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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
Santander Bank, National AssociationBanco Santanderbanking violation2016OCC$3,400,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008NH-BSR$3,400,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2017FINRA$3,400,000
Raymond James & Associates Inc.Raymond James Financialinvestor protection violation2000FINRA$3,410,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2016FINRA$3,425,000
Prospect Mortgage, LLCHomebridge Financial Servicesmortgage abuses2013NY-DFS$3,427,155
AllstateAllstateconsumer protection violation2003TX-AG$3,440,000
Capital One Financial CorporationCapital One Financialaccounting fraud or deficiencies2013SEC$3,500,000
Assurant Inc.Assurantaccounting fraud or deficiencies2010SEC$3,500,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2017CFPB$3,500,000
PNC Financial Services GroupPNC Financial Servicesmortgage abuses2018FED$3,500,000
Wells Fargo Advisors, LLCWells Fargoanti-money-laundering deficiencies2017SEC$3,500,000
UBS Financial Services, Inc.UBSinvestor protection violation2017SEC$3,500,000
Wells Fargo AdvisorsWells Fargowage and hour violation2017private lawsuit-federal$3,500,000
KeyBankKeyCorpwage and hour violation2014private lawsuit-federal$3,500,000
Union BankU.S. Bancorpwage and hour violation2012private lawsuit-federal$3,500,000
United Community Banks, Inc.United Community Banks Inc.benefit plan administrator violation2013private lawsuit-federal$3,500,000
ING Groep N.V.Voya Financialbenefit plan administrator violation2013private lawsuit-federal$3,500,000
CitibankCitigroupconsumer protection violation2008CA-AG$3,500,000
Metropolitan Property & Casualty Insurance Co.Zurich Insuranceconsumer protection violation2010MA-AG$3,500,000
Midland Credit Management, Inc.Encore Capital Groupconsumer protection violation2005WV-AG$3,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2006CT-SEC$3,500,000
TIAA Bank, FSBTIAAwage and hour violation2020private lawsuit-federal$3,500,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A.Royal Bank of Canadainvestor protection violation2016FINRA$3,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2012FINRA$3,500,000
Synchrony BankSynchrony Financialconsumer protection violation2021CA-MULTI$3,500,000
Banner Life Insurance CompanyLegal & General Group PLCinsurance violation2022NY-DFS$3,500,000
National Westminster Bank plcNatWest Group PLCprice-fixing or anti-competitive practices2016private lawsuit-federal$3,500,000
Louisiana GeneratingMacquarieenvironmental violation2013EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $3,500,000
Cole Taylor BankFifth Third Bancorpbanking violation2014FED$3,510,000
Wells Fargo Bank N.A.Wells Fargodiscriminatory practices (non-employment)2011private lawsuit-state$3,520,000
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc.Oppenheimer Holdingsinvestor protection violation2019SEC$3,528,377
CitigroupCitigroupwage and hour violation2006private lawsuit-federal$3,550,000
Navient Corp. and Navient Solutions, LLCNavientconsumer protection violation2022NH-AG$3,590,988
American Express Centurion BankAmerican Expressbanking violation2013FDIC$3,600,000
Citizens Republic Bancorp Inc.Huntington Bancsharesbanking violation2011DOJ_RIGHTS$3,600,000
ZB N.A. (fka Zions First National Bank)Zions Bancorporationconsumer protection violation2017USAO$3,600,000
Voya Holdings Inc.Voya Financialinvestor protection violation2018SEC$3,600,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2018SEC$3,600,000
Student Loan Xpress, Inc.First Citizens BancSharesconsumer protection violation2010KY-AG$3,600,000
Chase Investment Services CorporationJPMorgan Chaseinvestor protection violation2011FINRA$3,600,000
Flagstar Bank, FSBNew York Community Bancorpbanking violation2021OCC$3,620,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2020NC-INS$3,635,665
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2020FINRA$3,650,000
Bank of America, NABank of Americadiscriminatory practices (non-employment)2005private lawsuit-federal$3,670,000
Susquehanna BankTruist Financialconsumer protection violation2014private lawsuit-federal$3,680,000
Ocwen Financial Corp.Ocwen Financialmortgage abuses2014MA-AG$3,700,000
SantanderBanco Santanderconsumer protection violation2021MS-AG$3,700,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2004SEC$3,706,693
