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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
Goldman Sachs Execution and Clearing L.P.Goldman Sachsinvestor protection violation2007SEC$2,000,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004SEC$2,000,000
Balli Aviation Ltd.Balli Groupexport control violation2010DOJ_NATSEC$2,000,000
Progressive Casualty Insurance Co. and Progressive Garden State Insurance Co.ProgressiveFalse Claims Act and related2017USAO$2,000,000
First Niagara Bank, National AssociationKeyCorpbanking violation2016OCC$2,000,000
Allstate InsuranceAllstatewage and hour violation2017private lawsuit-state$2,000,000
Wells Fargo Insurance ServicesWells Fargowage and hour violation2015private lawsuit-federal$2,000,000
GMAC MortgageAlly Financialwage and hour violation2014private lawsuit-federal$2,000,000
MetLifeMetLifewage and hour violation2011private lawsuit-federal$2,000,000
LendingClub CorporationLendingClub Corp.banking violation2018USAO$2,000,000
Ocwen FinancialOcwen Financialemployment discrimination2005private lawsuit-state$2,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2004SEC$2,000,000
Banca IMI Securities Corp.Intesa Sanpaoloprice-fixing or anti-competitive practices2019DOJ_ANTITRUST$2,000,000
CitibankCitigroupconsumer protection violation2007NY-AG$2,000,000
Discover BankDiscover Financial Servicesconsumer protection violation2011MN-AG$2,000,000
Dreyfus CorporationBank of New York Melloninvestor protection violation2000NY-AG$2,000,000
Guardian LifeGuardian Life Insuranceinsurance violation2015MULTI-AG$2,000,000
Liberty Mutual Insurance Co.Liberty Mutual Insurancekickbacks and bribery2010CT-AG$2,000,000
LPL Financial LLCLPL Financialconsumer protection violation2015MULTI-AG$2,000,000
Nelnet Inc.Nelnetconsumer protection violation2007NY-AG$2,000,000
Ocwen Loan Servicing LLCOcwen Financialmortgage abuses2019MA-AG$2,000,000
Sallie MaeSLM Corp.consumer protection violation2007NY-AG$2,000,000
US BankU.S. Bancorpprivacy violation2000MULTI-AG$2,000,000
Western Union Financial Services, Inc.Western Unionconsumer protection violation2008AZ-DIFI$2,000,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2007CA-INS$2,000,000
LPL Financial, LLCLPL Financialinvestor protection violation2014IL-SEC$2,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2012MA-SEC$2,000,000
Freedom Mortgage Corp.Freedom Mortgagemortgage abuses2016MA-BKG$2,000,000
LendingClub Corp. and Springstone Financial, LLCLendingClub Corp.consumer protection violation2018MA-BKG$2,000,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2005MN-FIN$2,000,000
Citicorp Insurance Agency, Inc., Citicorp Investment Services, and SBHU Life Agency, Inc.Citigroupinsurance violation2010NY-DFS$2,000,000
Cash Call Inc. and Western Sky Financial LLCCashCall Inc.consumer protection violation2015WA-FIN$2,000,000
UBS Financial Services Inc.UBSinvestor protection violation2019FINRA$2,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2019FINRA$2,000,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2017FINRA$2,000,000
RBS Securities, Inc.NatWest Group PLCinvestor protection violation2016FINRA$2,000,000
Charles Schwab & Co.Charles Schwab Corp.investor protection violation2015FINRA$2,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2015FINRA$2,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2013FINRA$2,000,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2011FINRA$2,000,000
Santander Securities of Puerto RicoBanco Santanderinvestor protection violation2011FINRA$2,000,000
Citigroup Global MarketsCitigroupinvestor protection violation2009FINRA$2,000,000
Wachovia Securities LLCWells Fargoinvestor protection violation2007FINRA$2,000,000
Chase Investment ServicesJPMorgan Chaseinvestor protection violation2005FINRA$2,000,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2003FINRA$2,000,000
Progressive Direct Insurance CompanyProgressiveinsurance violation2022NY-DFS$2,000,000
Capital One, N.A.Capital One Financialconsumer protection violation2022CA-MULTI$2,000,000
Progressive Specialty Insurance CompanyProgressiveconsumer protection violation2020private lawsuit-federal$2,000,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2024MT-FIN$2,000,000
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.: ILouis Dreyfusworkplace safety or health violation2008OSHA$2,000,000
Comerica IncorporatedComericabenefit plan administrator violation2007private lawsuit-federal$2,020,000
