Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$325,206,110,617
Number of Records: 
5,976
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$82,700,046,034213
JPMorgan Chase$34,530,243,993154
Citigroup$25,045,655,764120
Wells Fargo$21,199,943,231179
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,582,95017
Credit Suisse$10,409,957,62631


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
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
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
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
WHEELABRATOR RIDGE ENERGY INC. 121050021600035 Macquarie environmental violation 2004 EPA $5,000
NOBLE AMERICAS SOUTH BEND ETHANOL LLC Vitol environmental violation 2004 EPA $220,000
INTERNATIONAL MATEX TANK TERMINALS - IMTT - ST ROSE Macquarie environmental violation 2004 EPA $40,000
KANSAS CITY STAR CO Chatham Asset Management environmental violation 2004 EPA $10,000
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
Janus Capital Management Janus Henderson investor protection violation 2004 MULTI-AG $225,000,000
Massachusetts Financial Services Co. Sun Life Financial investor protection violation 2004 NY-AG $350,000,000
Metropolitan Life Insurance Co. MetLife consumer protection violation 2004 MA-AG $150,000
PayPal PayPal Holdings consumer protection violation 2004 NY-AG $150,000
Strong Capital Management Co. Wells Fargo investor protection violation 2004 MULTI-AG (*) $115,000,000
UnumProvident Corporation Unum consumer protection violation 2004 MULTI-AG $15,000,000
Wells Fargo Wells Fargo consumer protection violation 2004 NY-AG $2,900,000
FIRST BANK First Bancorp (North Carolina) banking violation 2004 FDIC $12,000
Jackson Hewitt Inc. Jackson Hewitt consumer protection violation 2004 NY-NYCDCWP $125,000
Indiana Insurance Co. Liberty Mutual Insurance employment discrimination 2004 EEOC $178,065
Fifth Third Bank Fifth Third Bancorp employment discrimination 2004 EEOC $225,000
Wilmington Trust Co. M&T Bank employment discrimination 2004 EEOC $70,000
Travelers Insurance Company Travelers False Claims Act and related 2004 USAO $10,900,000
Progressive Casualty Insurance Co. et al. Progressive insurance violation 2004 CA-INS $100,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $15,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $20,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $20,000
American Bankers Insurance Company of Florida et al. Assurant insurance violation 2004 CA-INS $150,000
Bristol West Insurance Co. Zurich Insurance insurance violation 2004 FL-OFR $26,500
Universal Property & Casualty Insurance Co. Universal Insurance Holdings insurance violation 2004 FL-OFR $47,500
ProEquities, Inc. Dai-ichi Life investor protection violation 2004 FL-OFR $5,000
Jackson National Life Insurance Co. Prudential (UK) insurance violation 2004 FL-OFR $5,500
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2004 FL-OFR $10,000
Protective Life Insurance Co. Dai-ichi Life insurance violation 2004 FL-OFR $5,950
Life Investors Insurance Company of America Aegon insurance violation 2004 FL-OFR $11,000
World Group Securities, Inc. Aegon investor protection violation 2004 ID-SEC $15,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2004 IL-SEC $5,000
Sun LIfe Assurance Company of Canada et al. Sun Life Financial insurance violation 2004 IN-INS $125,000
Progressive Casualty Insurance Co. et al. Progressive insurance violation 2004 KS-INS $19,800
Morgan Stanley D.W., Inc. Morgan Stanley investor protection violation 2004 KY-FIN $100,000
Allstate Life Insurance Company Allstate insurance violation 2004 MA-INS $25,000
Conseco Health Insurance Co. CNO Financial insurance violation 2004 ME-INS $10,000
John Alden Life Insurance Co. Assurant insurance violation 2004 ME-INS $5,000
John Alden Life Insurance Co. Assurant insurance violation 2004 ME-INS $5,000
John Alden Life Insurance Co. Assurant insurance violation 2004 ME-INS $20,000
Conseco Senior Health Insurance Co. CNO Financial insurance violation 2004 MN-FIN $5,000
Conseco Health Insurance Co. CNO Financial insurance violation 2004 MN-FIN $5,000
Universal Underwriter Insurance Co. Zurich Insurance insurance violation 2004 MN-FIN $200,000
Fortis Insurance Co. Assurant insurance violation 2004 MN-FIN $5,000
John Alden Life Insurance Co. Assurant insurance violation 2004 MN-FIN $5,000
Foremost Insurance Co. at al. Zurich Insurance insurance violation 2004 MN-FIN $75,000
Safeco Insurance Company of Illinois Liberty Mutual Insurance insurance violation 2004 MN-FIN $5,000
AmSouth Investment Services, Inc. Regions Financial investor protection violation 2004 MS-SEC $225,000
Seneca Ins Co. Inc. Fairfax Financial Holdings insurance violation 2004 MS-INS $5,000
Safety National Casualty Corp. Tokio Marine insurance violation 2004 MS-INS $5,000
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