Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
Oscar Health Plan of California Mulberry Health insurance violation 2020 CA-MHC $15,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $7,500
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $10,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $7,500
Nationstar Mortgage, LLC dba Mr. Cooper Mr. Cooper Group consumer protection violation 2020 CFPB $74,500,000
Washington Federal Bank, N.A. Washington Federal Inc. consumer protection violation 2020 CFPB $200,000
Encore Capital Group, Inc. Encore Capital Group consumer protection violation 2020 CFPB $15,079,308
Vitol Inc. Vitol fraud 2020 CFTC (*) $95,700,000
Morgan Stanley Capital Services LLC Morgan Stanley investor protection violation 2020 CFTC $5,000,000
Gain Capital Group, LLC GAIN Capital Holdings investor protection violation 2020 CFTC $300,000
JPMorgan Chase & Company JPMorgan Chase investor protection violation 2020 CFTC $920,200,000
Citibank N.A. Citigroup investor protection violation 2020 CFTC $4,500,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 CO-SEC $69,338
Janney Montgomery Scott, LLC Penn Mutual investor protection violation 2020 CT-BKG $150,000
Schupp & Grochmal, LLC Schupp & Grochmal investor protection violation 2020 CT-BKG $10,510
Highmark BCBSD Inc Highmark Inc. insurance violation 2020 DE-INS $299,000
Liberty Mutual Fire Insurance Company Liberty Mutual Insurance insurance violation 2020 DE-INS $20,000
Vitol Inc. Vitol Foreign Corrupt Practices Act 2020 DOJ_CRIMINAL $135,000,000
Goldman Sachs Group Inc. Goldman Sachs Foreign Corrupt Practices Act 2020 DOJ_CRIMINAL $2,921,088,000
JPMorgan Chase & Co. JPMorgan Chase fraud 2020 DOJ_CRIMINAL (*) $920,000,000
Nationstar Mortgage, LLC Mr. Cooper Group mortgage abuses 2020 DOJ_UTP $40,000,000
U.S. Bank National Association U.S. Bancorp mortgage abuses 2020 DOJ_UTP $29,000,000
PNC Bank, NA PNC Financial Services mortgage abuses 2020 DOJ_UTP $5,000,000
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2020 EBSA $50,001
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2020 EBSA $50,001
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2020 EBSA $50,001
Goldman Sachs Group, Inc. Goldman Sachs banking violation 2020 FED $154,000,000
M&T Bank M&T Bank banking violation 2020 FED $546,000
Ocwen Financial Corporation Ocwen Financial mortgage abuses 2020 FL-AG $11,600,000
Premera Blue Cross Premera Blue Cross privacy violation 2020 HHSOCR $6,850,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 IL-SEC $11,385
Thrivent Investment Management Inc. Thrivent Financial investor protection violation 2020 IL-SEC $400,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 KY-FIN $5,465
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 MS-SEC $6,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 MT-SEC $14,700
Nationstar Mortgage dba Mr. Cooper Mr. Cooper Group consumer protection violation 2020 MULTI-AG (*) $86,300,000
LPL Financial LLC LPL Financial investor protection violation 2020 NH-BSR $976,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 NM-SEC $6,500
Allstate Insurance Group Allstate insurance violation 2020 NY-DFS $1,455,368
State Farm Insurance Group State Farm Insurance insurance violation 2020 NY-DFS $10,443,700
AIG Property Casualty Company American International Group insurance violation 2020 NY-DFS $583,900
Principal Life Insurance Company Principal Financial insurance violation 2020 NY-DFS $6,000,000
Goldman Sachs Group Goldman Sachs investor protection violation 2020 NY-DFS $150,000,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2020 OCC $250,000,000
USAA Federal Savings Bank USAA banking violation 2020 OCC $85,000,000
Morgan Stanley Bank, N.A. Morgan Stanley banking violation 2020 OCC $60,000,000
Citibank, National Association Citigroup banking violation 2020 OCC $400,000,000
CIT Bank, National Association CIT banking violation 2020 OCC $82,500
JPMorgan Chase & Co. JPMorgan Chase employment discrimination 2020 OFCCP $9,000,000
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2020 OR-FIN $50,000
Selective Insurance Company of America Selective Insurance Group insurance violation 2020 OR-FIN $10,000
