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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
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$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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 Year Agency Penalty Amountsort icon
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
U.S. Bank National Association U.S. Bancorp mortgage abuses 2020 DOJ_UTP $29,000,000
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
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
Bank of Louisville Truist Financial investor protection violation 2002 KY-INS $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
Merrill Lynch Bank of America investor protection violation 2010 MULTI-FIN $26,563,094
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
LPL Financial LLC LPL Financial investor protection violation 2018 MULTI-FIN $26,000,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America investor protection violation 2012 IL-SEC $25,930,000
LPL Financial LLC LPL Financial investor protection violation 2019 MULTI-AG $25,848,000
Wells Fargo Bank, N.A. Wells Fargo wage and hour violation 2020 private lawsuit-federal $25,696,122
Prudential Insurance Company of America Prudential Financial insurance violation 2001 NJ-DBI $25,100,000
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
Bear, Stearns & Co. Inc. JPMorgan Chase investor protection violation 2003 MULTI-FIN (*) $25,000,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2003 MULTI-FIN (*) $25,000,000
J.P. Morgan Securities Inc. JPMorgan Chase investor protection violation 2003 MULTI-FIN (*) $25,000,000
JPMorgan Chase & Co. JPMorgan Chase investor protection violation 2008 MULTI-FIN (*) $25,000,000
Lehman Brothers Inc. Lehman Brothers investor protection violation 2003 MULTI-FIN (*) $25,000,000
Morgan Stanley & Co. Morgan Stanley investor protection violation 2003 MULTI-FIN (*) $25,000,000
UBS Warburg and UBS PaineWebber UBS investor protection violation 2003 MULTI-FIN (*) $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
Wachovia Capital Markets LLC Wells Fargo investor protection violation 2007 MULTI-FIN $24,650,000
Stifel, Nicolaus & Co., Inc. Stifel Financial investor protection violation 2016 SEC $24,500,000
John Hancock Life Insurance Company Manulife Financial discriminatory practices (non-employment) 2009 private lawsuit-federal $24,400,000
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
TIAA-CREF TIAA benefit plan administrator violation 2014 private lawsuit-federal $22,800,000
Regions Financial Corp. Regions Financial benefit plan administrator violation 2014 private lawsuit-federal $22,500,000
Morgan Stanley Morgan Stanley toxic securities abuses 2016 IL-AG $22,500,000
Goldman Sachs Goldman Sachs investor protection violation 2008 MULTI-FIN (*) $22,500,000
Citigroup Inc. Citigroup banking violation 2012 FED $22,000,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2012 SEC $22,000,000
Bank of America Bank of America wage and hour violation 2001 private lawsuit-state $22,000,000
Santander Consumer USA Holdings Inc. Banco Santander consumer protection violation 2017 MA-AG $22,000,000
Deutsche Bank Americas Holding Corp. Deutsche Bank benefit plan administrator violation 2019 private lawsuit-federal $21,900,000
World Acceptance Corporation World Acceptance Corporation Foreign Corrupt Practices Act 2020 SEC $21,700,000
Banco Popular de Puerto Rico Popular Inc. anti-money-laundering deficiencies 2003 DOJ_CRIMINAL $21,600,000
Fifth Third Bank Fifth Third Bancorp consumer protection violation 2015 CFPB $21,500,000
QBE Holdings Inc. QBE Insurance insurance violation 2017 MULTI-FIN $21,164,000
SunTrust Mortgage Inc. Truist Financial banking violation 2012 DOJ_RIGHTS $21,000,000
Merrill Lynch Bank of America wage and hour violation 2013 private lawsuit-federal $21,000,000
Edward D. Jones & Co. Jones Financial wage and hour violation 2008 private lawsuit-federal $21,000,000
Western Asset Management Company Franklin Resources benefit plan administrator violation 2014 EBSA $21,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)