
American International Group American International Group price-fixing or anti-competitive practices 2006 NY-AG (*) $1,619,000,000
American International Group, Inc. American International Group tax violations 2006 MI-AG $5,279,484
Ameriquest Mortgage Citigroup consumer protection violation 2006 MULTI-AG $325,000,000
Bank of America Bank of America discriminatory practices (non-employment) 2006 MA-AG $50,000
BB&T Leasing Corporation Truist Financial consumer protection violation 2006 MULTI-AG $6,000,000
Brown & Brown, Inc. Brown & Brown consumer protection violation 2006 FL-AG $5,800,000
Chase Bank JPMorgan Chase consumer protection violation 2006 MULTI-AG $3,850,000
Chubb Chubb Limited price-fixing or anti-competitive practices 2006 MULTI-AG $17,000,000
Countrywide Home Loans, Inc., Bank of America consumer protection violation 2006 NY-AG $3,200,000
Deutsche Bank AG Deutsche Bank investor protection violation 2006 NY-AG (*) $208,000,000
ING Voya Financial investor protection violation 2006 MULTI-AG $33,000,000
Metropolitan Life Insurance Company MetLife consumer protection violation 2006 NY-AG $19,000,000
National City Commercial Capital Corporation PNC Financial Services consumer protection violation 2006 NY-AG $817,700
PayPal, Inc. PayPal Holdings consumer protection violation 2006 MULTI-AG $1,700,000
Prudential Equity Group Prudential Financial investor protection violation 2006 MULTI-AG (*) $270,000,000
Prudential Equity Group Prudential Financial investor protection violation 2006 NY-AG (*) $270,000,000
St. Paul Travelers Travelers price-fixing or anti-competitive practices 2006 MULTI-AG $77,000,000
The Hartford Financial Services Group Hartford Financial Services investor protection violation 2006 MULTI-AG $20,000,000
UBS Financial Services Inc. UBS investor protection violation 2006 NJ-AG $24,750,000
UnumProvident Corporation Unum consumer protection violation 2006 NY-AG $17,400,000
Wachovia Capital Markets LLC Wells Fargo investor protection violation 2006 MULTI-AG $25,000,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2006 NY-AG (*) $75,000,000
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
Mellon Bank N.A. Bank of New York Mellon False Claims Act and related 2006 USAO $18,130,405
Bank of America Corp. Bank of America anti-money-laundering deficiencies 2006 NY-MANDA $7,500,000
Israel Discount Bank of New York Israel Discount Bank anti-money-laundering deficiencies 2006 NY-DFS (*) $6,000,000
LOUIS DREYFUS CITRUS INC. Louis Dreyfus workplace safety or health violation 2006 OSHA $9,800
International Matex Tank Terminals Macquarie environmental violation 2006 EPA $157,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,280
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $6,600
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,040
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,040
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $6,600
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $20,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,300
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2006 NY-AG $1,040,964
MF Global Inc. MF Global investor protection violation 2007 CFTC $2,000,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC Bank of America data submission deficiencies 2007 CFTC $500,000
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2007 CFTC $175,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2007 FAA $7,000
DORAL BANK Doral Financial banking violation 2007 FDIC $125,000
DORAL BANK Doral Financial banking violation 2007 FDIC $12,000
Cleco Power, LLC Macquarie energy market violation 2007 FERC $2,000,000
Capital City Bank Capital City Bank Group banking violation 2007 FED $85,045
Hanmi Bank Hanmi Financial Corp. banking violation 2007 FED $8,835
East West Bank East West Bancorp banking violation 2007 FED $16,245
Mellon Bank, N.A. Bank of New York Mellon False Claims Act and related 2007 DOJ_CIVIL $16,500,000
Compass Bank Banco Bilbao Vizcaya Argentaria discriminatory practices (non-employment) 2007 DOJ_RIGHTS $1,750,000
American Express Bank International American Express anti-money-laundering deficiencies 2007 DOJ_CRIMINAL $55,000,000
BB&T Truist Financial economic sanction violation 2007 OFAC $10,000
American Express Travel Related Services Co., Inc. American Express economic sanction violation 2007 OFAC $16,625
National Australia Bank Ltd. National Australia Bank economic sanction violation 2007 OFAC $100,000
Wachovia Bank Wells Fargo economic sanction violation 2007 OFAC $11,000
Keybank National Association KeyCorp banking violation 2007 OCC $27,750
First Tennessee Bank National Association First Horizon National banking violation 2007 OCC $125,000
Lasalle Bank MidWest National Association Bank of America banking violation 2007 OCC $125,000
Lasalle Bank National Association Bank of America banking violation 2007 OCC $79,524
Federal Home Loan Mortgage Corporation (Freddie Mac) Freddie Mac (Federal Home Loan Mortgage Corporation) investor protection violation 2007 SEC $50,000,000
Evergreen Investment Management Company Wells Fargo investor protection violation 2007 SEC $32,500,000
HSBC Bank USA, N.A. HSBC investor protection violation 2007 SEC $10,500,000
Swiss Re Financial Products Corporation Swiss Re investor protection violation 2007 SEC $95,000
General American Life Insurance Company MetLife investor protection violation 2007 SEC $3,300,000
First BanCorp First Bancorp (Puerto Rico) accounting fraud or deficiencies 2007 SEC $8,500,000
Barclays Bank PLC Barclays insider trading 2007 SEC $10,943,561
The BISYS Group Citigroup accounting fraud or deficiencies 2007 SEC $25,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2007 SEC $7,957,200
Zurich Capital Markets Inc. Zurich Insurance investor protection violation 2007 SEC $16,800,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2007 SEC $3,860,000
Banc of America Securities LLC Bank of America fraud 2007 SEC $26,000,000
Goldman Sachs Execution and Clearing L.P. Goldman Sachs investor protection violation 2007 SEC $2,000,000
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