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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)
Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
USAllianz Securities Allianz investor protection violation 2006 FINRA $5,000,000
UVEST Financial Services Group, Inc. LPL Financial investor protection violation 2013 MULTI-FIN $750,000
VALIC Financial Advisors Inc. American International Group investor protection violation 2020 SEC $39,900,000
VALIC Financial Advisors, Inc. American International Group investor protection violation 2016 FINRA $1,750,000
Valley Forge Life Insurance Company Prudential PLC insurance violation 2001 MA-INS $11,600
Valley Forge Life Insurance Company Prudential PLC insurance violation 2002 MA-INS $24,500
Vanguard Advisers Inc. Vanguard Group investor protection violation 2017 PA-BKG $23,480
Vanguard Group Vanguard Group employment discrimination 2010 EEOC $300,000
Vanguard Group, Inc. Vanguard Group employment discrimination 2008 EEOC $500,000
Variable Annuity Life Insurance Company American International Group insurance violation 2017 NY-DFS $25,000
Variable Annuity Life Insurance Company American International Group insurance violation 2021 NY-DFS $230,820
Victoria Fire & Casualty Co. Nationwide insurance violation 2003 IN-INS $5,000
Victoria Fire & Casualty Company Nationwide insurance violation 2011 WA-INS $5,000
VICTORIA FIRE & CASUALTY ET AL Nationwide insurance violation 2003 VA-INS $29,000
Victoria Fire & Casualty Insurance Company Nationwide insurance violation 2010 VA-INS $23,558
Victoria Fire & Casualty Insurance Company Nationwide insurance violation 2016 VA-INS $2,236,476
VICTORIA FIRE AND CASUALTY CO. Nationwide insurance violation 2014 VA-INS $72,400
VICTORIA FIRE AND CASUALTY INSURANCE Nationwide insurance violation 2009 VA-INS $7,500
Virginia Surety Company Inc Assurant insurance violation 2010 WA-INS $12,000
Virginia Surety Company Inc. Assurant insurance violation 2010 NH-INS $20,000
Virginia Surety Company Inc. Assurant insurance violation 2011 TX-INS $200,000
Virginia Surety Company Inc. Assurant insurance violation 2013 MULTI-FIN $200,000
Virginia Surety Company, Inc. Assurant insurance violation 2015 NY-DFS $10,000
Virginia Surety Company, Inc. Assurant insurance violation 2007 OR-FIN $6,100
Virginia Surety Company, Inc. Assurant insurance violation 2008 OR-FIN $25,000
Virginia Surety Company, Inc. Assurant insurance violation 2009 OR-FIN $10,000
Virginia Surety Company, Inc. Assurant insurance violation 2008 TX-INS $7,000
Virtu Americas LLC Virtu Financial investor protection violation 2019 SEC $1,500,000
Visa Inc. Visa consumer protection violation 2018 NM-AG $2,270,000
Visa USA Inc. Visa price-fixing or anti-competitive practices 2008 WV-AG $6,400,000
Vitol Vitol environmental violation 2007 CA-ARB $150,000
Vitol Vitol environmental violation 2005 CA-ARB $20,000
Vitol Vitol environmental violation 2017 EPA $35,000
Vitol Inc. Vitol energy market violation 2019 FERC $2,742,881
Vitol Inc. Vitol fraud 2020 CFTC (*) $95,700,000
Vitol Inc. Vitol Foreign Corrupt Practices Act 2020 DOJ_CRIMINAL $135,000,000
Vitol Inc. Vitol environmental violation 2014 EPA $30,394
Vitol Inc. Vitol environmental violation 2016 EPA $9,814
Vitol Inc. and Vitol Capital Management Ltd. Vitol investor protection violation 2010 CFTC $6,000,000
Vitol S.A. Vitol environmental violation 2002 CA-ARB $25,000
Vitol S.A., Inc. Vitol environmental violation 2005 EPA $41,600
VITOL SA, INC Vitol environmental violation 2002 EPA $95,000
Vitol, Inc. Vitol employment discrimination 2012 EEOC $62,500
Vitol, Inc. Vitol environmental violation 2014 CA-ARB $70,000
Vitol, Inc. Vitol environmental violation 2015 EPA $14,047
Vitol, Inc. Vitol environmental violation 2016 EPA $17,934
VITOL, S.A. Vitol kickbacks and bribery 2007 NY-MANDA $17,500,000
Voya Financial Advisors Inc. Voya Financial investor protection violation 2018 SEC $1,000,000
VOYA Financial Advisors Inc. Voya Financial investor protection violation 2016 FINRA $4,550,000
Voya Financial Advisors, Inc. Voya Financial investor protection violation 2017 SEC $3,095,953
Voya Financial Advisors, Inc. Voya Financial investor protection violation 2020 SEC $22,919,155
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial investor protection violation 2019 CT-SEC $1,015,000
