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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
New England Life Insurance CompanyBrighthouse Financialinsurance violation2005MA-INS$13,000
NEW ENGLAND LIFE INSURANCE CO.Brighthouse Financialinsurance violation2002VA-INS$9,000
Comenity Bank and Comenity Capital BankBread Financial Holdingsbanking violation2015FDIC$63,950,000
Alliance Data Systems, Inc.Bread Financial Holdingswage and hour violation2003WHD$40,320
BOK Financial CorporationBOK Financialinvestor protection violation2016SEC$1,667,720
BOK Financial Corporation dba the Bank of AlbuquerqueBOK Financialemployment discrimination2014EEOC$230,000
Bok Financial Securities, Inc.BOK Financialinvestor protection violation2019SEC$197,801
BOK Financial Securities, Inc.BOK Financialinsurance violation2020CA-INS$5,000
BNP Paribas S.A.BNP Paribaseconomic sanction violation2015DOJ_CRIMINAL$8,973,600,000
BNP Paribas SecuritiesBNP Paribasinvestor protection violation2015CFTC$140,000
BNP Paribas (Suisse) SABNP Paribastax violations2015DOJ_TAX$59,783,000
BNP ParibasBNP ParibasFalse Claims Act and related2014DOJ_CIVIL$80,000,000
BNP Paribas Commodity Futures, Ltd.BNP Paribasdata submission deficiencies2008CFTC$25,000
Cinergy Marketing & Trading, LPBNP Paribasdata submission deficiencies2004CFTC$3,000,000
BNP Paribas S.A.BNP Paribasprice-fixing or anti-competitive practices2017FED$246,000,000
BNP Paribas USA Inc.BNP Paribasprice-fixing or anti-competitive practices2018DOJ_ANTITRUST$90,000,000
BNP Paribas Securities Corp.BNP Paribasprice-fixing or anti-competitive practices2018CFTC$90,000,000
BNP Paribas S.A.BNP Paribaseconomic sanction violation2014NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,243,400,000
BNP ParibasBNP Paribaseconomic sanction violation2014NY-DFS(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,240,000,000
BNP Paribas S.A.BNP Paribasprice-fixing or anti-competitive practices2017NY-DFS$350,000,000
BNP Paribas Securities Corp.BNP Paribasinvestor protection violation2020SEC$250,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc.BNP Paribasanti-money-laundering deficiencies2019FINRA$15,000,000
BNP ParibasBNP Paribasinvestor protection violation2022CFTC$6,000,000
BNP Paribas GroupBNP Paribasprice-fixing or anti-competitive practices2018private lawsuit-federal$115,000,000
BNP Paribas SABNP Paribasprice-fixing or anti-competitive practices2018private lawsuit-federal$33,500,000
BNP Paribas SABNP Paribasprice-fixing or anti-competitive practices2022private lawsuit-federal$8,000,000
BNP Paribas Securities Corp.BNP Paribasprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
BNP ParibasSABNP Paribasprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
BNP Paribas, S.A.BNP Paribasprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
BNP ParibasBNP Paribasinvestor protection violation2023CFTC$75,000,000
BNP Paribas Securities Corp.BNP Paribasinvestor protection violation2023SEC$35,000,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2019CO-INS$147,775
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2016DE-INS$487,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2017KS-INS$100,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2012MT-FIN$12,500
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2013NY-DFS$150,000
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2016NY-DFS$146,485
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2019NY-DFS$648,122
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2017SD-INS$40,000
COMPANION LIFE INSURANCE CO.BlueCross BlueShield of South Carolinainsurance violation2016VA-INS$44,220
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2019VT-FIN$1,656,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2021MULTI-FIN$5,000,000
BlackRock Advisors LLCBlackRockinvestor protection violation2015SEC$12,000,000
BlackRock Institutional Trust Company NABlackRockinvestor protection violation2012CFTC$250,000
BlackRock Institutional Trust CompanyBlackRockinvestor protection violation2014SEC$1,675,350
BlackRock Inc.BlackRockinvestor protection violation2017SEC$340,000
Blackrock Fund AdvisorsBlackRockinvestor protection violation2017SEC$1,500,000
State Street Research & Management CompanyBlackRockinvestor protection violation2005SEC$585,743
