Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$323,889,987,491
Number of Records: 
5,839
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$82,695,676,034210
JPMorgan Chase$34,517,828,993151
Citigroup$25,045,655,764120
Wells Fargo$21,139,073,231172
Deutsche Bank$17,995,700,77855
UBS$16,782,800,91082
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,332,95016
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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Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
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
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2005 MULTI-FIN $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
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2013 MA-SEC $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
U.S. Bancorp Investments, Inc. U.S. Bancorp investor protection violation 2020 SEC $15,992,441
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
Guaranteed Rate Inc. Guaranteed Rate Inc. False Claims Act and related 2020 DOJ_CIVIL $15,060,000
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
Barclays Capital Inc. Barclays investor protection violation 2014 SEC $15,000,000
Balli Aviation Ltd. and Balli Group PLC Balli Group export control violation 2010 BIS $15,000,000
Macquarie Capital (USA) Inc. Macquarie investor protection violation 2015 SEC $15,000,000
TD Bank Toronto-Dominion Bank investor protection violation 2013 SEC $15,000,000
RenaissanceRe Holdings Ltd. RenaissanceRe Holdings accounting fraud or deficiencies 2007 SEC $15,000,000
Ameriprise Financial, Inc. Ameriprise Financial investor protection violation 2005 SEC $15,000,000
Conseco, Inc. CNO Financial investor protection violation 2004 SEC $15,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2017 OCC $15,000,000
UBS AG UBS investor protection violation 2018 CFTC $15,000,000
US Bancorp U.S. Bancorp banking violation 2018 FED $15,000,000
Wells Fargo Wells Fargo wage and hour violation 2014 private lawsuit-federal $15,000,000
PNC Bank, National Association PNC Financial Services banking violation 2018 OCC $15,000,000
Fiserv Securities, Inc. Fidelity Investments investor protection violation 2005 SEC $15,000,000
Conseco, Inc. CNO Financial investor protection violation 2004 NY-AG (*) $15,000,000
New York Life Insurance Company New York Life Insurance insurance violation 2013 MULTI-AG $15,000,000
UnumProvident Corporation Unum consumer protection violation 2004 MULTI-AG $15,000,000
BGC Financial, LP BGC Partners investor protection violation 2019 CFTC $15,000,000
Raymond James & Associates, Inc. et al. Raymond James Financial investor protection violation 2019 SEC $15,000,000
Athene Life Insurance Company of New York Athene Holding insurance violation 2018 NY-DFS $15,000,000
Barclays Bank PLC Barclays workplace whistleblower retaliation 2018 NY-DFS $15,000,000
Farmers Insurance Group Zurich Insurance insurance violation 2002 TX-INS $15,000,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2008 MULTI-FIN $15,000,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2008 MULTI-FIN (*) $15,000,000
ING Life Insurance & Annuity Co. Voya Financial benefit plan administrator violation 2014 private lawsuit-federal $14,950,000
BNY Mellon Bank of New York Mellon Foreign Corrupt Practices Act 2015 SEC $14,800,000
Aon Corporation Aon Foreign Corrupt Practices Act 2011 SEC $14,545,020
Wells Fargo Bank, N.A. Wells Fargo investor protection violation 2019 CFTC $14,475,000
UBS Securities LLC UBS investor protection violation 2015 SEC $14,400,000
Morgan Stanley Capital Group Morgan Stanley data submission deficiencies 2010 CFTC $14,000,000
Goldman Sachs Goldman Sachs mortgage abuses 2018 FED $14,000,000
New York Stock Exchange IntercontinentalExchange Group investor protection violation 2018 SEC $14,000,000
Merrill Lynch Bank of America wage and hour violation 2016 private lawsuit-federal $14,000,000
First NLC Arlington Asset Investment Corp. wage and hour violation 2007 private lawsuit-federal $14,000,000
New York Life Insurance New York Life Insurance benefit plan administrator violation 2008 private lawsuit-federal $14,000,000
Union Bancaire Privee, UBP SA Union Bancaire Privee tax violations 2020 DOJ_TAX $14,000,000
Assurant, Inc. Assurant insurance violation 2013 NY-DFS $14,000,000
Wells Fargo Bank Wells Fargo mortgage abuses 2015 MD-AG $13,800,000
Hartford Life Insurance Company Hartford Financial Services benefit plan administrator violation 2010 private lawsuit-federal $13,775,000
Merrill Lynch Bank of America toxic securities abuses 2008 MA-AG $13,700,000
E-Loan Inc. Popular Inc. wage and hour violation 2007 private lawsuit-federal $13,600,000
Bank of America Bank of America fraud 2010 DC-AG $13,502,852
Metropolitan Life Insurance Company MetLife kickbacks and bribery 2010 USAO $13,500,000
LaSalle Bank Bank of America benefit plan administrator violation 2011 private lawsuit-federal $13,500,000
US Bank U.S. Bancorp housing code violation 2016 CA-LACA $13,500,000
State Farm State Farm Insurance insurance violation 2017 CA-INS $13,335,701
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