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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.

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CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
Fred Alger Management, Inc.Alger Associatesinvestor protection violation2007SEC$40,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2005SEC$40,000,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2005SEC$40,000,000
AmSouth BancorporationRegions Financialfraud2004USAO$40,000,000
American International Group, Inc.American International Groupbenefit plan administrator violation2015private lawsuit-federal$40,000,000
MetLifeMetLifeinsurance violation2012MULTI-AG$40,000,000
Nationwide InsuranceNationwideconsumer protection violation2008MS-AG$40,000,000
SunTrust Mortgage Inc.Truist Financialmortgage abuses2014MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $40,000,000
Standard Chartered BankStandard Charteredprice-fixing or anti-competitive practices2019NY-DFS$40,000,000
Nationstar Mortgage, LLCMr. Cooper Groupmortgage abuses2020DOJ_UTP$40,000,000
Prudential Insurance Company of AmericaPrudential Financialconsumer protection violation2014private lawsuit-federal$40,000,000
Wells Fargo Merchant Services LLCWells Fargoconsumer protection violation2021private lawsuit-federal$40,000,000
VALIC Financial Advisors Inc.American International Groupinvestor protection violation2020SEC$39,900,000
Prudential InsurancePrudential Financialbenefit plan administrator violation2014private lawsuit-federal$39,100,000
Wachovia SecuritiesWells Fargowage and hour violation2009private lawsuit-federal$39,000,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2012MULTI-FIN$39,000,000
Citibank N.A.Citigroupinvestor protection violation2018SEC$38,700,000
Academy Mortgage CorporationAcademy Mortgage Corp.False Claims Act and related2022DOJ_CIVIL$38,500,000
Merrill LynchBank of Americaemployment discrimination2013private lawsuit-federal$38,225,000
The Bank of New YorkBank of New York Mellonanti-money-laundering deficiencies2005USAO$38,000,000
Washington Mutual BankJPMorgan Chasewage and hour violation2009private lawsuit-federal$38,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2021private lawsuit-federal$38,000,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp.Bank of Montrealinvestor protection violation2019SEC$37,980,000
Flagstar BankNew York Community Bancorpconsumer protection violation2014CFPB$37,500,000
TD Bank, National AssociationToronto-Dominion Bankbanking violation2013OCC$37,500,000
Northern TrustNorthern Trustbenefit plan administrator violation2006private lawsuit-federal$37,500,000
Zurich American Insurance Company et al.Zurich InsuranceFalse Claims Act and related2010NY-AG$37,500,000
U.S. BankU.S. Bancorpbanking violation2022CFPB$37,500,000
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insuranceconsumer protection violation2017private lawsuit-federal$37,500,000
Bank Hapoalim B.M,Bank Hapoalimtax violations2020FED$37,350,000
UniCredit S.p.A.UniCrediteconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,316,322
EverbankTIAAbanking violation2013OCC$37,000,000
Wachovia CorporationWells Fargoinvestor protection violation2004SEC$37,000,000
Merrill LynchBank of Americawage and hour violation2006private lawsuit-federal$37,000,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2016NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,000,000
Monumental Life Insurance CompanyAegoninsurance violation2003MULTI-FIN$37,000,000
Goldman Sachs GroupGoldman Sachsbanking violation2016FED$36,300,000
Barclays Bank PLCBarclaystoxic securities abuses2013MA-AG$36,100,000
Banc of America Securities LLCBank of Americaprice-fixing or anti-competitive practices2010SEC$36,096,442
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-federal$36,000,000
Northern Trust Investments, N.A.Northern Trustbenefit plan administrator violation2015private lawsuit-federal$36,000,000
Bank of AmericaBank of AmericaFalse Claims Act and related2001AK-AG$35,600,000
Wells Fargo AdvisorsWells Fargoemployment discrimination2017private lawsuit-federal$35,500,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupprice-fixing or anti-competitive practices2022private lawsuit-federal$35,500,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2017SEC$35,300,000
Banca IMI Securities Corp.Intesa Sanpaoloinvestor protection violation2017SEC$35,300,000
National City Bank and its successor PNC BankPNC Financial Servicesbanking violation2013CFPB$35,000,000
HSBC Bank USA, National AssociationHSBCbanking violation2016OCC$35,000,000
