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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Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
AXA Advisors LLC AXA investor protection violation 2011 OR-FIN $80,000
AXA Advisors, LLC AXA investor protection violation 2012 SEC $100,000
AXA Advisors, LLC AXA investor protection violation 2009 SEC $50,000
AXA Advisors, LLC AXA investor protection violation 2019 SEC $1,134,152
AXA Advisors, LLC AXA investor protection violation 2010 MO-SEC $92,015
AXA Art Insurance Corporation AXA insurance violation 2015 NY-DFS $70,000
AXA Art Insurance Corporation AXA insurance violation 2012 SC-INS $8,000
AXA Equitable AXA insurance violation 2014 NY-DFS $20,000,000
AXA Equitable Life & Annuity Co. AXA insurance violation 2016 MT-INS $5,000
AXA Equitable Life Insurance Co. AXA insurance violation 2018 DE-INS $5,000
AXA Equitable Life Insurance Co. AXA insurance violation 2016 MN-FIN $5,000
AXA Equitable Life Insurance Co. et al. AXA insurance violation 2016 MN-FIN $900,000
AXA Equitable Life Insurance Company AXA wage and hour violation 2006 WHD $29,534
AXA Equitable Life Insurance Company AXA benefit plan administrator violation 2011 private lawsuit-federal $2,500,000
AXA Equitable Life Insurance Company AXA insurance violation 2012 NY-AG $850,000
AXA Equitable Life Insurance Company AXA insurance violation 2010 NY-DFS $1,900,000
AXA Financial AXA wage and hour violation 2009 private lawsuit-federal $6,500,000
Axa Insurance Co. AXA insurance violation 2019 LA-INS $6,000
AXA Insurance Company AXA insurance violation 2007 SC-INS $8,000
Axa Re Property and Casualty Insurance Co. AXA insurance violation 2005 FL-OFR $15,000
AXA Rosenberg AXA investor protection violation 2011 SEC $242,000,000
Axa S.A. AXA insurance violation 2015 MULTI-AG $3,280,000
BAC Home Loans Servicing LP fka Countrywide Home Loans Servicing LP Bank of America mortgage abuses 2011 DOJ_CIVIL $20,000,000
Balli Aviation Ltd. Balli Group export control violation 2010 DOJ_NATSEC $2,000,000
Balli Aviation Ltd. and Balli Group PLC Balli Group export control violation 2010 BIS $15,000,000
Banamex USA Citigroup banking violation 2015 FDIC $140,000,000
Banamex USA Citigroup anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $97,440,000
Banc of America Capital Management LLC et al. Bank of America investor protection violation 2004 NY-AG (*) $375,000,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC Bank of America investor protection violation 2005 SEC $375,000,000
Banc of America Investment Services Bank of America employment discrimination 2009 private lawsuit-federal $7,200,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2008 SEC $9,763,634
Banc of America Investment Services, Inc. Bank of America investor protection violation 2009 SEC $150,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2006 IL-SEC $250,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2008 MD-SEC $10,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLC Bank of America investor protection violation 2005 SEC $1,500,000
Banc of America Securities LLC Bank of America fraud 2007 SEC $26,000,000
Banc of America Securities LLC Bank of America investor protection violation 2006 SEC $750,000
Banc of America Securities LLC Bank of America investor protection violation 2004 SEC $10,000,000
Banc of America Securities LLC Bank of America price-fixing or anti-competitive practices 2010 SEC $36,096,442
Banc of America Securities LLC Bank of America investor protection violation 2008 MULTI-AG $4,550,000,000
Banc of America Securities LLC Bank of America investor protection violation 2010 NJ-AG $1,268,393
Banc One Investment Advisors Corporation JPMorgan Chase investor protection violation 2004 SEC $50,000,000
Banc One Investment Advisors Corporation JPMorgan Chase investor protection violation 2004 NY-AG (*) $90,000,000
Banca IMI Securities Corp. Intesa Sanpaolo investor protection violation 2017 SEC $35,300,000
Banca IMI Securities Corp. Intesa Sanpaolo price-fixing or anti-competitive practices 2019 DOJ_ANTITRUST $2,000,000
BancFirst Insurance Services, Inc. BancFirst wage and hour violation 2014 WHD $20,229
Banco Bilbao Vizcaya Argentaria, S.A. Banco Bilbao Vizcaya Argentaria banking violation 2016 FED $27,000,000
Banco Bilbao Vizcaya Puerto Rico Banco Bilbao Vizcaya Argentaria wage and hour violation 2006 WHD $31,571
BANCO ESPIRITO SANTO S. A. Banco Espirito Santo banking violation 2012 FED $975,000