Knight Financial Products, LLCVirtu Financialinvestor protection violation2009SEC$2,040,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2011FINRA$2,050,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2020FINRA$2,075,000
Hartford Fire and Casualty GroupHartford Financial Servicesinsurance violation2016MULTI-AG$2,100,000
Assurant HealthAssurantinsurance violation2008CT-INS$2,100,000
Nationwide Life Insurance CompanyNationwideinsurance violation2010MULTI-FIN$2,100,000
TP ICAP plcTP ICAP PLCprice-fixing or anti-competitive practices2023private lawsuit-federal$2,100,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2005FINRA$2,108,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2021SEC$2,109,458
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2011FINRA$2,115,000
HSBC Bank USA N.A.HSBCFalse Claims Act and related2017USAO$2,118,861
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013MO-SEC$2,121,579
Morgan Stanley & Co., LLCMorgan Stanleyinvestor protection violation2012FINRA$2,146,431
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2018private lawsuit-federal$2,150,000
Heartland Payment Systems, LLCGlobal Payments Inc.investor protection violation2018SEC$2,160,000
Bank of America CorpBank of Americaemployment discrimination2013OFCCP$2,181,593
Strong Capital Management, Inc.Wells Fargoinvestor protection violation2006SEC$2,185,927
JPMorgan Chase & Co.JPMorgan Chaseemployment discrimination2006EEOC$2,200,000
Bank of New York Mellon CorporationBank of New York Mellonbenefit plan administrator violation2009private lawsuit-federal$2,200,000
Western Sky Financial, LLC and CashCall, Inc.CashCall Inc.consumer protection violation2015MI-FIN$2,200,000
BRUT LLCNasdaq Inc.investor protection violation2006FINRA$2,200,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2005FINRA$2,200,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$2,200,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022NY-DFS$2,200,000
Citimortgage Inc.Citigroupconsumer protection violation2015private lawsuit-federal$2,200,000
Great Western BankFirst Interstate Bancsystemconsumer protection violation2013private lawsuit-federal$2,200,000
TIAA-CREF Individual & Institutional Services LLCTIAAinvestor protection violation2024SEC$2,200,000
Kemper Independence Insurance Company et al.Kemperinsurance violation2023CA-INS$2,206,313
Vitol Inc.Vitolenergy market violation2024FERC$2,225,000
Victoria Fire & Casualty Insurance CompanyNationwideinsurance violation2016VA-INS$2,236,476
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-federal$2,250,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2023private lawsuit-federal$2,250,000
Visa Inc.Visaconsumer protection violation2018NM-AG$2,270,000
Morgan Stanley Capital Group Inc.Morgan Stanleyconsumer protection violation2009FL-AG$2,275,000
USAA Casualty Insurance CompanyUSAAconsumer protection violation2023private lawsuit-federal$2,291,738
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2017private lawsuit-federal$2,295,000
WL Ross & Co. LLCInvescoinvestor protection violation2016SEC$2,300,000
AXA AdvisorsEquitable Holdingswage and hour violation2016private lawsuit-federal$2,300,000
United Services Automobile AssociationUSAAconsumer protection violation2010MA-AG$2,300,000
Amerisave Mortgage CorporationAmeriSave Mortgageinvestor protection violation2013MULTI-FIN$2,300,000
Josephthal & Co., Inc.Oppenheimer Holdingsinvestor protection violation2001FINRA$2,300,000
Legg Mason Wood Walker, Inc.Franklin Resourcesinvestor protection violation2004SEC$2,315,467
Citibank N.A.Citigroupconsumer protection violation2013private lawsuit-federal$2,320,000
TD Ameritrade Holdings Corp.Charles Schwab Corp.consumer protection violation2022private lawsuit-federal$2,325,000
Bank of China (UK) LimitedBank of Chinaeconomic sanction violation2021OFAC$2,329,991
Conseco Senior Health Insurance Company and Bankers Life and Casualty CompanyCNO Financialinsurance violation2008MULTI-FIN$2,342,728
Saxon Mortgage Services Inc.Ocwen Financialmortgage abuses2011DOJ_CIVIL$2,350,000
MetLifeMetLifewage and hour violation2011private lawsuit-federal$2,350,000
Capital One Bank (USA) N.A.Capital One Financialbankruptcy professional violation2011DOJ_UTP$2,350,000
UBS Financial ServicesUBSinvestor protection violation2012FINRA$2,354,584
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.