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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$331,558,339,161
Number of Records: 
6,166
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$82,764,013,078219
JPMorgan Chase$35,819,302,225162
Citigroup$25,454,366,764125
Wells Fargo$21,358,750,745184
Deutsche Bank$18,286,625,30261
UBS$16,792,860,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,473,904,00028
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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 Year Agency Penalty Amountsort icon
M&T Bank Corp. M&T Bank False Claims Act and related 2016 DOJ_CIVIL $64,000,000
Green Tree Servicing LLC Ditech Holding Corporation consumer protection violation 2015 FTC $63,000,000
Morgan Stanley & Co. LLC Morgan Stanley toxic securities abuses 2016 FDIC $62,950,000
Wells Fargo Bank N.A. Wells Fargo benefit plan administrator violation 2014 private lawsuit-federal $62,500,000
JPMorgan Chase & Co. JPMorgan Chase banking violation 2016 FED $61,900,000
Bank of Nova Scotia Scotiabank price-fixing or anti-competitive practices 2020 DOJ_CRIMINAL $60,400,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2013 OCC $60,000,000
Sallie Mae Inc. Navient consumer protection violation 2014 DOJ_RIGHTS $60,000,000
State Street Corporation State Street Corp. benefit plan administrator violation 2016 private lawsuit-federal $60,000,000
Goldman Sachs & Co. Goldman Sachs mortgage abuses 2009 MA-AG $60,000,000
Wachovia Securities Wells Fargo investor protection violation 2008 MULTI-AG $60,000,000
Western Union Western Union anti-money-laundering deficiencies 2018 NY-DFS $60,000,000
American-Amicable Life Insurance Company American-Amicable Group insurance violation 2006 MULTI-FIN $60,000,000
Morgan Stanley Bank, N.A. Morgan Stanley banking violation 2020 OCC $60,000,000
BNP Paribas (Suisse) SA BNP Paribas tax violations 2015 DOJ_TAX $59,783,000
HSBC HSBC mortgage abuses 2016 MULTI-AG (*) $59,500,000
Wachovia Bank N.A. Wells Fargo price-fixing or anti-competitive practices 2011 MULTI-AG (*) $58,750,000
American International Group American International Group False Claims Act and related 2007 MA-AG $58,500,000
Deutsche Bank AG Deutsche Bank economic sanction violation 2015 FED $58,000,000
Deutsche Bank AG Deutsche Bank investor protection violation 2015 SEC $55,000,000
American Express Bank International American Express anti-money-laundering deficiencies 2007 DOJ_CRIMINAL $55,000,000
Hartford Financial Services Group, Inc. Hartford Financial Services investor protection violation 2006 SEC $55,000,000
Putnam Investment Management LLC Power Financial Corporation investor protection violation 2004 SEC $55,000,000
Countrywide Financial Corporation Bank of America benefit plan administrator violation 2009 private lawsuit-federal $55,000,000
Goldman Sachs Group, Inc. Goldman Sachs investor protection violation 2018 FED $54,750,000
Goldman Sachs Group Inc. Goldman Sachs foreign exchange market manipulation 2018 NY-DFS $54,750,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2016 SEC $54,300,000
Morgan Stanley Morgan Stanley employment discrimination 2004 EEOC $54,000,000
Bank of New York Mellon Bank of New York Mellon investor protection violation 2018 SEC $54,000,000
Societe Generale S.A. Societe Generale economic sanction violation 2018 OFAC $53,966,916
State Street Corp. State Street Corp. consumer protection violation 2019 MA-AG $53,500,000
U.S. Bank U.S. Bancorp consumer protection violation 2014 CFPB $53,000,000
Wachovia Wells Fargo toxic securities abuses 2015 NCUA $53,000,000
JPMorgan Chase JPMorgan Chase discriminatory practices (non-employment) 2017 USAO $53,000,000
Regions Bank Regions Financial False Claims Act and related 2016 DOJ_CIVIL $52,400,000
Lincoln Financial Group Lincoln National insurance violation 2017 NY-DFS $52,200,000
Encore Capital Group Encore Capital Group consumer protection violation 2015 CFPB $52,000,000
Ally Financial Inc. Ally Financial toxic securities abuses 2016 USAO $52,000,000
RBS Financial Products Inc. Royal Bank of Scotland toxic securities abuses 2011 MA-AG $52,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2014 OCC $51,900,000
Industrial Bank of Korea Industrial Bank of Korea anti-money-laundering deficiencies 2020 USAO $51,000,000
Credit Suisse Credit Suisse toxic securities abuses 2016 NCUA $50,300,000
Wachovia Bank N.A. Wells Fargo banking violation 2010 OCC $50,000,000
THE ROYAL BANK OF SCOTLAND GROUP PLC Royal Bank of Scotland banking violation 2013 FED $50,000,000
JPMorgan Chase Bank N.A. JPMorgan Chase bankruptcy professional violation 2015 DOJ_UTP $50,000,000
UBS Securities UBS toxic securities abuses 2013 SEC $50,000,000
Williams Power Company Inc. JPMorgan Chase data submission deficiencies 2006 DOJ_CRIMINAL $50,000,000
