Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$325,206,110,617
Number of Records: 
5,976
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$82,700,046,034213
JPMorgan Chase$34,530,243,993154
Citigroup$25,045,655,764120
Wells Fargo$21,199,943,231179
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,582,95017
Credit Suisse$10,409,957,62631


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
Wachovia Securities Wells Fargo wage and hour violation 2009 private lawsuit-federal $39,000,000
National Union Fire Insurance Company of Pittsburgh, PA American International Group insurance violation 2012 MULTI-FIN $39,000,000
Citibank N.A. Citigroup investor protection violation 2018 SEC $38,700,000
Paymap Inc. Western Union consumer protection violation 2015 CFPB $38,400,000
Merrill Lynch Bank of America employment discrimination 2013 private lawsuit-federal $38,225,000
The Bank of New York Bank of New York Mellon anti-money-laundering deficiencies 2005 USAO $38,000,000
Washington Mutual Bank JPMorgan Chase wage and hour violation 2009 private lawsuit-federal $38,000,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. Bank of Montreal investor protection violation 2019 SEC $37,980,000
Flagstar Bank Flagstar Bancorp consumer protection violation 2014 CFPB $37,500,000
TD Bank, National Association Toronto-Dominion Bank banking violation 2013 OCC $37,500,000
Northern Trust Northern Trust benefit plan administrator violation 2006 private lawsuit-federal $37,500,000
Zurich American Insurance Company et al. Zurich Insurance False Claims Act and related 2010 NY-AG $37,500,000
Bank Hapoalim B.M, Bank Hapoalim tax violations 2020 FED $37,350,000
UniCredit S.p.A. UniCredit economic sanction violation 2019 OFAC (*) $37,316,322
Everbank TIAA banking violation 2013 OCC $37,000,000
Wachovia Corporation Wells Fargo investor protection violation 2004 SEC $37,000,000
Merrill Lynch Bank of America wage and hour violation 2006 private lawsuit-federal $37,000,000
Deutsche Bank Securities, Inc. Deutsche Bank investor protection violation 2016 NY-AG (*) $37,000,000
Monumental Life Insurance Company Aegon insurance violation 2003 MULTI-FIN $37,000,000
Goldman Sachs Group Goldman Sachs banking violation 2016 FED $36,300,000
Barclays Bank PLC Barclays toxic securities abuses 2013 MA-AG $36,100,000
Banc of America Securities LLC Bank of America price-fixing or anti-competitive practices 2010 SEC $36,096,442
Bank of America Bank of America wage and hour violation 2016 private lawsuit-federal $36,000,000
Northern Trust Investments, N.A. Northern Trust benefit plan administrator violation 2015 private lawsuit-federal $36,000,000
Bank of America Bank of America False Claims Act and related 2001 AK-AG $35,600,000
Wells Fargo Advisors Wells Fargo employment discrimination 2017 private lawsuit-federal $35,500,000
State Street Bank and Trust Company State Street Corp. investor protection violation 2017 SEC $35,300,000
Banca IMI Securities Corp. Intesa Sanpaolo investor protection violation 2017 SEC $35,300,000
National City Bank and its successor PNC Bank PNC Financial Services banking violation 2013 CFPB $35,000,000
HSBC Bank USA, National Association HSBC banking violation 2016 OCC $35,000,000
Citibank, N.A. Citigroup banking violation 2015 OCC $35,000,000
Capital One Bank (USA), National Association Capital One Financial banking violation 2012 OCC $35,000,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2011 OCC $35,000,000
Lender Processing Services Inc. Fidelity National Financial mortgage abuses 2013 DOJ_CRIMINAL $35,000,000
Barclays Capital Inc. Barclays investor protection violation 2016 SEC $35,000,000
OppenheimerFunds Inc. Invesco investor protection violation 2012 SEC $35,000,000
Royal Bank of Canada Royal Bank of Canada investor protection violation 2014 CFTC $35,000,000
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
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
AIG American International Group insurance violation 2014 NY-DFS $35,000,000
Industrial Bank of Korea Industrial Bank of Korea anti-money-laundering deficiencies 2020 NY-DFS $35,000,000
Morgan Stanley Morgan Stanley investor protection violation 2008 MULTI-FIN (*) $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. Franklin Resources Foreign Corrupt Practices Act 2018 SEC $34,500,000
Allstate Insurance Co. Allstate insurance violation 2005 CA-INS $34,000,000
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
Horizon Healthcare Services, Inc. Horizon Healthcare Services benefit plan administrator violation 2016 private lawsuit-federal $33,000,000
ING Voya Financial investor protection violation 2006 MULTI-AG $33,000,000
Unitrin Inc. Kemper insurance violation 2002 MULTI-FIN $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
Bank Hapoalim B.M. Bank Hapoalim anti-money-laundering deficiencies 2020 DOJ_CRIMINAL $30,063,317
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
Citigroup Global Markets Inc. Citigroup investor protection violation 2013 MA-SEC $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
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2005 MULTI-FIN (*) $28,750,000
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
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