Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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 or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
Regions BankRegions FinancialFalse Claims Act and related2016DOJ_CIVIL$52,400,000
Lincoln Financial GroupLincoln Nationalinsurance violation2017NY-DFS$52,200,000
Encore Capital GroupEncore Capital Groupconsumer protection violation2015CFPB$52,000,000
Ally Financial Inc.Ally Financialtoxic securities abuses2016USAO$52,000,000
RBS Financial Products Inc.NatWest Group PLCtoxic securities abuses2011MA-AG$52,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2018private lawsuit-federal$52,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2014OCC$51,900,000
Industrial Bank of KoreaIndustrial Bank of Koreaanti-money-laundering deficiencies2020USAO$51,000,000
Credit SuisseUBStoxic securities abuses2016NCUA$50,300,000
Wachovia Bank N.A.Wells Fargobanking violation2010OCC$50,000,000
THE ROYAL BANK OF SCOTLAND GROUP PLCNatWest Group PLCbanking violation2013FED$50,000,000
JPMorgan Chase Bank N.A.JPMorgan Chasebankruptcy professional violation2015DOJ_UTP$50,000,000
UBS SecuritiesUBStoxic securities abuses2013SEC$50,000,000
Williams Power Company Inc.JPMorgan Chasedata submission deficiencies2006DOJ_CRIMINAL$50,000,000
Federal Home Loan Mortgage Corporation (Freddie Mac)Freddie Mac (Federal Home Loan Mortgage Corporation)investor protection violation2007SEC$50,000,000
MBIA Inc.MBIAaccounting fraud or deficiencies2007SEC$50,000,000
AIM Advisors, Inc. and AIM Distributors, Inc.Invescoinvestor protection violation2004SEC$50,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzinvestor protection violation2004SEC$50,000,000
Franklin Advisers, Inc.Franklin Resourcesinvestor protection violation2004SEC$50,000,000
Banc One Investment Advisors CorporationJPMorgan Chaseinvestor protection violation2004SEC$50,000,000
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2004SEC$50,000,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2003SEC$50,000,000
Societe Generale S.A.Societe Generaletoxic securities abuses2017USAO$50,000,000
Wachovia Bank N.A.Wells Fargoanti-money-laundering deficiencies2010USAO$50,000,000
Rabobank, National AssociationRabobankanti-money-laundering deficiencies2018OCC$50,000,000
Morgan StanleyMorgan Stanleywage and hour violation2009private lawsuit-federal$50,000,000
ICAP Capital Markets LLCCME Groupprice-fixing or anti-competitive practices2018CFTC$50,000,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2006SEC$50,000,000
Great American Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2009MN-AG$50,000,000
JPMorgan ChaseJPMorgan Chaseconsumer protection violation2015CA-AG$50,000,000
Willis Group Holdings Ltd.Willis Towers Watsonprice-fixing or anti-competitive practices2005NY-AG$50,000,000
Wells FargoWells Fargoconsumer protection violation2016CA-LACA$50,000,000
Royal Bank of ScotlandNatWest Group PLCeconomic sanction violation2013NY-DFS$50,000,000
MetLifeMetLifeinsurance violation2014NY-DFS$50,000,000
Goldman SachsGoldman Sachsinvestor protection violation2015NY-DFS$50,000,000
Bank of AmericaBank of Americainvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Wachovia Securities LLCWells Fargoinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$50,000,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2003FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Credit Suisse First Boston CorporationUBSinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Equitable Financial Life Insurance CompanyEquitable Holdingsinvestor protection violation2022SEC$50,000,000
Fifth Third BankFifth Third Bancorpprivacy violation2022private lawsuit-federal$50,000,000
Nomura SecuritiesNomurainvestor protection violation2022CFTC$50,000,000
Nomura Securities International, Inc.Nomurainvestor protection violation2022SEC$50,000,000
Bank of America N.A.Bank of Americaprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Morgan Stanley & Co. LLCMorgan Stanleyprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Royal Bank of Scotland PLCNatWest Group PLCprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Metropolitan Life Insurance Co.MetLifeconsumer protection violation2010private lawsuit-federal$50,000,000
Wells Fargo N.A.Wells Fargoconsumer protection violation2017private lawsuit-federal$50,000,000
American Express Co.American Expressconsumer protection violation2012private lawsuit-federal$49,500,000
