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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 ParentPrimary Offense TypeYearAgency sort iconPenalty Amount
Scotia Capital (USA) Inc.Scotiabankinvestor protection violation2023SEC$7,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaanti-money-laundering deficiencies2023SEC$6,000,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2023SEC$709,971
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2023SEC$1,400,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2023SEC$4,000,000
Wells Fargo Securities, LLC et al.Wells Fargoinvestor protection violation2023SEC$125,000,000
BNP Paribas Securities Corp.BNP Paribasinvestor protection violation2023SEC$35,000,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2023SEC$35,000,000
BMO Capital Markets CorpBank of Montrealinvestor protection violation2023SEC$25,000,000
Mizuho Securities USA LLCMizuho Financialinvestor protection violation2023SEC$25,000,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2023SEC$10,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2023SEC$2,900,000
Wells Fargo Clearing Services LLCWells Fargoinvestor protection violation2023SEC$35,000,000
Wilmington Trust Investment Management, LLCM&T Bankinvestor protection violation2023SEC$1,327,147
Interactive Brokers Corp.Interactive Brokers Groupinvestor protection violation2023SEC$35,000,000
Nuveen Securities LLCTIAAinvestor protection violation2023SEC$8,500,000
Fifth Third Securities Inc.Fifth Third Bancorpinvestor protection violation2023SEC$8,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2023SEC$1,975,000
DWS Investment Management Americas Inc.Deutsche Bankinvestor protection violation2023SEC$25,000,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2023SEC$6,000,000
Royal Bank of CanadaRoyal Bank of Canadaaccounting fraud or deficiencies2023SEC$6,000,000
BlackRock Advisors, LLCBlackRockinvestor protection violation2023SEC$2,500,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2024SEC$18,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2024SEC$83,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2023SEC$10,000,000
TIAA-CREF Individual & Institutional Services LLCTIAAinvestor protection violation2024SEC$2,200,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualinvestor protection violation2024SEC$16,500,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2024SEC$12,000,000
Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2024SEC$8,500,000
U.S. Bancorp Investments Inc.U.S. Bancorpinvestor protection violation2024SEC$8,000,000
Aon Investments USA Inc.Aoninvestor protection violation2024SEC$1,542,187
Nyrstar ClarksvilleTrafiguraenvironmental violation2019TN-ENV$181,482
Nyrstar ClarksvilleTrafiguraenvironmental violation2019TN-ENV$622,389
Regions BankRegions Financialenvironmental violation2017TN-ENV$20,750
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraenvironmental violation2017TN-ENV$41,760
Courier Printing CompanyChatham Asset Managementenvironmental violation2016TN-ENV$8,555
Nyrstar Gordonsville LLCTrafiguraenvironmental violation2013TN-ENV$5,000
Nyrstar Clarksville Inc.Trafiguraenvironmental violation2023TN-ENV$17,500
Selective Insurance Company of South CarolinaSelective Insurance Groupinsurance violation2014TN-INS$10,000
Broadspire Services Inc.Crawford & Co.insurance violation2016TN-INS$10,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2020TN-INS$30,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2016TN-SEC$30,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020TN-SEC$12,994
AllstateAllstateconsumer protection violation2003TX-AG$3,440,000
American Heritage Life Insurance Co.Allstateconsumer protection violation2007TX-AG$1,700,000
EZCORP, Inc.EZCORP Inc.privacy violation2008TX-AG$600,000
Farmers Insurance GroupZurich Insuranceconsumer protection violation2003TX-AG$2,400,000
PayPal Inc.PayPal Holdingsprivacy violation2016TX-AG$175,000
Protective Life Insurance Co.Dai-ichi Lifeconsumer protection violation2007TX-AG$1,570,000
Resource Life Insurance Co.Assurantconsumer protection violation2010TX-AG$2,600,000
State FarmState Farm Insuranceconsumer protection violation2000TX-AG$3,100,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceconsumer protection violation2005TX-AG$10,000,000
Universal Underwriters Life Insurance Co.Zurich Insuranceconsumer protection violation2008TX-AG$2,400,000
UBSUBSbanking violation2023TX-AG$850,000
Buckeye Texas Processing LLCIFM Investorsenvironmental violation2020TX-ENV$607,617
R. R. Donnelley & Sons CompanyChatham Asset Managementenvironmental violation2016TX-ENV$10,051
Synagro of Texas-CDR, Inc.Goldman Sachsenvironmental violation2015TX-ENV$7,927
JP Morgan ChaseJPMorgan Chaseenvironmental violation2011TX-ENV$6,555
CAPITAL ONE NATIONAL ASSOCIATIONCapital One Financialenvironmental violation2010TX-ENV$8,400
Bank Of America NABank of Americaenvironmental violation2005TX-ENV$12,480
Imperial Sugar CompanyLouis Dreyfusenvironmental violation2003TX-ENV$6,800
Corpus Christi Alumina LLCGlencoreenvironmental violation2021TX-ENV$32,400
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2016TX-FIN$23,608
TD Ameritrade, Inc.Charles Schwab Corp.consumer protection violation2022TX-FIN$81,750
Mid-Century Insurance Co. of TexasZurich Insuranceinsurance violation2000TX-INS$11,000,000
Farmers Insurance GroupZurich Insuranceinsurance violation2002TX-INS$15,000,000
Allstate Texas Lloyd'sAllstateinsurance violation2008TX-INS$71,300,000
Hartford Casualty Insurance Company et al.Hartford Financial Servicesinsurance violation2008TX-INS$21,000
Sentry InsuranceSentry Insuranceinsurance violation2008TX-INS$5,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2008TX-INS$6,000
Ace American Insurance CompanyChubb Limitedinsurance violation2008TX-INS$17,500
Ace American Insurance CompanyChubb Limitedinsurance violation2008TX-INS$14,875
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2008TX-INS$18,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2008TX-INS$18,000
Virginia Surety Company, Inc.Assurantinsurance violation2008TX-INS$7,000
Ace American Insurance Company et al.Chubb Limitedinsurance violation2008TX-INS$50,000
Ace American Insurance CompanyChubb Limitedinsurance violation2008TX-INS$37,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2008TX-INS$7,500
Zurich American Insurance CompanyZurich Insuranceinsurance violation2009TX-INS$15,000
American Home Assurance CompanyAmerican International Groupinsurance violation2009TX-INS$22,500
Fidelity and Guaranty Insurance CompanyFidelity National Financialinsurance violation2009TX-INS$9,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2009TX-INS$7,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2009TX-INS$7,500
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2009TX-INS$55,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2009TX-INS$7,500
United States Fire Insurance Company of PlanoFairfax Financial Holdingsinsurance violation2009TX-INS$10,500
American Home Assurance Company et al.American International Groupinsurance violation2010TX-INS$650,000
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Lloyd's CorporationHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$18,000
Property and Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2010TX-INS$18,000
Sentinel Insurance Company Ltd.Hartford Financial Servicesinsurance violation2010TX-INS$10,000
Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$10,000
Wausau Business Insurance CompanyLiberty Mutual Insuranceinsurance violation2010TX-INS$5,000
Safeco Lloyds Insurance Co.Liberty Mutual Insuranceinsurance violation2010TX-INS$5,000
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2010TX-INS$175,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2010TX-INS$175,000
Standard Fire Insurance CompanyTravelersinsurance violation2010TX-INS$8,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.