Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$317,365,608,806
Number of Records: 
2,878
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$82,630,515,262182
JPMorgan Chase$34,512,629,073139
Citigroup$24,998,997,07298
Wells Fargo$21,102,241,886148
Deutsche Bank$17,970,400,77851
UBS$16,756,803,33165
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98738
Credit Suisse$10,394,957,62629
BNP Paribas$9,892,332,95016


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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Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
Wells Fargo Bank Wells Fargo banking violation 2016 OCC $35,000,000
H&R Block H&R Block wage and hour violation 2012 private lawsuit-federal $35,000,000
Marsh & McLennan Companies, Inc. Marsh & McLennan benefit plan administrator violation 2010 private lawsuit-federal $35,000,000
Barclays Capital Inc. Barclays investor protection violation 2016 NY-AG $35,000,000
UBS Financial Services, Inc. and UBS Securities LLC UBS toxic securities abuses 2008 MA-AG $35,000,000
AIG American International Group insurance violation 2014 NY-DFS $35,000,000
Wells Fargo & Company Wells Fargo wage and hour violation 2020 private lawsuit-federal $35,000,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network Wells Fargo investor protection violation 2020 SEC $35,000,000
WEX Bank and Higher One, Inc. WEX Inc. banking violation 2015 FDIC $34,980,000
Wells Fargo Wells Fargo consumer protection violation 2015 CFPB $34,800,000
Wells Fargo Bank, National Association Wells Fargo banking violation 2011 OCC $34,500,000
Legg Mason Inc. Legg Mason Foreign Corrupt Practices Act 2018 SEC $34,500,000
Wells Fargo Wells Fargo mortgage abuses 2010 CA-AG $33,868,615
Navient Solutions, Inc. Navient banking violation 2014 FDIC $33,300,000
Woodforest National Bank Woodforest National Bank banking violation 2010 OCC $33,000,000
Royal Bank of Scotland PLC Royal Bank of Scotland economic sanction violation 2013 OFAC $33,000,000
Bank of America Corporation Bank of America investor protection violation 2009 SEC $33,000,000
Robertson Stephens Inc. Bank of America investor protection violation 2003 SEC $33,000,000
Smith Barney Morgan Stanley employment discrimination 2008 private lawsuit-federal $33,000,000
ING Voya Financial investor protection violation 2006 MULTI-AG $33,000,000
Hudson City Savings Bank M&T Bank banking violation 2015 CFPB $32,750,000
Prudential Financial Inc. Prudential Financial investor protection violation 2019 SEC $32,600,000
Evergreen Investment Management Company Wells Fargo investor protection violation 2007 SEC $32,500,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray investor protection violation 2003 SEC $32,500,000
HSBC Bank USA, National Association HSBC banking violation 2017 OCC $32,500,000
MetLife Securities MetLife employment discrimination 2017 private lawsuit-federal $32,500,000
State Street Corporation State Street Corp. fraud 2017 DOJ_CRIMINAL $32,300,000
First National Bank of Omaha First National of Nebraska consumer protection violation 2016 CFPB $32,250,000
Wells Fargo Advisors Wells Fargo employment discrimination 2011 private lawsuit-federal $32,000,000
Lehman Brothers, Inc. Lehman Brothers investor protection violation 2014 WA-AG $31,300,000
Deutsche Bank (Suisse) SA Deutsche Bank tax violations 2015 DOJ_TAX $31,026,000
American Express Financial Advisors Ameriprise Financial employment discrimination 2002 private lawsuit-federal $31,000,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2010 MULTI-AG $31,000,000
Massachusetts Mutual Life Insurance Co. Massachusetts Mutual Life Insurance benefit plan administrator violation 2016 private lawsuit-federal $30,900,000
RBC Capital Markets LLC Royal Bank of Canada investor protection violation 2011 SEC $30,400,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2015 OCC $30,000,000
Bank of America, National Association Bank of America banking violation 2015 OCC $30,000,000
Ameriprise Financial, Inc. Ameriprise Financial investor protection violation 2005 SEC $30,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2018 CFTC $30,000,000
Countrywide Financial Bank of America wage and hour violation 2005 private lawsuit-state $30,000,000
Wachovia National Bank, N.A. Wells Fargo benefit plan administrator violation 2000 EBSA $30,000,000
Bank of America, N.A. Bank of America interest rate benchmark manipulation 2018 CFTC $30,000,000
Liberty Mutual Retirement Benefit Plan Liberty Mutual Insurance benefit plan administrator violation 2018 private lawsuit-federal $30,000,000
Credit Suisse Securities Credit Suisse investor protection violation 2016 NY-AG $30,000,000
Citibank, N.A. Citigroup banking violation 2019 OCC $30,000,000
Natixis Funding Corp. Natixis price-fixing or anti-competitive practices 2016 MULTI-AG $29,950,000
Wilmington Trust N.A. M&T Bank benefit plan administrator violation 2017 private lawsuit-federal $29,773,250
Credit Suisse Group AG Credit Suisse Foreign Corrupt Practices Act 2018 SEC $29,700,000
