Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$313,053,740,827
Number of Records: 
2,796
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$34,503,944,885135
Citigroup$24,980,998,56297
Deutsche Bank$17,970,400,77851
Wells Fargo$17,296,835,949136
UBS$16,756,803,33165
Royal Bank of Scotland$13,349,520,00025
Goldman Sachs$13,139,380,98737
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.
Download results as CSV or XML
Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
UnumProvident Corporation Unum consumer protection violation 2004 NY-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
Barclays Bank PLC Barclays workplace whistleblower retaliation 2018 NY-DFS $15,000,000
Athene Life Insurance Company of New York Athene Holding insurance violation 2018 NY-DFS $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
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
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2017 SEC $13,000,000
Mastercard International Inc. MasterCard consumer protection violation 2017 CFPB $13,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America anti-money-laundering deficiencies 2017 SEC $13,000,000
Wells Fargo Wells Fargo wage and hour violation 2017 private lawsuit-state $13,000,000
Bank of America Bank of America fraud 2016 DC-AG $13,000,000
CashCall Inc. CashCall Inc. consumer protection violation 2015 WV-AG $13,000,000
MoneyGram Payment Systems MoneyGram International consumer protection violation 2016 MULTI-AG $13,000,000
Dain Rauscher Incorporated Royal Bank of Canada securities issuance or trading violation 2000 SEC $12,941,191
Citigroup Global Markets Inc. Citigroup securities issuance or trading violation 2018 SEC $12,937,475
Barclays PLC Barclays foreign exchange market manipulation 2018 DOJ_CRIMINAL $12,896,011
Wells Fargo Wells Fargo wage and hour violation 2007 private lawsuit-federal $12,800,000
Willis Group Willis Towers Watson employment discrimination 2008 private lawsuit-federal $12,757,949
Barclays Capital Inc. Barclays investor protection violation 2017 SEC $12,710,040
Lincoln National Life Insurance Company Lincoln National consumer protection violation 2013 MULTI-AG $12,600,000
HSBC Private Bank (Suisse) HSBC investor protection violation 2014 SEC $12,500,000
Thomas Weisel Partners LLC Stifel Financial investor protection violation 2004 SEC $12,500,000
Merrill Lynch Bank of America securities issuance or trading violation 2016 SEC $12,500,000
Prudential Financial Prudential Financial wage and hour violation 2017 private lawsuit-federal $12,500,000
Bank of China Bank of China banking violation 2018 OCC $12,500,000
American International Group, Inc. American International Group price-fixing or anti-competitive practices 2008 MULTI-AG $12,500,000
Allianz SE Allianz Foreign Corrupt Practices Act 2012 SEC $12,396,423
Wachovia Corporation Wells Fargo benefit plan administrator violation 2011 private lawsuit-federal $12,350,000
H&R Block H&R Block consumer protection violation 2010 NY-AG $12,150,000
BlackRock Advisors LLC BlackRock investor protection violation 2015 SEC $12,000,000
Goldman Sachs & Co. Goldman Sachs illicit political contributions 2012 SEC $12,000,000
Capital One N.A. Capital One Financial Servicemembers Civil Relief Act 2012 DOJ_RIGHTS $12,000,000
State Street Bank and Trust Company State Street Corp. illicit political contributions 2016 SEC $12,000,000
Israel Discount Bank Israel Discount Bank anti-money-laundering deficiencies 2006 FINCEN $12,000,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2015 private lawsuit-federal $12,000,000
Old Republic Title Old Republic International wage and hour violation 2014 private lawsuit-federal $12,000,000
Merrill Lynch Bank of America wage and hour violation 2013 private lawsuit-federal $12,000,000
A.G. Edwards Wells Fargo wage and hour violation 2009 private lawsuit-federal $12,000,000
