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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 TypeYear sort iconAgencyPenalty Amount
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019FINRA$4,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2019FINRA$8,000,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc.BNP Paribasanti-money-laundering deficiencies2019FINRA$15,000,000
UBS Financial Services Inc.UBSinvestor protection violation2019FINRA$2,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2019FINRA$1,100,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2019FINRA$1,250,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2019FINRA$772,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2019FINRA$2,000,000
Buckeye Terminals LLC-MacungieIFM Investorsrailroad safety violation2019FRA$5,000
JP Morgan Chase Bank, NAJPMorgan Chaseemployment discrimination2019CA-CRD$60,000
Franklin Resources, Inc.Franklin Resourcesbenefit plan administrator violation2019private lawsuit-federal$13,850,000
Citibank N.A.Citigroupprice-fixing or anti-competitive practices2019private lawsuit-federal$91,250,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2019private lawsuit-federal$91,250,000
Mastercard International Inc.MasterCardprice-fixing or anti-competitive practices2019private lawsuit-federal$2,100,000,000
Mizuho Bank LtdMizuho Financialprice-fixing or anti-competitive practices2019private lawsuit-federal$13,083,333
Norinchukin BankNorinchukin Bankprice-fixing or anti-competitive practices2019private lawsuit-federal$13,083,333
Shoko Chukin Bank LtdShoko Chukin Bankprice-fixing or anti-competitive practices2019private lawsuit-federal$6,350,000
Visa U.S.A. Inc.Visaprice-fixing or anti-competitive practices2019private lawsuit-federal$4,100,000,000
Transamerica Life Insurance CompanyAegonconsumer protection violation2019private lawsuit-federal$195,000,000
National General Insurance CompanyAllstateconsumer protection violation2019private lawsuit-federal$7,500,000
Bank of America, N.A.Bank of Americaconsumer protection violation2019private lawsuit-federal$22,000,000
Bank of New York MellonBank of New York Mellonconsumer protection violation2019private lawsuit-federal$72,500,000
BNY MellonBank of New York Mellonconsumer protection violation2019private lawsuit-federal$10,000,000
Capital One Financial Corp.Capital One Financialconsumer protection violation2019private lawsuit-federal$900,000
Deutsche Bank AGDeutsche Bankconsumer protection violation2019private lawsuit-federal$55,000,000
Midland Funding LLCEncore Capital Groupconsumer protection violation2019private lawsuit-federal$9,805,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2019private lawsuit-federal$9,500,000
John Hancock Life Insurance CompanyManulife Financialconsumer protection violation2019private lawsuit-federal$91,250,000
Royal Bank of Scotland PLCNatWest Group PLCconsumer protection violation2019private lawsuit-federal$55,000,000
Raymond James FinancialRaymond James Financialconsumer protection violation2019private lawsuit-federal$15,000,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceconsumer protection violation2019private lawsuit-federal$18,500,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2019private lawsuit-federal$13,460,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2019private lawsuit-federal$55,000,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2019private lawsuit-federal$386,000,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2019private lawsuit-federal$30,000,000
Quicken LoansRocket Companies Inc.wage and hour violation2019MI-LEO$10,500
Buckeye Terminals LLC-MacungieIFM Investorsrailroad safety violation2019FRA$5,000
SYNAGRO-WWT, INC.Goldman Sachsworkplace safety or health violation2019OSHA$8,525
BROADRIDGE FINANCIAL SOLUTIONS, INC.Broadridge Financial Solutionsworkplace safety or health violation2019OSHA$8,335
BOYD CORPORATIONGoldman Sachsworkplace safety or health violation2019OSHA$6,300
BUCKEYE PARTNERS, L.P.IFM Investorsworkplace safety or health violation2019OSHA$13,500
WHEELABRATOR CONCORD INC.Macquarieworkplace safety or health violation2019OSHA$7,100
WHEELABRATOR NORTH ANDOVERMacquarieworkplace safety or health violation2019OSHA$7,500
LOUIS DREYFUS COMPANY AGRICULTURAL INDUSTRIESLouis Dreyfusenvironmental violation2019EPA$155,806
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2019MSHA$5,776
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$36,151
