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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
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
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
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
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 Legg Mason benefit plan administrator violation 2014 EBSA $21,000,000
Bank of America Corp Bank of America benefit plan administrator violation 2011 private lawsuit-federal $21,000,000
Citigroup Citigroup toxic securities abuses 2011 NCUA $20,500,000
Jackson National Life Insurance Company Prudential (UK) employment discrimination 2020 EEOC $20,500,000
UniCredit Bank Austria AG UniCredit economic sanction violation 2019 OFAC (*) $20,326,340
Oppenheimer & Co., Inc. Oppenheimer Holdings anti-money-laundering deficiencies 2015 FINCEN $20,000,000
BAC Home Loans Servicing LP fka Countrywide Home Loans Servicing LP Bank of America mortgage abuses 2011 DOJ_CIVIL $20,000,000
Edward D. Jones & Co. LP Jones Financial investor protection violation 2015 SEC $20,000,000
JPMorgan Chase Bank JPMorgan Chase accounting fraud or deficiencies 2012 CFTC $20,000,000
Guggenheim Partners Investment Management LLC Guggenheim Partners investor protection violation 2015 SEC $20,000,000
New York Stock Exchange, Inc. IntercontinentalExchange Group investor protection violation 2005 SEC $20,000,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2005 SEC $20,000,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. Franklin Resources investor protection violation 2004 SEC $20,000,000
Wells Fargo Bank, National Association Wells Fargo Servicemembers Civil Relief Act 2016 OCC $20,000,000
Bank of America Corporation Bank of America investor protection violation 2014 SEC $20,000,000
Wells Fargo Wells Fargo wage and hour violation 2010 private lawsuit-federal $20,000,000
A.G. Edwards Wells Fargo wage and hour violation 2007 private lawsuit-federal $20,000,000
Washington Mutual Pension Plan JPMorgan Chase benefit plan administrator violation 2010 private lawsuit-federal $20,000,000
Citigroup Citigroup toxic securities abuses 2008 MA-AG $20,000,000
OppenheimerFunds Inc. Invesco investor protection violation 2009 OR-AG $20,000,000
Royal Bank of Scotland Royal Bank of Scotland toxic securities abuses 2018 IL-AG $20,000,000
The Hartford Financial Services Group Hartford Financial Services investor protection violation 2006 MULTI-AG $20,000,000
UniCredit Bank Austria AG UniCredit economic sanction violation 2019 NY-MANDA $20,000,000
AXA Equitable AXA insurance violation 2014 NY-DFS $20,000,000
ABN AMRO ABN AMRO economic sanction violation 2005 NY-DFS $20,000,000
John Hancock Investment Management Services, LLC Manulife Financial investor protection violation 2007 SEC $19,787,879
UBS AG UBS investor protection violation 2015 SEC $19,500,000
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America toxic securities abuses 2016 VA-AG $19,500,000
Western Asset Management Company Legg Mason investor protection violation 2014 SEC $19,400,000
Deutsche Investment Management Americas, Inc. et al. Deutsche Bank investor protection violation 2006 SEC $19,329,729
Nationwide Mutual Insurance Company Nationwide Fair Credit Reporting Act violation 2006 private lawsuit-federal $19,250,000
Cash America International Inc. FirstCash payday lending violation 2013 CFPB $19,000,000
Citigroup, Inc. Citigroup accounting fraud or deficiencies 2003 SEC $19,000,000
Edward D. Jones & Co. Jones Financial wage and hour violation 2008 private lawsuit-federal $19,000,000
Metropolitan Life Insurance Company MetLife consumer protection violation 2006 NY-AG $19,000,000
Citizens Bank, N.A. Citizens Financial Group consumer protection violation 2015 CFPB $18,500,000
Discover Bank Discover Financial Services consumer protection violation 2015 CFPB $18,500,000
Wilmington Trust M&T Bank accounting fraud or deficiencies 2014 SEC $18,500,000
Deutsche Bank Deutsche Bank investor protection violation 2016 SEC $18,500,000
Citigroup Global Markets Citigroup investor protection violation 2017 SEC $18,300,000
Allstate Life Insurance Company of New York Allstate insurance violation 2007 NY-DFS $18,250,000
