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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$20,847,113,321
Number of Records: 
756
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
Morgan Stanley$9,755,070,712124
Ocwen Financial$2,546,423,80428
Rabobank$1,220,536,2598
State Street Corp.$1,098,869,17417
Western Union$802,359,50812
Ally Financial$669,319,62315
ING$619,000,0003
TD Ameritrade$473,210,80010
American Express$359,868,54630
Ameriprise Financial$308,951,27248


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
Visa Inc. Visa consumer protection violation 2018 NM-AG $2,270,000
Visa USA Inc. Visa price-fixing or anti-competitive practices 2008 WV-AG $6,400,000
Voya Financial Advisors Inc. Voya Financial investor protection violation 2018 SEC $1,000,000
Voya Financial Advisors, Inc. Voya Financial investor protection violation 2017 SEC $3,095,953
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial investor protection violation 2019 CT-SEC $1,015,000
Voya Holdings Inc. Voya Financial investor protection violation 2018 SEC $3,600,000
Voya Insurance and Annuity Co. et al. Voya Financial insurance violation 2014 MN-FIN $1,250,000
Western Sky Financial LLC et al. CashCall Inc. consumer protection violation 2016 NC-BKG $9,275,000
Western Sky Financial LLC, CashCall, Inc., WS Funding, LLC and Delbert Services Corp. CashCall Inc. consumer protection violation 2016 IN-AG $1,000,000
Western Sky Financial, CashCall Inc. and WS Funding CashCall Inc. consumer protection violation 2016 AR-AG $750,000
Western Sky Financial, LLC CashCall Inc. consumer protection violation 2014 NY-AG $1,500,000
Western Sky Financial, LLC CashCall Inc. consumer protection violation 2012 OR-FIN $17,500
Western Sky Financial, LLC and CashCall, Inc. CashCall Inc. consumer protection violation 2015 MI-AG $24,700,000
Western Sky Financial, LLC and CashCall, Inc. CashCall Inc. consumer protection violation 2015 MI-FIN $2,200,000
Western Sky Financial, LLC et al. CashCall Inc. consumer protection violation 2014 CO-AG $565,000
Western Sky Financial, LLC et al. CashCall Inc. consumer protection violation 2013 NV-BKG $50,000
Western Sky Financial, LLC, CashCall, Inc. CashCall Inc. consumer protection violation 2017 GA-AG $42,000,000
Western Sky Financial, LLC, WS Funding, LLC, CashCall, Inc., Delbert Services Corp. CashCall Inc. consumer protection violation 2015 MA-AG $259,115
Western Union Western Union anti-money-laundering deficiencies 2018 NY-DFS $60,000,000
WESTERN UNION Western Union workplace safety or health violation 2015 OSHA $11,000
Western Union Co. Western Union consumer protection violation 2017 MULTI-AG $5,000,000
Western Union Company Western Union anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $586,000,000
Western Union Financial Services Western Union consumer protection violation 2005 MULTI-AG $8,529,000
Western Union Financial Services, Inc. Western Union economic sanction violation 2019 OFAC $401,697
Western Union Financial Services, Inc. Western Union anti-money-laundering deficiencies 2010 MULTI-AG $94,000,000
Western Union Financial Services, Inc. Western Union consumer protection violation 2008 AZ-DFS $2,000,000
Western Union Financial Services, Inc. Western Union anti-money-laundering deficiencies 2002 NY-DFS $8,000,000
Western Union International Services LLC Western Union consumer protection violation 2019 FL-OFR $10,000
WHEELABRATOR BALTIMORE, LP Macquarie environmental violation 2003 EPA $17,500
WHEELABRATOR BALTIMORE, LP Macquarie environmental violation 2011 EPA $77,500
Wheelabrator Claremont Company, L.P. Macquarie energy market violation 2018 FERC $357,231
WHEELABRATOR CONCORD INC. Macquarie workplace safety or health violation 2019 OSHA $7,100
WHEELABRATOR ENERGY COMPANY, INCORPORATED Macquarie workplace safety or health violation 2011 OSHA $15,000
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2000 EPA $10,000
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2000 EPA $11,600
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2001 EPA $11,200
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2001 EPA $10,400
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2012 EPA $10,000
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2016 EPA $12,900
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2017 EPA $6,000
WHEELABRATOR HUDSON FALLS 36115N001300543 Macquarie environmental violation 2010 EPA $10,000
WHEELABRATOR LISBON INC. Macquarie environmental violation 2013 EPA $9,350
WHEELABRATOR MILLBURY INC. Macquarie workplace safety or health violation 2018 OSHA $9,472
WHEELABRATOR NORTH ANDOVER Macquarie workplace safety or health violation 2019 OSHA $7,500
WHEELABRATOR NORWALK ENERGY CO Macquarie environmental violation 2009 EPA $7,500
WHEELABRATOR PORTSMOUTH Macquarie workplace safety or health violation 2010 OSHA $6,890
WHEELABRATOR PORTSMOUTH INC - RDF FACILITY Macquarie environmental violation 2010 EPA $15,155
WHEELABRATOR PORTSMOUTH INC - RDF FACILITY Macquarie environmental violation 2016 EPA $7,669
WHEELABRATOR RIDGE ENERGY INC. 121050021600035 Macquarie environmental violation 2004 EPA $5,000
WHEELABRATOR SAUGUS, INC. Macquarie workplace safety or health violation 2017 OSHA $17,600
Wheelabrator Saugus, Wheelabrator Andover and Wheelabrator Millbury Macquarie environmental violation 2011 MA-AG $7,500,000
WHEELABRATOR SHASTA ENERGY CO, INC Macquarie workplace safety or health violation 2010 OSHA $10,000
WHEELABRATOR SHASTA ENERGY CO. Macquarie workplace safety or health violation 2000 OSHA $10,275
WHEELABRATOR SOUTH BROWARD, INC 120110211900314 Macquarie environmental violation 2005 EPA $14,450
Wheelabrator Westchester, L.P. Macquarie labor relations violation 2005 NLRB $13,000
Wilmington Finance Inc. OneMain Holdings wage and hour violation 2008 private lawsuit-federal $2,925,000
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