Banco Espirito Santo S.A. Banco Espirito Santo investor protection violation 2011 SEC $7,000,000
Banco Espirito Santo S.A. Banco Espirito Santo investor protection violation 2011 NY-AG $975,000
Banco Espirito Santo, S.A. Banco Espirito Santo investor protection violation 2011 NJ-AG $1,900,000
Banco Popular Popular Inc. wage and hour violation 2016 private lawsuit-federal $50,243
Banco Popular Popular Inc. wage and hour violation 2009 private lawsuit-federal $1,050,000
Banco Popular de Puerto Rico Popular Inc. anti-money-laundering deficiencies 2003 DOJ_CRIMINAL $21,600,000
Banco Popular North America, Inc. Popular Inc. wage and hour violation 2004 WHD $17,363
BancorpSouth Bank BancorpSouth mortgage abuses 2016 CFPB $10,600,000
BANCORPSOUTH BANK BancorpSouth banking violation 2011 FDIC $46,500
Bank Hapoalim B.M, Bank Hapoalim tax violations 2020 FED $37,350,000
Bank Hapoalim B.M. Bank Hapoalim anti-money-laundering deficiencies 2020 DOJ_CRIMINAL $30,063,317
Bank Hapoalim B.M. Bank Hapoalim tax violations 2020 NY-DFS $220,000,000
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd. Bank Hapoalim tax violations 2020 DOJ_TAX $616,910,000
Bank Julius Baer & Co. Ltd. Julius Baer Group tax violations 2016 DOJ_TAX $547,000,000
Bank Leumi Bank Leumi investor protection violation 2016 SEC $1,600,000
Bank Leumi Bank Leumi tax violations 2014 NY-DFS $130,000,000
Bank Leumi Group Bank Leumi tax violations 2014 DOJ_TAX $270,000,000
Bank of America Bank of America price-fixing or anti-competitive practices 2010 DOJ_ANTITRUST $137,300,000
Bank of America Bank of America banking violation 2013 OCC $2,886,578,478
Bank of America Bank of America investor protection violation 2010 SEC $150,000,000
Bank of America Bank of America toxic securities abuses 2013 FHFA $404,000,000
Bank of America Bank of America toxic securities abuses 2011 FHFA $1,300,000,000
Bank of America Bank of America toxic securities abuses 2011 FHFA $1,520,000,000
Bank of America Bank of America toxic securities abuses 2013 FHFA $10,350,000,000
Bank of America Bank of America toxic securities abuses 2013 NCUA $165,000,000
Bank of America Bank of America economic sanction violation 2004 OFAC $13,573
Bank of America Bank of America economic sanction violation 2003 OFAC $158,038
Bank of America Bank of America discriminatory practices (non-employment) 2013 HUD $45,000
Bank of America Bank of America discriminatory practices (non-employment) 2013 HUD $22,449
Bank of America Bank of America discriminatory practices (non-employment) 2013 HUD $7,500
Bank of America Bank of America discriminatory practices (non-employment) 2012 HUD $161,180
Bank of America Bank of America employment discrimination 2014 EEOC $110,000
Bank of America Bank of America employment discrimination 2016 EEOC $30,000
Bank of America Bank of America Family and Medical Leave Act 2008 WHD $6,500
Bank of America Bank of America wage and hour violation 2008 WHD $6,209
Bank of America Bank of America wage and hour violation 2005 WHD $12,824
Bank of America Bank of America employment discrimination 2017 OFCCP $1,000,000
Bank of America Bank of America investor protection violation 2017 USAO $2,500,000
Bank of America Bank of America export control violation 2017 BIS $44,625
Bank of America Bank of America Family and Medical Leave Act 2017 WHD $14,528
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $6,000,000
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $7,000,000
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $1,900,000
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $6,600,000
Bank of America Bank of America wage and hour violation 2016 private lawsuit-state $4,000,000
Bank of America Bank of America wage and hour violation 2016 private lawsuit-federal $3,250,000
Bank of America Bank of America wage and hour violation 2016 private lawsuit-federal $36,000,000
Bank of America Bank of America wage and hour violation 2016 private lawsuit-federal $2,250,000
Bank of America Bank of America wage and hour violation 2015 private lawsuit-federal $9,000,000
Bank of America Bank of America wage and hour violation 2013 private lawsuit-federal $73,000,000
Bank of America Bank of America wage and hour violation 2010 private lawsuit-state $16,650,000
Bank of America Bank of America wage and hour violation 2010 private lawsuit-federal $661,392
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