Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$336,354,784,532
Number of Records: 
7,048
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$82,901,469,908264
JPMorgan Chase$36,060,746,133196
Citigroup$25,540,645,217156
Wells Fargo$21,874,892,841221
Deutsche Bank$18,341,457,30276
UBS$16,854,236,33499
Goldman Sachs$16,386,580,99666
NatWest Group PLC$13,516,771,85733
BNP Paribas$12,147,863,95019
Credit Suisse$10,732,400,12649


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
Deutsche Bank Trust Company Americas Deutsche Bank economic sanction violation 2020 OFAC $583,100
Teachers Insurance and Annuity Association TIAA employment discrimination 2020 OFCCP $1,500,000
Wells Fargo Bank, N.A. Wells Fargo employment discrimination 2020 OFCCP $7,800,000
American National Property and Casualty Co. American National Insurance insurance violation 2020 OR-FIN $20,000
USAA Casualty Insurance Co. USAA insurance violation 2020 OR-FIN $50,000
Mutual of Omaha Mortgage, Inc. Mutual of Omaha consumer protection violation 2020 PA-BKG $7,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 PA-BKG $52,372
Federal Insurance Co. Chubb Limited insurance violation 2020 SD-INS $25,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 SD-SEC $5,750
Northern Trust Hedge Fund Services LLC Northern Trust investor protection violation 2020 SEC $167,629
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2020 SEC $11,500,000
World Acceptance Corporation World Acceptance Corporation Foreign Corrupt Practices Act 2020 SEC $21,700,000
VALIC Financial Advisors Inc. American International Group investor protection violation 2020 SEC $39,900,000
UBS Financial Services Inc. UBS investor protection violation 2020 SEC $10,000,000
Franklin Advisers and Inc. Franklin Resources investor protection violation 2020 SEC $250,000
Franklin Templeton Investments Corp. Franklin Resources investor protection violation 2020 SEC $75,000
BNP Paribas Securities Corp. BNP Paribas investor protection violation 2020 SEC $250,000
SG Americas Securities LLC Societe Generale investor protection violation 2020 SEC $1,550,000
AmTrust Financial Services Inc. AmTrust Financial Services investor protection violation 2020 SEC $10,300,000
New Hampshire Insurance Co. American International Group insurance violation 2020 TX-INS $7,000
Old Republic Insurance Co. Old Republic International insurance violation 2020 TX-INS $18,150
Zurich American Insurance Co. of Illinois Zurich Insurance insurance violation 2020 TX-INS $10,800
Property and Casualty Insurance Co. of Hartford Hartford Financial Services insurance violation 2020 TX-INS $20,000
Travelers Property Casualty Co. of America Travelers insurance violation 2020 TX-INS $10,000
Old Republic Insurance Co. Old Republic International insurance violation 2020 TX-INS $7,000
Twin City Fire Insurance Co. Hartford Financial Services insurance violation 2020 TX-INS $6,000
New Hampshire Insurance Co. American International Group insurance violation 2020 TX-INS $16,500
XL Specialty Insurance Co. AXA insurance violation 2020 TX-INS $7,000
Ace American Insurance Co. Chubb Limited insurance violation 2020 TX-INS $19,500
New Hampshire Insurance Co. American International Group insurance violation 2020 TX-INS $9,500
New Hampshire Insurance Co. American International Group insurance violation 2020 TX-INS $5,500
Amica Mutual Insurance Co. Amica Mutual Insurance insurance violation 2020 TX-INS $120,000
Trumbull Insurance Co. Hartford Financial Services insurance violation 2020 TX-INS $15,000
Sentinel Insurance Company, Ltd. Hartford Financial Services insurance violation 2020 TX-INS $10,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 TX-SEC $46,073
Dairyland Insurance Co. and Peak Property and Casualty Insurance Corp. Sentry Insurance insurance violation 2020 VA-INS $140,492
Carefirst Bluechoice, Inc. CareFirst of Maryland insurance violation 2020 VA-INS $90,600
Group Hospitalization and Medical Services, Inc. CareFirst of Maryland insurance violation 2020 VA-INS $36,250
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 VT-AG $105,000
State Farm Life Insurance Co. State Farm Insurance insurance violation 2020 VT-FIN $204,000
Arch Insurance Co. Arch Capital insurance violation 2020 WA-INS $10,000
Premera Blue Cross Premera Blue Cross insurance violation 2020 WA-INS $25,000
Crestbrook Insurance Co. Nationwide insurance violation 2020 WA-INS $5,000
Cincinnati Insurance Co. Cincinnati Financial insurance violation 2020 WA-INS $5,000
National Union Fire Insurance Company of Pittsburgh, PA. et al. American International Group insurance violation 2020 WA-INS $20,000
Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2020 WA-INS $5,000
Northwestern Mutual Life Insurance Co. Northwestern Mutual insurance violation 2020 WA-INS $50,000
Security National Insurance Co. Zurich Insurance insurance violation 2020 WA-INS $5,000
Privilege Underwriters Reciprocal Exchange Tokio Marine insurance violation 2020 WA-INS $5,000
Farmers Insurance Exchange Farmers Insurance Exchange wage and hour violation 2020 private lawsuit-federal $5,400,000
U.S. Bank National Association U.S. Bancorp wage and hour violation 2020 private lawsuit-federal $6,500,000
JPMorgan Chase Bank, N.A. JPMorgan Chase wage and hour violation 2020 private lawsuit-federal $3,750,000
HSBC HSBC False Claims Act and related 2020 CA-AG $7,000,000
Morgan Stanley Smith Barney FA Notes Holdings LLC Morgan Stanley consumer protection violation 2020 CA-DFPI $1,000,000
PHH Mortgage Corporation Ocwen Financial consumer protection violation 2020 CA-DFPI $62,000
Freedom Mortgage Corporation Freedom Mortgage consumer protection violation 2020 CA-DFPI $75,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $30,000
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 $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 $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
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)