Knight Capital Americas LLC Virtu Financial investor protection violation 2013 SEC $12,000,000
Commerzbank AG Commerzbank investor protection violation 2018 CFTC $12,000,000
Allianz Asset Management of America, L.P. Allianz benefit plan administrator violation 2018 private lawsuit-federal $12,000,000
FMR LLC Fidelity Investments benefit plan administrator violation 2014 private lawsuit-federal $12,000,000
Wells Fargo Bank Wells Fargo employment screening violation 2016 private lawsuit-federal $12,000,000
Fannie Mae Fannie Mae consumer protection violation 2008 NY-AG $12,000,000
Freddie Mac Freddie Mac (Federal Home Loan Mortgage Corporation) consumer protection violation 2008 NY-AG $12,000,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2018 CFPB $11,790,000
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2019 SEC $11,715,395
CashCall, Inc. CashCall Inc. payday lending violation 2016 MN-AG $11,700,000
State Street Bank State Street Corp. investor protection violation 2010 WA-AG $11,700,000
IBERIABANK IberiaBank False Claims Act and related 2017 DOJ_CIVIL $11,692,149
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz investor protection violation 2004 SEC $11,600,000
Willis Group Willis Towers Watson employment discrimination 2011 private lawsuit-federal $11,595,038
Citizens Financial Group Citizens Financial Group wage and hour violation 2014 private lawsuit-federal $11,501,500
DB Structured Products, Inc. Deutsche Bank toxic securities abuses 2013 NV-AG $11,500,000
AmSouth Bank Regions Financial investor protection violation 2008 SEC $11,400,000
Transamerica Insurance Co. Aegon consumer protection violation 2013 MULTI-AG $11,200,000
Wells Fargo Securities LLC Wells Fargo toxic securities abuses 2011 SEC $11,000,000
Prudential Financial Prudential Financial wage and hour violation 2009 private lawsuit-federal $11,000,000
Comerica Incorporated Comerica benefit plan administrator violation 2013 private lawsuit-federal $11,000,000
Barclays Bank PLC Barclays insider trading 2007 SEC $10,943,561
Merrill Lynch Bank of America securities issuance or trading violation 2015 SEC $10,900,000
ING Life Insurance and Annuity Company Voya Financial consumer protection violation 2013 MULTI-AG $10,700,000
BancorpSouth Bank BancorpSouth mortgage abuses 2016 CFPB $10,600,000
EZCORP Inc. EZCORP Inc. consumer protection violation 2015 CFPB $10,500,000
HSBC Bank USA, N.A. HSBC investor protection violation 2007 SEC $10,500,000
Aon Aon wage and hour violation 2011 private lawsuit-state $10,500,000
Citigroup Citigroup accounting fraud or deficiencies 2018 SEC $10,500,000
BBVA Suiza S.A. Banco Bilbao Vizcaya Argentaria tax violations 2015 DOJ_TAX $10,390,000
Invesco Trust Company Invesco benefit plan administrator violation 2016 EBSA $10,270,000
1st Financial Bank USA 1st Financial Bank USA banking violation 2010 FDIC $10,140,000
U.S. Bank National Association U.S. Bancorp banking violation 2016 OCC $10,000,000
RBS Citizens, National Association Citizens Financial Group banking violation 2015 OCC $10,000,000
TCF National Bank TCF Financial Corp. banking violation 2013 OCC $10,000,000
TD Ameritrade Inc. TD Ameritrade financial institution supervision failures 2011 SEC $10,000,000
HSBC HSBC mortgage abuses 2014 USAO $10,000,000
Merrill Lynch Bank of America investor protection violation 2016 SEC $10,000,000
Merrill Lynch Bank of America investor protection violation 2011 SEC $10,000,000
Santander Bank, N.A. Banco Santander consumer protection violation 2016 CFPB $10,000,000
MF Global Inc. MF Global financial institution supervision failures 2009 CFTC $10,000,000
BankAtlantic Truist Financial anti-money-laundering deficiencies 2006 DOJ_CRIMINAL $10,000,000
Wachovia Bank, National Association Wells Fargo banking violation 2008 OCC $10,000,000
Bank of China Bank of China banking violation 2002 OCC $10,000,000
Download results as CSV or XML