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
International-Matex Tank Terminals, LLC Macquarie environmental violation 2018 LA-ENV $25,673
DENCO II LLC Babcock & Brown environmental violation 2018 MN-ENV $22,141
Morgan Stanley Smith Barney LLC Morgan Stanley anti-money-laundering deficiencies 2018 FINRA $10,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America securities issuance or trading violation 2018 FINRA $5,990,530
UBS Financial Services Inc. and UBS Securities LLC UBS anti-money-laundering deficiencies 2018 FINRA $5,000,000
LPL Financial, LLC LPL Financial investor protection violation 2018 FINRA $2,750,000
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2018 FINRA $5,500,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China anti-money-laundering deficiencies 2018 FINRA $5,300,000
Fifth Third Securities, Inc. Fifth Third Bancorp investor protection violation 2018 FINRA $6,000,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2018 FINRA $1,500,000
HIGHMARK INC. Highmark Inc. workplace safety or health violation 2018 OSHA $25,868
BROADRIDGE FINANCIAL SOLUTIONS Broadridge Financial Solutions workplace safety or health violation 2018 OSHA $15,522
NEOVIA LOGISTICS DISTRIBUTION, LLC Goldman Sachs workplace safety or health violation 2018 OSHA $10,000
WHEELABRATOR MILLBURY INC. Macquarie workplace safety or health violation 2018 OSHA $9,472
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $8,260
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $12,321
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $10,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $5,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $12,321
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $13,348
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $8,260
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $14,459
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $9,500
Deutsche Bank Americas Holding Corp. Deutsche Bank benefit plan administrator violation 2019 private lawsuit-federal $21,900,000
Citigroup, Inc. Citigroup benefit plan administrator violation 2019 private lawsuit-federal $6,900,000
Enova International, Inc. Enova International consumer protection violation 2019 CFPB $3,200,000
USAA Federal Savings Bank USAA consumer protection violation 2019 CFPB $15,500,000
Asurion, LLC Asurion employment discrimination 2019 EEOC $50,000
Wintrust Financial Corporation Wintrust Financial Corp. banking violation 2019 FED $1,012,500
PHH Mortgage Corporation Ocwen Financial Servicemembers Civil Relief Act 2019 DOJ_RIGHTS $750,000
Citibank, N.A. Citigroup banking violation 2019 OCC $25,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2019 SEC $8,014,000
Wells Fargo Securities Wells Fargo investor protection violation 2019 SEC $812,500
Wedbush Securities Inc. Wedbush Securities investor protection violation 2019 SEC $250,000
BB&T Securities Truist Financial investor protection violation 2019 SEC $5,709,753
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2019 SEC $17,363,847
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2019 SEC $11,715,395
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2019 SEC $2,971,462
First Republic Investment Management, Inc. First Republic Bank investor protection violation 2019 SEC $1,005,194
Stifel and Nicolaus & Company, Incorporated Stifel Financial investor protection violation 2019 SEC $6,037,175
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2019 SEC $241,227
Sorrento Pacific Financial, LLC Atria Wealth Solutions investor protection violation 2019 SEC $49,162
CUSO Financial Services, L.P. Atria Wealth Solutions investor protection violation 2019 SEC $296,750
AXA Advisors, LLC Equitable Holdings investor protection violation 2019 SEC $1,134,152
BB&T Securities, LLC Truist Financial investor protection violation 2019 SEC $376,059
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2019 SEC $1,405,349
Bok Financial Securities, Inc. BOK Financial investor protection violation 2019 SEC $197,801
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2019 SEC $3,389,174
Principal Securities, Inc. Principal Financial investor protection violation 2019 SEC $1,764,624
Transamerica Financial Advisors, Inc. Aegon investor protection violation 2019 SEC $6,023,072
Comerica Securities, Inc. Comerica investor protection violation 2019 SEC $186,377
Santander Securities LLC Banco Santander investor protection violation 2019 SEC $270,539
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. Oppenheimer Holdings investor protection violation 2019 SEC $3,528,377
