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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Company Parent Primary Offense Typesort icon Year Agency Penalty Amount
Morgan Stanley & Co. LLC Morgan Stanley toxic securities abuses 2016 VA-AG $6,900,000
Morgan Stanley Mortgage Capital Holdings Morgan Stanley toxic securities abuses 2011 NV-AG $28,200,000
Morgan Keegan & Company Raymond James Financial toxic securities abuses 2013 MULTI-FIN (*) $100,000,000
Mastercard International, Inc MasterCard wage and hour violation 2008 WHD $5,777
U.S. Central Federal Credit Union U.S. Central Federal Credit Union wage and hour violation 2008 WHD $111,319
General Revenue Corporation Navient wage and hour violation 2007 WHD $13,854
Lehman Brothers, Inc. Lehman Brothers wage and hour violation 2007 WHD $17,557
TIAA - CREF TIAA wage and hour violation 2006 WHD $468,336
Nationwide Credit, Inc. Altisource Portfolio Solutions wage and hour violation 2005 WHD $68,433
TIAA TIAA wage and hour violation 2005 WHD $327,168
Goodrich Aviation Technical Services, Inc. Macquarie wage and hour violation 2005 WHD $47,369
Morgan Stanley Morgan Stanley wage and hour violation 2016 private lawsuit-federal $5,995,000
Morgan Stanley Morgan Stanley wage and hour violation 2014 private lawsuit-federal $4,200,000
Charles Schwab Charles Schwab Corp. wage and hour violation 2014 private lawsuit-federal $3,800,000
GMAC Mortgage Ally Financial wage and hour violation 2014 private lawsuit-federal $2,000,000
E-Trade E-Trade Financial wage and hour violation 2012 private lawsuit-federal $1,500,000
Ameriprise Financial Ameriprise Financial wage and hour violation 2011 private lawsuit-federal $185,000
Oppenheimer & Co. Oppenheimer Holdings wage and hour violation 2011 private lawsuit-federal $2,375,901
TD Ameritrade TD Ameritrade wage and hour violation 2009 private lawsuit-federal $2,500,000
Morgan Stanley Morgan Stanley wage and hour violation 2009 private lawsuit-federal $50,000,000
Edward D. Jones & Co. Jones Financial wage and hour violation 2008 private lawsuit-federal $21,000,000
E-Trade E-Trade Financial wage and hour violation 2008 private lawsuit-federal $900,000
Edward D. Jones & Co. Jones Financial wage and hour violation 2008 private lawsuit-federal $19,000,000
USAA USAA wage and hour violation 2008 private lawsuit-federal $738,423
Morgan Stanley Morgan Stanley wage and hour violation 2006 private lawsuit-federal $42,500,000
Wilmington Finance Inc. OneMain Holdings wage and hour violation 2008 private lawsuit-federal $2,925,000
Ally Financial Services Ally Financial wage and hour violation 2019 WHD $198,311
Lincoln Financial Group Trust Company, Inc. Lincoln National wage and hour violation 2018 WHD $17,567
Fidelity Investments Fidelity Investments wage and hour violation 2019 private lawsuit-federal $1,200,000
Cleco Corporation Macquarie wage and hour violation 2017 WHD $12,190
Ally Financial Inc Ally Financial wage and hour violation 2017 WHD $34,169
Ally Financial, LLC Ally Financial wage and hour violation 2017 WHD $164,143
Teachers Insurance & Annuity Assoc of America TIAA wage and hour violation 2017 WHD $9,678
WHEELABRATOR SHASTA ENERGY CO. Macquarie workplace safety or health violation 2000 OSHA $10,275
DEPOSITORY TRUST & CLEARING CORP. Depository Trust workplace safety or health violation 2000 OSHA $13,000
FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS, INC Fidelity Investments workplace safety or health violation 2011 OSHA $7,000
ALLO COMMUNICATIONS Nelnet workplace safety or health violation 2011 OSHA $10,500
WHEELABRATOR SHASTA ENERGY CO, INC Macquarie workplace safety or health violation 2010 OSHA $10,000
WHEELABRATOR PORTSMOUTH Macquarie workplace safety or health violation 2010 OSHA $6,890
WHEELABRATOR ENERGY COMPANY, INCORPORATED Macquarie workplace safety or health violation 2011 OSHA $15,000
THE GAS COMPANY, LLC Macquarie workplace safety or health violation 2013 OSHA $7,000
THE GAS COMPANY, LLC Macquarie workplace safety or health violation 2013 OSHA $10,500
GE ENERGY MANAGEMENT GRID SOLUTIONS, LLC Synchrony Financial workplace safety or health violation 2015 OSHA $22,300
WESTERN UNION Western Union workplace safety or health violation 2015 OSHA $11,000
IMTT- BAYONNE LLC Macquarie workplace safety or health violation 2016 OSHA $87,297
WHEELABRATOR SAUGUS, INC. Macquarie workplace safety or health violation 2017 OSHA $17,600
CLECO CORPORATION Macquarie workplace safety or health violation 2017 OSHA $8,626
CLECO CORPORATION Macquarie workplace safety or health violation 2017 OSHA $5,545
BROADRIDGE FINANCIAL SOLUTIONS Broadridge Financial Solutions workplace safety or health violation 2018 OSHA $15,522
WHEELABRATOR MILLBURY INC. Macquarie workplace safety or health violation 2018 OSHA $9,472
BROADRIDGE FINANCIAL SOLUTIONS, INC. Broadridge Financial Solutions workplace safety or health violation 2019 OSHA $8,335
IMTT-BAYONNE Macquarie workplace safety or health violation 2019 OSHA $121,446
WHEELABRATOR CONCORD INC. Macquarie workplace safety or health violation 2019 OSHA $7,100
WHEELABRATOR NORTH ANDOVER Macquarie workplace safety or health violation 2019 OSHA $7,500
Cleco Corp Macquarie workplace safety or health violation 2012 MSHA $9,310
PHH Mortgage Corp. Ocwen Financial zoning violation 2017 NY-DFS $119,000
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