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$72,600
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$11,041
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$7,401
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$8,016
Wells Fargo & CompanyWells Fargowage and hour violation2020private lawsuit-federal$35,000,000
PNC Financial Services Group, Inc.PNC Financial Serviceswage and hour violation2020private lawsuit-federal$2,750,000
M&T BankM&T Bankemployment discrimination2020EEOC$100,000
Jackson National Life Insurance CompanyJackson Financialemployment discrimination2020EEOC$20,500,000
Glacier BankGlacier Bancorpbanking violation2020FDIC$16,750
Wells Fargo & CompanyWells Fargofraud2020DOJ_CIVIL$3,000,000,000
Union Bancaire Privee, UBP SAUnion Bancaire Priveetax violations2020DOJ_TAX$14,000,000
Citibank, N.A.Citigroupbanking violation2020OCC$17,998,510
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargoinvestor protection violation2020SEC$35,000,000
Wells Fargo & Co.Wells Fargoinvestor protection violation2020SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $500,000,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2020SEC$586,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020SEC$1,822,438
LendingClub CorporationLendingClub Corp.consumer protection violation2020MA-AG$1,250,000
Wilmington Trust, N.A.M&T Bankbenefit plan administrator violation2020EBSA$88,000,000
American Security Insurance CompanyAssurantemployment discrimination2020EEOC$49,000
East West BankEast West Bancorpbanking violation2020FED$129,108
Bank Hapoalim B.M,Bank Hapoalimtax violations2020FED$37,350,000
Guaranteed Rate Inc.Guaranteed Rate Inc.False Claims Act and related2020DOJ_CIVIL$15,060,000
Bank Hapoalim B.M.Bank Hapoalimanti-money-laundering deficiencies2020DOJ_CRIMINAL$30,063,317
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd.Bank Hapoalimtax violations2020DOJ_TAX$616,910,000
Industrial Bank of KoreaIndustrial Bank of Koreaanti-money-laundering deficiencies2020USAO$51,000,000
Buckeye Partners, LPIFM Investorsenvironmental violation2020PHMSA$209,002
U.S. Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2020SEC$15,992,441
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2020SEC$5,000,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2020SEC$3,889,007
Merrill Lynch, Pierce and Fenner & Smith, IncorporatedBank of Americainvestor protection violation2020SEC$325,376
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2020SEC$3,200,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2020SEC$725,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020MULTI-AG$550,000,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020MA-AG$363,000
Securian Financial Services, Inc.Securian Financialinvestor protection violation2020AK-DBS$10,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020AK-DBS$10,527
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020AL-SEC$18,874
American Family Connect Property and Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2020AZ-DIFI$50,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CA-DFPI$52,047
Societe Generale Financial CorporationSociete Generalebanking violation2020CA-DFPI$10,250
Harleysville Insurance Co.Nationwideinsurance violation2020CT-INS$49,000
Allstate Indemnity Co.Allstateinsurance violation2020CT-INS$7,500
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CT-SEC$51,136
American Bankers Insurance Company of FloridaAssurantinsurance violation2020CT-INS$198,000
Hartford Underwriters Insurance Co. et al.Hartford Financial Servicesinsurance violation2020DE-INS$34,000
The Travelers Indemnity Company of America et al.Travelersinsurance violation2020DE-INS$6,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020GA-SEC$22,104
Solium Financial Services, LLCMorgan Stanleyinvestor protection violation2020IA-INS$10,147
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020IN-SEC$15,575
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020KY-FIN$325,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2020MD-INS$90,000
First American Title Insurance Co.First American Financialinsurance violation2020MD-INS$52,000
National Union Fire Insurance Company of Pittsburgh, Pennsylvania et al.American International Groupinsurance violation2020MD-INS$20,000
Solium Financial Services, LLCMorgan Stanleyinvestor protection violation2020ME-SEC$5,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2020MI-SEC$50,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.