LPL Financial LLC LPL Financial investor protection violation 2019 SEC $9,333,516
TIAA-CREF Individual & Institutional Services, LLC TIAA investor protection violation 2019 SEC $2,395,722
Raymond James Financial Services Advisors, Inc. Raymond James Financial investor protection violation 2019 SEC $6,877,048
ProEquities, Inc. Dai-ichi Life investor protection violation 2019 SEC $1,852,383
Umpqua Bank Umpqua Holdings employment screening violation 2019 private lawsuit-federal $325,000
Freedom Mortgage Corporation Freedom Mortgage mortgage abuses 2019 CFPB $1,750,000
Banca IMI Securities Corp. Intesa Sanpaolo price-fixing or anti-competitive practices 2019 DOJ_ANTITRUST $2,000,000
UniCredit Group UniCredit economic sanction violation 2019 DOJ_CRIMINAL $413,536,632
Standard Chartered Bank Standard Chartered economic sanction violation 2019 DOJ_CRIMINAL $292,210,160
Zurich Life Insurance Company Ltd Zurich Insurance tax violations 2019 DOJ_TAX $5,115,000
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2019 EBSA $10,001
UniCredit, S.p.A. UniCredit banking violation 2019 FED $158,000,000
Standard Chartered plc Standard Chartered banking violation 2019 FED $164,000,000
Western Union Financial Services, Inc. Western Union economic sanction violation 2019 OFAC $401,697
UniCredit Bank AG UniCredit economic sanction violation 2019 OFAC (*) $553,380,759
UniCredit Bank Austria AG UniCredit economic sanction violation 2019 OFAC (*) $20,326,340
UniCredit S.p.A. UniCredit economic sanction violation 2019 OFAC (*) $37,316,322
Standard Chartered Bank Standard Chartered economic sanction violation 2019 OFAC (*) $657,040,033
Deutsche Bank Trust Company Americas Deutsche Bank investor protection violation 2019 SEC $500,000
Ally Financial Services Ally Financial wage and hour violation 2019 WHD $198,311
American Security Insurance Co. Assurant consumer protection violation 2019 MS-AG $767,394
BB&T Corporation Truist Financial benefit plan administrator violation 2019 private lawsuit-federal $24,000,000
BMO Capital Markets Corporation Bank of Montreal investor protection violation 2019 SEC $3,946,000
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2019 SEC $647,000
CIT Group, Inc., and CIT Bank, N.A., dba OneWest Bank CIT discriminatory practices (non-employment) 2019 HUD $7,300,000
Deutsche Bank AG Deutsche Bank Foreign Corrupt Practices Act 2019 SEC $16,178,850
FirstBank Puerto Rico First Bancorp (Puerto Rico) banking violation 2019 FDIC $17,700
Freedom Mortgage Corporation Freedom Mortgage wage and hour violation 2019 private lawsuit-federal $4,480,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China price-fixing or anti-competitive practices 2019 DOJ_ANTITRUST $3,000,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China investor protection violation 2019 SEC $42,700,000
Interactive Brokers, LLC Interactive Brokers Group investor protection violation 2019 NJ-AG $100,000
Jackson Hewitt Tax Service Inc. Jackson Hewitt consumer protection violation 2019 MA-AG $187,000
JP Morgan Chase Bank N.A. JPMorgan Chase wage and hour violation 2019 WHD $38,336
LPL Financial LLC LPL Financial investor protection violation 2019 MULTI-AG $25,848,000
Merrill Lynch Commodities Inc. Bank of America price-fixing or anti-competitive practices 2019 DOJ_CRIMINAL $25,000,000
Merrill Lynch Commodities, Inc. Bank of America investor protection violation 2019 CFTC (*) $24,900,000
Metropolitan Property & Casualty Co. Zurich Insurance consumer protection violation 2019 MS-AG $3,167,173
Midfirst Bank MidFirst Bank banking violation 2019 OCC $35,000
Morgan Stanley Morgan Stanley investor protection violation 2019 CA-AG $150,000,000
Mutual of Omaha Insurance Co. Mutual of Omaha consumer protection violation 2019 MA-AG $25,000
Nomura Securities International Inc. Nomura investor protection violation 2019 SEC $26,400,000
Ocwen Financial Corporation Ocwen Financial consumer protection violation 2019 ME-AG $84,000
Ocwen Loan Servicing LLC Ocwen Financial mortgage abuses 2019 MA-AG $2,000,000
Premera Blue Cross Premera Blue Cross privacy violation 2019 MULTI-AG $10,000,000
Prudential Insurance Company Of America Prudential Financial benefit plan administrator violation 2019 private lawsuit-federal $9,000,000
Santander Securities LLC Banco Santander consumer protection violation 2019 MA-AG $100,000
State Street Bank and Trust Company State Street Corp. investor protection violation 2019 SEC $88,780,000
State Street Corp. State Street Corp. consumer protection violation 2019 MA-AG $53,500,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)