Allstate Insurance Company Allstate insurance violation 2020 OR-FIN $50,000
Ameritas Investment Company LLC Ameritas Mutual Holding Company investor protection violation 2020 PA-BKG $100,000
John Hancock Life and Health Insurance Company Manulife Financial insurance violation 2020 RI-FIN $44,877
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 RI-FIN $6,500
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 SC-SEC $28,007
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2020 SD-INS $85,000
Goldman Sachs Group Inc. Goldman Sachs Foreign Corrupt Practices Act 2020 SEC (*) $1,006,000,000
Morgan Stanley & Co. LLC Morgan Stanley investor protection violation 2020 SEC $5,000,000
Transamerica Asset Management, Inc. Aegon investor protection violation 2020 SEC $5,946,782
BGC Partners, Inc. BGC Partners investor protection violation 2020 SEC $1,400,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2020 SEC $35,000,000
Fulton Financial Corporation Fulton Financial investor protection violation 2020 SEC $1,500,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2020 SEC $600,000
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2020 TX-INS $9,675
Esurance Insurance Company Allstate insurance violation 2020 TX-INS $200,000
American Income Life Insurance Company Globe Life Inc. insurance violation 2020 VA-INS $18,000
Life Insurance Company of the Southwest National Life Group insurance violation 2020 VA-INS $6,600
Allied Property & Casualty Insurance Company et al. Nationwide insurance violation 2020 VA-INS $17,500
Allied Property & Casualty Insurance Company et al. Nationwide insurance violation 2020 VA-INS $20,000
HARTFORD CASUALTY INSURANCE COMPANY Hartford Financial Services insurance violation 2020 WA-INS $90,000
ACE AMERICAN INSURANCE COMPANY ET AL. Chubb Limited insurance violation 2020 WA-INS $50,000
NEW HAMPSHIRE INSURANCE COMPANY American International Group insurance violation 2020 WA-INS $15,000
AMERICAN ECONOMY INSURANCE COMPANY Liberty Mutual Insurance insurance violation 2020 WA-INS $6,000
CONTINENTAL WESTERN INSURANCE COMPANY W.R. Berkley insurance violation 2020 WA-INS $10,000
AMERICAN ECONOMY INSURANCE COMPANY ET AL. Liberty Mutual Insurance insurance violation 2020 WA-INS $10,000
AmeriSave Mortgage Corporation AmeriSave Mortgage privacy violation 2020 private lawsuit-federal $6,250,000
Wells Fargo Bank Wells Fargo wage and hour violation 2020 private lawsuit-federal $10,928,870
Wells Fargo & Company Wells Fargo benefit plan administrator violation 2020 private lawsuit-federal $79,000,000
Wells Fargo Bank, N.A. Wells Fargo wage and hour violation 2020 private lawsuit-federal $25,696,122
Premera Blue Cross Premera Blue Cross privacy violation 2020 private lawsuit-federal $74,000,000
WHEELABRATOR FALLS INC Macquarie environmental violation 2020 PA-ENV $12,000
California Physicians' Service dba. Blue Shield of California California Physicians' Service insurance violation 2020 CA-MHC $5,000
Oscar Health Plan of California Mulberry Health insurance violation 2020 CA-MHC $5,000
California Physicians' Service dba. Blue Shield of California California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service dba. Blue Shield of California California Physicians' Service insurance violation 2020 CA-MHC $10,000
Discover Bank et al. Discover Financial Services consumer protection violation 2020 CFPB $35,000,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 CFPB $4,750,000
RBS Financial Products, Inc. NatWest Group PLC toxic securities abuses 2020 MD-AG $18,000,000
Everest Reinsurance Company Everest Re Group insurance violation 2020 MN-FIN $8,000
American Family Mutual Insurance Co. and American Family Insurance Co. American Family Insurance insurance violation 2020 MN-FIN $35,000
PayPal, Inc. dba Venmo PayPal Holdings consumer protection violation 2020 MN-FIN $20,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2020 NH-BSR $26,250,000
IMTT BAYONNE LLC Macquarie environmental violation 2020 NJ-ENV $8,000
USAA Federal Savings Bank USAA banking violation 2020 OCC $382,500
State Farm Bank, FSB State Farm Insurance banking violation 2020 OCC $547,200
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)