Mellon Bank N.A. Bank of New York Mellon False Claims Act and related 2006 USAO $18,130,405
U.S. Bank National Association U.S. Bancorp investor protection violation 2015 CFTC $18,000,000
MoneyGram International, Inc. MoneyGram International consumer protection violation 2009 FTC $18,000,000
Coast National Insurance Zurich Insurance wage and hour violation 2002 private lawsuit-state $18,000,000
Allianz Dresdner Asset Management of America LP Allianz investor protection violation 2004 NJ-AG $18,000,000
Franklin/Templeton Distributors, Inc. Franklin Resources investor protection violation 2004 CA-AG $18,000,000
Citibank, N.A. Citigroup banking violation 2020 OCC $17,998,510
Societe Generale Private Banking (Suisse) SA Societe Generale tax violations 2015 DOJ_TAX $17,807,000
UBS Willow Management LLC and UBS Fund Advisor LLC UBS investor protection violation 2015 SEC $17,500,000
Wells Fargo & Company Wells Fargo benefit plan administrator violation 2011 private lawsuit-federal $17,500,000
United States Fidelity & Guaranty Travelers False Claims Act and related 2007 CT-AG $17,500,000
VITOL, S.A. Vitol kickbacks and bribery 2007 NY-MANDA $17,500,000
UnumProvident Corporation Unum consumer protection violation 2006 NY-AG $17,400,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2019 SEC $17,363,847
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2009 SEC $17,300,000
Countrywide Securities Corp. Bank of America mortgage abuses 2013 MA-AG $17,300,000
Wells Fargo Wells Fargo toxic securities abuses 2018 IL-AG $17,250,000
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. Deutsche Bank investor protection violation 2006 SEC $17,200,000
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2007 SEC $17,000,000
Chubb Chubb Limited price-fixing or anti-competitive practices 2006 MULTI-AG $17,000,000
Prudential Insurance Company of America Prudential Financial insurance violation 2012 MULTI-AG $17,000,000
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2018 NY-DFS $17,000,000
Zurich Capital Markets Inc. Zurich Insurance investor protection violation 2007 SEC $16,800,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2017 private lawsuit-federal $16,666,667
Bank of America Bank of America wage and hour violation 2010 private lawsuit-state $16,650,000
Bank of America N.A. Bank of America economic sanction violation 2014 OFAC $16,562,700
Mellon Bank, N.A. Bank of New York Mellon False Claims Act and related 2007 DOJ_CIVIL $16,500,000
Deutsche Bank AG Deutsche Bank Foreign Corrupt Practices Act 2019 SEC $16,178,850
Sovereign Bank N.A. Banco Santander banking violation 2013 OCC $16,086,180
Wells Fargo & Company Wells Fargo Americans with Disabilities Act 2011 DOJ_RIGHTS $16,055,000
Riggs Bank PNC Financial Services anti-money-laundering deficiencies 2005 USAO $16,000,000
PNC Bank PNC Financial Services wage and hour violation 2017 private lawsuit-federal $16,000,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2014 private lawsuit-federal $16,000,000
Gabelli Funds LLC Gamco Investors Inc. investor protection violation 2008 SEC $16,000,000
Morgan Stanley Morgan Stanley employment discrimination 2008 private lawsuit-federal $16,000,000
Citigroup Global Markets, Inc. Citigroup consumer protection violation 2014 NY-AG $16,000,000
Midland States Bancorp Midland States Bancorp discriminatory practices (non-employment) 2014 HUD $15,950,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2018 SEC $15,700,000
HSBC Bank HSBC wage and hour violation 2013 private lawsuit-federal $15,625,000
USAA Federal Savings Bank USAA consumer protection violation 2019 CFPB $15,500,000
CashCall, Inc. CashCall Inc. consumer protection violation 2017 VA-AG $15,335,000
UBS Financial Services UBS investor protection violation 2016 SEC $15,025,882
ACE Cash Express ACE Cash Express consumer protection violation 2014 CFPB $15,000,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2016 SEC $15,000,000
UBS Financial Services Inc. of Puerto Rico UBS investor protection violation 2015 SEC $15,000,000
Citigroup Global Markets Citigroup investor protection violation 2015 SEC $15,000,000
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