Federal Home Loan Mortgage Corporation (Freddie Mac) Freddie Mac (Federal Home Loan Mortgage Corporation) investor protection violation 2007 SEC $50,000,000
MBIA Inc. MBIA accounting fraud or deficiencies 2007 SEC $50,000,000
AIM Advisors, Inc. and AIM Distributors, Inc. Invesco investor protection violation 2004 SEC $50,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz investor protection violation 2004 SEC $50,000,000
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
Massachusetts Financial Services Company Sun Life Financial investor protection violation 2004 SEC $50,000,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2003 SEC $50,000,000
Societe Generale S.A. Societe Generale toxic securities abuses 2017 USAO $50,000,000
Wachovia Bank N.A. Wells Fargo anti-money-laundering deficiencies 2010 USAO $50,000,000
Rabobank, National Association Rabobank anti-money-laundering deficiencies 2018 OCC $50,000,000
Morgan Stanley Morgan Stanley wage and hour violation 2009 private lawsuit-federal $50,000,000
ICAP Capital Markets LLC ICAP interest rate benchmark manipulation 2018 CFTC $50,000,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2006 SEC $50,000,000
Great American Life Insurance Company American Financial Group insurance violation 2009 MN-AG $50,000,000
JPMorgan Chase JPMorgan Chase consumer protection violation 2015 CA-AG $50,000,000
Willis Group Holdings Ltd. Willis Towers Watson price-fixing or anti-competitive practices 2005 NY-AG $50,000,000
Wells Fargo Wells Fargo consumer protection violation 2016 CA-LACA $50,000,000
Royal Bank of Scotland Royal Bank of Scotland economic sanction violation 2013 NY-DFS $50,000,000
MetLife MetLife insurance violation 2014 NY-DFS $50,000,000
Goldman Sachs Goldman Sachs investor protection violation 2015 NY-DFS $50,000,000
Bank of America Bank of America investor protection violation 2008 MULTI-FIN (*) $50,000,000
Wachovia Securities LLC Wells Fargo investor protection violation 2008 MULTI-FIN (*) $50,000,000
The Bank of Nova Scotia Scotiabank investor protection violation 2020 CFTC $50,000,000
Washington Mutual Inc. JPMorgan Chase benefit plan administrator violation 2010 private lawsuit-federal $49,000,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2016 OCC $48,000,000
Credit Suisse (Hong Kong) Limited Credit Suisse Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $47,029,916
Nelnet Inc. Nelnet False Claims Act and related 2010 DOJ_CIVIL $47,000,000
Household International HSBC benefit plan administrator violation 2004 private lawsuit-federal $46,500,000
Regions Bank Regions Financial banking violation 2014 FED $46,000,000
American International Group, Inc. American International Group investor protection violation 2004 SEC $46,000,000
Morgan Stanley Morgan Stanley employment discrimination 2007 private lawsuit-federal $46,000,000
Spear, Leeds & Kellogg Specialists LLC Goldman Sachs investor protection violation 2004 SEC $45,272,478
Citibank Citigroup consumer protection violation 2016 CFPB $45,000,000
Salomon Smith Barney Inc. Morgan Stanley investor protection violation 2000 SEC $45,000,000
UBS UBS wage and hour violation 2007 private lawsuit-federal $45,000,000
Fred Alger Management, Inc. Alger Associates investor protection violation 2007 NY-AG (*) $45,000,000
Merrill Lynch & Co. Bank of America investor protection violation 2013 NJ-AG $45,000,000
PHH Mortgage Corp. Ocwen Financial mortgage abuses 2018 MULTI-AG $45,000,000
Athene Holding Ltd. Athene Holding insurance violation 2020 NY-DFS $45,000,000
Fireman's Fund Insurance Company Allianz False Claims Act and related 2015 DOJ_CIVIL $44,000,000
RBS Securities Inc. Royal Bank of Scotland toxic securities abuses 2017 USAO $44,000,000
UBS UBS wage and hour violation 2007 private lawsuit-federal $44,000,000
ConvergEx Group LLC Cowen Inc. fraud 2014 DOJ_CRIMINAL $43,800,000
Merrill Lynch Bank of America wage and hour violation 2010 private lawsuit-federal $43,500,000
National City Corp. PNC Financial Services benefit plan administrator violation 2010 private lawsuit-federal $43,000,000
Deutsche Bank AG Deutsche Bank Foreign Corrupt Practices Act 2021 SEC $43,000,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China investor protection violation 2019 SEC $42,700,000
Morgan Stanley Morgan Stanley wage and hour violation 2006 private lawsuit-federal $42,500,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2011 private lawsuit-federal $42,000,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America investor protection violation 2018 SEC $42,000,000
Bank of America Merrill Lynch Bank of America investor protection violation 2018 NY-AG $42,000,000
RBS Financial Products Royal Bank of Scotland toxic securities abuses 2012 NV-AG $42,000,000
Western Sky Financial, LLC, CashCall, Inc. CashCall Inc. consumer protection violation 2017 GA-AG $42,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)