Voya Holdings Inc. Voya Financial investor protection violation 2018 SEC $3,600,000
Voya Insurance and Annuity Co. et al. Voya Financial insurance violation 2014 MN-FIN $1,250,000
W. R. BERKLEY CORPORATION W.R. Berkley workplace safety or health violation 2017 OSHA $5,000
W.R. Berkley Corp. W.R. Berkley insurance violation 2017 CA-INS $3,015,000
Wachovia Wells Fargo toxic securities abuses 2015 NCUA $53,000,000
Wachovia Bank Wells Fargo anti-money-laundering deficiencies 2010 FINCEN $110,000,000
Wachovia Bank Wells Fargo economic sanction violation 2007 OFAC $11,000
Wachovia Bank Wells Fargo economic sanction violation 2005 OFAC $5,500
Wachovia Bank Wells Fargo economic sanction violation 2004 OFAC $11,000
Wachovia Bank Wells Fargo wage and hour violation 2004 WHD $5,798,744
Wachovia Bank N.A. Wells Fargo price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $148,000,000
Wachovia Bank N.A. Wells Fargo banking violation 2010 OCC $50,000,000
Wachovia Bank N.A. Wells Fargo anti-money-laundering deficiencies 2010 USAO $50,000,000
Wachovia Bank N.A. Wells Fargo price-fixing or anti-competitive practices 2011 MULTI-AG (*) $58,750,000
Wachovia Bank, National Association Wells Fargo banking violation 2008 OCC $168,900,000
Wachovia Capital Markets LLC Wells Fargo investor protection violation 2006 MULTI-AG $25,000,000
Wachovia Capital Markets LLC Wells Fargo investor protection violation 2007 MULTI-FIN $24,650,000
Wachovia Capital Markets, LLC Wells Fargo investor protection violation 2006 SEC $125,000
Wachovia Capital Markets, LLC Wells Fargo investor protection violation 2007 MD-AG $402,386
Wachovia Capital Markets, LLC Wells Fargo investor protection violation 2007 CT-SEC $258,728
Wachovia Capital Markets, LLC Wells Fargo investor protection violation 2007 FINRA $300,000
Wachovia Corporation Wells Fargo investor protection violation 2004 SEC $37,000,000
Wachovia Corporation Wells Fargo benefit plan administrator violation 2011 private lawsuit-federal $12,350,000
Wachovia Financial Services Wells Fargo wage and hour violation 2010 private lawsuit-federal $450,000
Wachovia National Bank, N.A. Wells Fargo benefit plan administrator violation 2000 EBSA $30,000,000
Wachovia Securities Wells Fargo wage and hour violation 2009 private lawsuit-federal $39,000,000
Wachovia Securities Wells Fargo benefit plan administrator violation 2009 private lawsuit-federal $1,005,000
Wachovia Securities Wells Fargo investor protection violation 2008 MULTI-AG $60,000,000
Wachovia Securities Wells Fargo investor protection violation 2009 FINRA $4,500,000
Wachovia Securities LLC Wells Fargo investor protection violation 2007 ND-SEC $75,000
Wachovia Securities LLC Wells Fargo investor protection violation 2008 MULTI-FIN (*) $50,000,000
Wachovia Securities LLC Wells Fargo investor protection violation 2007 FINRA $2,000,000
Wachovia Securities LLC Wells Fargo investor protection violation 2004 FINRA $650,000
Wachovia Securities, LLC Wells Fargo investor protection violation 2004 SEC $4,844,465
Wachovia Securities, LLC Wells Fargo investor protection violation 2009 DE-AG $309,000
Wachovia Securities, LLC Wells Fargo investor protection violation 2011 NJ-AG $3,200,000
Wachovia Securities, LLC Wells Fargo investor protection violation 2010 AK-DBS $129,131
Wachovia Securities, LLC Wells Fargo investor protection violation 2008 MD-SEC $50,000
Wachovia Securities, LLC Wells Fargo investor protection violation 2009 FINRA $1,400,000
Wachovia Securities, LLC and First Clearing, LLC Wells Fargo investor protection violation 2009 FINRA $1,100,000
Wachovia Securities, LLC nka Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2010 CT-SEC $75,000
Wachovia Securities, LLC. Wells Fargo investor protection violation 2004 FINRA $39,486
Waddell & Reed Inc. Macquarie investor protection violation 2008 OK-SEC $10,000
Waddell & Reed, Inc. Macquarie investor protection violation 2006 SEC $50,000,000
Waddell & Reed, Inc. Macquarie investor protection violation 2006 NY-AG (*) $75,000,000
Waddell & Reed, Inc. Macquarie investor protection violation 2003 FL-OFR $8,800
Waddell & Reed, Inc. Macquarie investor protection violation 2006 MO-SEC $172,161
Waddell & Reed, Inc. Macquarie investor protection violation 2005 MT-SEC $25,000
Waddell & Reed, Inc. Macquarie investor protection violation 2016 NH-BSR $900,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)