Walter Investment Management Corp. Ditech Holding Corporation False Claims Act and related 2015 DOJ_CIVIL $29,630,000
CitiFinancial Servicing and CitiMortgage, Inc. Citigroup consumer protection violation 2017 CFPB $28,800,000
Navy Federal Credit Union Navy Federal Credit Union consumer protection violation 2016 CFPB $28,500,000
Option One Mortgage Corporation Ocwen Financial toxic securities abuses 2012 SEC $28,200,000
Morgan Stanley Mortgage Capital Holdings Morgan Stanley toxic securities abuses 2011 NV-AG $28,200,000
Bear Stearns Companies, LLC JPMorgan Chase mortgage abuses 2008 FTC $28,000,000
TCF National Bank TCF Financial Corp. consumer protection violation 2018 CFPB $28,000,000
Bank of New York Mellon Bank of New York Mellon investor protection violation 2013 FL-AG $28,000,000
PHH Mortgage Corporation Ocwen Financial mortgage abuses 2016 NY-DFS $28,000,000
Coutts & Co Ltd. Royal Bank of Scotland tax violations 2019 DOJ_TAX $27,900,000
Wells Fargo Wells Fargo wage and hour violation 2018 private lawsuit-state $27,500,000
National City Mortgage PNC Financial Services wage and hour violation 2008 private lawsuit-federal $27,500,000
Ameriprise Financial, Inc. Ameriprise Financial benefit plan administrator violation 2015 private lawsuit-federal $27,500,000
Chemoil Corporation Glencore environmental violation 2016 EPA $27,000,000
Banco Bilbao Vizcaya Argentaria, S.A. Banco Bilbao Vizcaya Argentaria banking violation 2016 FED $27,000,000
Arthur J. Gallagher & Co. Arthur J. Gallagher & Co. consumer protection violation 2005 IL-AG $27,000,000
CHEMOIL CORPORATION Glencore environmental violation 2016 EPA (*) $27,000,000
HSBC Securities HSBC mortgage abuses 2018 MA-AG $26,800,000
Societe Generale Societe Generale price-fixing or anti-competitive practices 2016 MULTI-AG $26,750,000
UBS Financial Services Inc. of Puerto Rico UBS investor protection violation 2012 SEC $26,600,000
Nomura Securities International Inc. Nomura investor protection violation 2019 SEC $26,400,000
PaineWebber Incorporated UBS investor protection violation 2000 SEC $26,200,000
Banc of America Securities LLC Bank of America fraud 2007 SEC $26,000,000
PayPal Inc. PayPal Holdings consumer protection violation 2015 CFPB $25,000,000
Bank of America, National Association Bank of America banking violation 2014 OCC $25,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2006 DOJ_CRIMINAL $25,000,000
Riggs Bank National Association PNC Financial Services anti-money-laundering deficiencies 2004 OCC $25,000,000
ICAP plc ICAP investor protection violation 2009 SEC $25,000,000
Zurich Financial Services Zurich Insurance accounting fraud or deficiencies 2008 SEC $25,000,000
The BISYS Group Citigroup accounting fraud or deficiencies 2007 SEC $25,000,000
Doral Financial Corporation Doral Financial accounting fraud or deficiencies 2006 SEC $25,000,000
J.P. Morgan Securities Inc. JPMorgan Chase investor protection violation 2003 SEC $25,000,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2017 CFTC $25,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America benefit plan administrator violation 2017 private lawsuit-federal $25,000,000
Citibank, N.A. Citigroup banking violation 2019 OCC $25,000,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2010 FL-AG $25,000,000
MBIA, Inc. MBIA investor protection violation 2007 NY-AG $25,000,000
Merrill Lynch Commodities Inc. Bank of America price-fixing or anti-competitive practices 2019 DOJ_CRIMINAL $25,000,000
Wachovia Capital Markets LLC Wells Fargo investor protection violation 2006 MULTI-AG $25,000,000
Citigroup, Inc. Citigroup accounting fraud or deficiencies 2003 NY-MANDA $25,000,000
J.P. Morgan Chase & Co. JPMorgan Chase accounting fraud or deficiencies 2003 NY-MANDA $25,000,000
Merrill Lynch Commodities, Inc. Bank of America investor protection violation 2019 CFTC (*) $24,900,000
UBS Financial Services Inc. UBS investor protection violation 2006 NJ-AG $24,750,000
Western Sky Financial, LLC and CashCall, Inc. CashCall Inc. consumer protection violation 2015 MI-AG $24,700,000
Stifel, Nicolaus & Co., Inc. Stifel Financial investor protection violation 2016 SEC $24,500,000
American International Group, Inc. American International Group benefit plan administrator violation 2008 private lawsuit-federal $24,200,000
BNY Mellon Securities LLC Bank of New York Mellon investor protection violation 2011 SEC $24,045,447
JPMorgan Chase JPMorgan Chase employment discrimination 2018 private lawsuit-federal $24,000,000
BB&T Corporation Truist Financial benefit plan administrator violation 2019 private lawsuit-federal $24,000,000
Hartford Life Insurance Company Hartford Financial Services insurance violation 2012 NY-DFS $24,000,000
Wells Fargo Wells Fargo consumer protection violation 2010 MULTI-AG $23,700,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2017 NY-AG $23,500,000
UBS Financial Services, Inc. UBS investor protection violation 2007 NY-AG $23,300,000
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