Washington Mutual Inc.JPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$49,000,000
Deutsche Bank Securities Inc.Deutsche Bankprice-fixing or anti-competitive practices2021private lawsuit-federal$48,500,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2016OCC$48,000,000
Credit Suisse (Hong Kong) LimitedUBSForeign Corrupt Practices Act2018DOJ_CRIMINAL$47,029,916
Nelnet Inc.NelnetFalse Claims Act and related2010DOJ_CIVIL$47,000,000
Household InternationalHSBCbenefit plan administrator violation2004private lawsuit-federal$46,500,000
Regions BankRegions Financialbanking violation2014FED$46,000,000
American International Group, Inc.American International Groupinvestor protection violation2004SEC$46,000,000
Morgan StanleyMorgan Stanleyemployment discrimination2007private lawsuit-federal$46,000,000
Unum Life Insurance Company of AmericaUnumconsumer protection violation2016private lawsuit-federal$45,998,014
Spear, Leeds & Kellogg Specialists LLCGoldman Sachsinvestor protection violation2004SEC$45,272,478
CitibankCitigroupconsumer protection violation2016CFPB$45,000,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2000SEC$45,000,000
UBSUBSwage and hour violation2007private lawsuit-federal$45,000,000
Fred Alger Management, Inc.Alger Associatesinvestor protection violation2007NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $45,000,000
Merrill Lynch & Co.Bank of Americainvestor protection violation2013NJ-AG$45,000,000
PHH Mortgage Corp.Ocwen Financialmortgage abuses2018MULTI-AG$45,000,000
HSBC Holdings PLCHSBCprice-fixing or anti-competitive practices2018private lawsuit-federal$45,000,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2023CFTC$45,000,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2021private lawsuit-federal$45,000,000
U.S. Bank NAU.S. Bancorpconsumer protection violation2015private lawsuit-federal$44,500,000
Fireman's Fund Insurance CompanyAllianzFalse Claims Act and related2015DOJ_CIVIL$44,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2017USAO$44,000,000
UBSUBSwage and hour violation2007private lawsuit-federal$44,000,000
ConvergEx Group LLCToronto-Dominion Bankfraud2014DOJ_CRIMINAL$43,800,000
Merrill LynchBank of Americawage and hour violation2010private lawsuit-federal$43,500,000
National City Corp.PNC Financial Servicesbenefit plan administrator violation2010private lawsuit-federal$43,000,000
Deutsche Bank AGDeutsche BankForeign Corrupt Practices Act2021SEC$43,000,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinainvestor protection violation2019SEC$42,700,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2012private lawsuit-federal$42,600,000
Morgan StanleyMorgan Stanleywage and hour violation2006private lawsuit-federal$42,500,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2011private lawsuit-federal$42,000,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2018SEC$42,000,000
Bank of America Merrill LynchBank of Americainvestor protection violation2018NY-AG$42,000,000
RBS Financial ProductsNatWest Group PLCtoxic securities abuses2012NV-AG$42,000,000
Western Sky Financial, LLC, CashCall, Inc.CashCall Inc.consumer protection violation2017GA-AG$42,000,000
Citigroup Inc.Citigroupprice-fixing or anti-competitive practices2018private lawsuit-federal$42,000,000
HSBC Bank PLCHSBCprice-fixing or anti-competitive practices2022private lawsuit-federal$42,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2018private lawsuit-federal$41,920,374
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2022private lawsuit-federal$41,500,000
Mercury Insurance Co. and Mercury Casualty Co. and California Automobile Insurance Co.Mercury General Corporationinsurance violation2019CA-INS$41,188,505
Countrywide Financial CorporationBank of Americamortgage abuses2009WI-AG$41,100,000
ABN AMRO Mortgage GroupABN AMROmortgage abuses2006HUD$41,000,000
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2017FED$41,000,000
State Farm Mutual Insurance CompanyState Farm Insuranceconsumer protection violation2005MULTI-AG$41,000,000
Putnam Investment Management, LLCFranklin Resourcesinvestor protection violation2005SEC$40,000,001
ABN AMRO Bank, N.V.ABN AMROeconomic sanction violation2006OFAC$40,000,000
Evergreen Investment Management Company LLCWells Fargoinvestor protection violation2009SEC$40,000,000
Fred Alger Management, Inc.Alger Associatesinvestor protection violation2007SEC$40,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.