American International Group Inc.American International Groupprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Aon CorporationAonprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Crum & Forster Holdings Corp.Fairfax Financial Holdingsprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Fireman's Fund Insurance Corp.Allianzprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Hartford Fire Insurance Co.Hartford Financial Servicesprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Liberty Mutual Holding Co. Inc.Liberty Mutual Insuranceprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Travelers Companies Inc.Travelersprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Willis Group Holdings Ltd.Willis Towers Watsonprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
JPMorgan Chase Bank, N.A.JPMorgan Chasewage and hour violation2020private lawsuit-federal$3,750,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2015FINRA$3,750,000
Barclays Capital Inc.Barclaysinvestor protection violation2013FINRA$3,750,000
Fidelity Distributors Corp. et al.Fidelity Investmentsinvestor protection violation2007FINRA$3,750,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.insider trading2006SEC$3,755,839
UBS Securities LLC and UBS Financial Services, IncUBSinvestor protection violation2011NJ-AG$3,790,487
El Paso ElectricJPMorgan Chaseenvironmental violation2015EPA$3,800,000
Charles SchwabCharles Schwab Corp.wage and hour violation2014private lawsuit-federal$3,800,000
Transamerica CorporationAegonbenefit plan administrator violation2016private lawsuit-federal$3,800,000
Chase BankJPMorgan Chaseconsumer protection violation2006MULTI-AG$3,850,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2007SEC$3,860,000
Santander Consumer USA Holdings, Inc.Banco Santanderconsumer protection violation2017DE-AG$3,875,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2020SEC$3,889,007
American Express Centurion BankAmerican Expressbanking violation2012FDIC$3,900,000
Wells FargoWells Fargowage and hour violation2017private lawsuit-federal$3,900,000
BMO FinancialBank of Montrealwage and hour violation2015private lawsuit-federal$3,900,000
Arthur J. GallagherArthur J. Gallagher & Co.wage and hour violation2011private lawsuit-federal$3,900,000
Synovus Financial Corp.Synovus Financialconsumer protection violation2015private lawsuit-federal$3,900,000
BMO Capital Markets CorporationBank of Montrealinvestor protection violation2019SEC$3,946,000
NavientNavientconsumer protection violation2022ID-AG$3,972,316
AllianceBernstein Investment Research and Management, Inc.Equitable Holdingsinvestor protection violation2005FINRA$3,984,087
Wells Fargo Bank, National AssociationWells Fargobanking violation2015OCC$4,000,000
Capital One, National AssociationCapital One Financialbanking violation2014OCC$4,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2016SEC$4,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2014SEC$4,000,000
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-state$4,000,000
Fifth Third BankFifth Third Bancorpwage and hour violation2014private lawsuit-federal$4,000,000
Wells Fargo AdvisorsWells Fargowage and hour violation2013private lawsuit-federal$4,000,000
Aon Corp.Aonconsumer protection violation2008FL-AG$4,000,000
HSBCHSBCconsumer protection violation2016MA-AG$4,000,000
H&R BlockH&R Blockconsumer protection violation2002NY-NYCDCWP$4,000,000
Wells Fargo BankWells Fargoconsumer protection violation2015NY-DFS$4,000,000
Asurion Insurance Services, Inc. and Asurion Protection Services LLCAsurioninsurance violation2020NY-DFS$4,000,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2012MULTI-FIN$4,000,000
Life Insurance Company of Georgia and Southland Life Insurance CompanyPrudential PLCinsurance violation2002MULTI-FIN$4,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019FINRA$4,000,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLCWells Fargoinvestor protection violation2016FINRA$4,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2014FINRA$4,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2014FINRA$4,000,000
Morgan Stanley & Co., LLCMorgan Stanleyinvestor protection violation2014FINRA$4,000,000
Wells Fargo Securities, LLCWells Fargoinvestor protection violation2014FINRA$4,000,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2006FINRA$4,000,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2021MA-SEC$4,000,000
Trustmark National BankTrustmarkbanking violation2021OCC$4,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.