Citibank, N.A.Citigroupbanking violation2015OCC$35,000,000
Capital One Bank (USA), National AssociationCapital One Financialbanking violation2012OCC$35,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2011OCC$35,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2016SEC$35,000,000
OppenheimerFunds Inc.Invescoinvestor protection violation2012SEC$35,000,000
Royal Bank of CanadaRoyal Bank of Canadainvestor protection violation2014CFTC$35,000,000
Wells Fargo BankWells Fargobanking violation2016OCC$35,000,000
H&R BlockH&R Blockwage and hour violation2012private lawsuit-federal$35,000,000
Marsh & McLennan Companies, Inc.Marsh & McLennanbenefit plan administrator violation2010private lawsuit-federal$35,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2016NY-AG$35,000,000
UBS Financial Services, Inc. and UBS Securities LLCUBStoxic securities abuses2008MA-AG$35,000,000
Wells Fargo & CompanyWells Fargowage and hour violation2020private lawsuit-federal$35,000,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargoinvestor protection violation2020SEC$35,000,000
AIGAmerican International Groupinsurance violation2014NY-DFS$35,000,000
Industrial Bank of KoreaIndustrial Bank of Koreaanti-money-laundering deficiencies2020NY-DFS$35,000,000
Morgan StanleyMorgan Stanleyinvestor 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. $35,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020SEC$35,000,000
Discover Bank et al.Discover Financial Servicesconsumer protection violation2020CFPB$35,000,000
NatWest Markets PlcNatWest Group PLCfraud2021DOJ_CRIMINAL$35,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2022SEC$35,000,000
HSBC Holdings PLCHSBCprice-fixing or anti-competitive practices2016private lawsuit-federal$35,000,000
Wells FargoWells Fargoprice-fixing or anti-competitive practices2013private lawsuit-federal$35,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2020private lawsuit-federal$35,000,000
Union Bank N.A.U.S. Bancorpconsumer protection violation2012private lawsuit-federal$35,000,000
Bank of MontrealBank of Montrealinvestor protection violation2023CFTC$35,000,000
BNP Paribas Securities Corp.BNP Paribasinvestor protection violation2023SEC$35,000,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2023SEC$35,000,000
Wells Fargo Clearing Services LLCWells Fargoinvestor protection violation2023SEC$35,000,000
Nomura Securities InternationalNomurafraud2023USAO$35,000,000
Interactive Brokers Corp.Interactive Brokers Groupinvestor protection violation2023SEC$35,000,000
WEX Bank and Higher One, Inc.WEX Inc.banking violation2015FDIC$34,980,000
Wells FargoWells Fargoconsumer protection violation2015CFPB$34,800,000
Wells Fargo Bank, National AssociationWells Fargobanking violation2011OCC$34,500,000
Legg Mason Inc.Franklin ResourcesForeign Corrupt Practices Act2018SEC$34,500,000
Bank of America N.A.Bank of Americaconsumer protection violation2015private lawsuit-federal$34,500,000
U.S. Bank NAU.S. Bancorpconsumer protection violation2015private lawsuit-federal$34,500,000
State Farm Life Insurance CompanyState Farm Insuranceconsumer protection violation2018private lawsuit-federal$34,222,414
GE Capital Retail Bank and CareCreditSynchrony Financialconsumer protection violation2013CFPB$34,100,000
Allstate Insurance Co.Allstateinsurance violation2005CA-INS$34,000,000
Countrywide Financial CorporationBank of Americaconsumer protection violation2011private lawsuit-federal$34,000,000
Wells FargoWells Fargomortgage abuses2010CA-AG$33,868,615
BNP Paribas SABNP Paribasprice-fixing or anti-competitive practices2018private lawsuit-federal$33,500,000
Morgan Stanley & Co. LLCMorgan Stanleyprice-fixing or anti-competitive practices2018private lawsuit-federal$33,500,000
Citibank N.A.Citigroupprice-fixing or anti-competitive practices2020private lawsuit-federal$33,400,000
Navient Solutions, Inc.Navientbanking violation2014FDIC$33,300,000
Woodforest National BankWoodforest National Bankbanking violation2010OCC$33,000,000
Royal Bank of Scotland PLCNatWest Group PLCeconomic sanction violation2013OFAC$33,000,000
Bank of America CorporationBank of Americainvestor protection violation2009SEC$33,000,000
Smith BarneyMorgan Stanleyemployment discrimination2008private lawsuit-federal$33,000,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesbenefit plan administrator violation2016private lawsuit-federal$33,000,000
INGVoya Financialinvestor protection violation2006MULTI-AG$33,000,000
MUFG Bank Ltd.U.S. Bancorpbanking violation2019NY-DFS$33,000,000
Unitrin Inc.Kemperinsurance violation2002MULTI-FIN$33,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.