State Street Research Investment Services, Inc.BlackRockinvestor protection violation2004FINRA$1,500,000
BlackRock Institutional Trust Company, N.A.BlackRockbenefit plan administrator violation2021private lawsuit-federal$9,650,000
BlackRock Advisors, LLCBlackRockinvestor protection violation2023SEC$2,500,000
Binance Holdings Limited et al.Binance Holdingsinvestor protection violation2023CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,700,000,000
Binance Holdings LimitedBinance Holdingsanti-money-laundering deficiencies2023DOJ_NATSEC$4,316,126,163
Binance Holdings Limited,Binance Holdingsanti-money-laundering deficiencies2023FINCEN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $3,400,000,000
Binance Holdings, LtdBinance Holdingseconomic sanction violation2023OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $968,618,825
BGC Financial, L.P.BGC Partnersinvestor protection violation2019CFTC$3,000,000
BGC Financial, LPBGC Partnersinvestor protection violation2019CFTC$15,000,000
GFI Securities, LLCBGC Partnersinvestor protection violation2019CFTC$10,000,000
BGC Financial LPBGC Partnersprice-fixing or anti-competitive practices2019NY-AG$7,500,000
GFI Securities LLCBGC Partnersprice-fixing or anti-competitive practices2019NY-AG$5,000,000
GFI Securities LLCBGC Partnersinvestor protection violation2019SEC$4,300,000
BGC Partners, Inc.BGC Partnersinvestor protection violation2020SEC$1,400,000
Berthel Fisher & CompanyBerthel Fisherinvestor protection violation2003MN-FIN$10,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2007MO-SEC$230,469
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2011MO-SEC$5,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2013MO-SEC$80,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2003ND-SEC$12,303
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2004ND-SEC$20,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2006ND-SEC$8,000
Berthel, Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2007NE-DBF$5,000
Berthel Fisher & Company Financial Services, IncBerthel Fisherinvestor protection violation2019NH-BSR$415,407
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2014FINRA$775,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2021SEC$389,425
BCS Insurance CompanyBCS Financial Corporationinsurance violation2016NY-DFS$100,000
BCS Insurance CompanyBCS Financial Corporationinsurance violation2017MULTI-FIN$1,000,000
BARCLAYS BANK PLCBarclaysprice-fixing or anti-competitive practices2015FED$342,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$710,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2012DOJ_CRIMINAL$160,000,000
Barclays Bank PLCBarclayseconomic sanction violation2010DOJ_CRIMINAL$298,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2016SEC$35,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2014SEC$15,000,000
Barclays Bank PLCBarclaystoxic securities abuses2014FHFA$280,000,000
Barclays Capital Inc.Barclaystoxic securities abuses2015NCUA$325,000,000
BarclaysBarclaysprice-fixing or anti-competitive practices2015CFTC$400,000,000
BarclaysBarclaysprice-fixing or anti-competitive practices2015CFTC$115,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2012CFTC$200,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2017FERC$105,000,000
Barclays Bank PLCBarclayseconomic sanction violation2016OFAC$2,485,890
Barclays Capital Inc.Barclaysinvestor protection violation2016CFTC$800,000
Barclays Bank PLCBarclaysinvestor protection violation2016CFTC$560,000
Barclays Bank PLCBarclayseconomic sanction violation2004OFAC$14,970
Barclays Bank PLCBarclayseconomic sanction violation2003OFAC$10,107
Barclays Bank PLCBarclaysinsider trading2007SEC$10,943,561
Barclays Bank PLCBarclaysdata submission deficiencies2016CFTC$500,000
Barclays Capital Inc.Barclayswage and hour violation2009WHD$9,707
Barclays CapitalBarclaysinvestor protection violation2017SEC$97,037,659
Barclays Capital Inc.Barclaysinvestor protection violation2017SEC$12,710,040
Barclays Capital Inc.Barclaysinvestor protection violation2016SEC$500,000
Barclays Capital, Inc.Barclaystoxic securities abuses2018USAO$2,000,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2016MULTI-AG$100,000,000
Barclays Bank PLCBarclaystoxic securities abuses2013MA-AG$36,100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.