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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
NatWest Markets PlcNatWest Group PLCinvestor protection violation2018CFTC$750,000
Deutsche Bank Trust Company AmericasDeutsche Bankinvestor protection violation2007SEC$750,000
The Bank Of New YorkBank of New York Melloninvestor protection violation2007SEC$750,000
Morgan StanleyMorgan Stanleyemployment discrimination2008private lawsuit-federal$750,000
PHH Mortgage CorporationOcwen Financialconsumer protection violation2019DOJ_RIGHTS$750,000
Western Sky Financial, CashCall Inc. and WS FundingCashCall Inc.consumer protection violation2016AR-AG$750,000
Bank of New York MellonBank of New York Melloninvestor protection violation2019CFTC$750,000
Midland Credit Management, Inc.Encore Capital Groupconsumer protection violation2012AZ-DIFI$750,000
Stewart Title of California, Inc.Stewart Information Servicesinsurance violation2005CA-INS$750,000
Infinity Insurance CompaniesKemperinsurance violation2007CA-INS$750,000
American Bankers Life Assurance Company of Florida et al.Assurantinsurance violation2008CA-INS$750,000
Conseco Life Insurance Co.CNO Financialinsurance violation2007IA-INS$750,000
QBE Holdings, Inc. et al.QBE Insuranceinsurance violation2017MN-FIN$750,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2007ND-INS$750,000
Edward Jones & Co. LPJones Financialinvestor protection violation2014NH-BSR$750,000
LPL Financial, LLCLPL Financialinvestor protection violation2015NH-BSR$750,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2014NJ-DBI$750,000
HealthNow New York Inc.Highmark Inc.insurance violation2016NY-DFS$750,000
QBE Insurance Corp.QBE Insuranceinsurance violation2018NY-DFS$750,000
Foremost Insurance Group et al.Zurich Insuranceinsurance violation2015SD-INS$750,000
Ace American Insurance CompanyChubb Limitedinsurance violation2020WA-INS$750,000
UVEST Financial Services Group, Inc.LPL Financialinvestor protection violation2013MULTI-FIN$750,000
LPL Financial LLCLPL Financialinvestor protection violation2016FINRA$750,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013FINRA$750,000
Comerica Securities, Inc.Comericainvestor protection violation2008FINRA$750,000
Transamerica Financial Life Insurance CompanyAegoninsurance violation2020NY-DFS$750,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2017private lawsuit-federal$750,000
MUFG Bank, Ltd.U.S. Bancorpprice-fixing or anti-competitive practices2023private lawsuit-federal$750,000
Fidelity Brokerage Services LLCFidelity Investmentsinvestor protection violation2023MA-SEC$750,000
Wells Fargo BankWells Fargoconsumer protection violation2011CT-AG$741,465
Capital OneCapital One Financialconsumer protection violation2015MO-AG$740,000
USAAUSAAwage and hour violation2008private lawsuit-federal$738,423
UBS Securities LLCUBSinvestor protection violation2010AK-DBS$733,465
Merrill, Lynch, Pierce, Fenner and Smith, Inc.Bank of Americainvestor protection violation2010NJ-AG$728,260
HSBC Securities (USA) Inc.HSBCinvestor protection violation2020SEC$725,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2018MULTI-FIN$725,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2012FINRA$725,000
TitleMax of California, Inc.TMX Financeconsumer protection violation2019CA-DFPI$720,140
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2009MULTI-FIN$720,000
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2018MULTI-FIN$720,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2023SEC$709,971
Springstone Financial, LLCLendingClub Corp.consumer protection violation2015CFPB$700,000
Cantor FitzgeraldCantor Fitzgeraldinvestor protection violation2012CFTC$700,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2012CFTC$700,000
BMO FinancialBank of Montrealwage and hour violation2016private lawsuit-federal$700,000
UBS Securities LLCUBSinvestor protection violation2005SEC$700,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2005SEC$700,000
Wilmington Trust CorporationM&T Bankemployment discrimination2018EEOC$700,000
Morgan Stanley DWMorgan Stanleyinvestor protection violation2005DE-AG$700,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006CA-INS$700,000
UnumProvident Corp. et al.Unuminsurance violation2006CA-INS$700,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2007CA-INS$700,000
HealthNow New York Inc.Highmark Inc.insurance violation2013NY-DFS$700,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2010FINRA$700,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2008FINRA$700,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2004FINRA$700,000
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americaprivacy violation2023NH-BSR$700,000
Navient CorporationNavientemployment discrimination2023OFCCP$700,000
UBS Financial Services, Inc.UBSinvestor protection violation2007MO-SEC$697,210
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010IN-SEC$692,000
Ferris, Baker Watts LLCRoyal Bank of Canadainvestor protection violation2010FINRA$690,000
Watson Wyatt & CompanyWillis Towers WatsonFalse Claims Act and related2005USAO$689,828
Jefferson Pilot Variable CorporationLincoln Nationalinvestor protection violation2005FINRA$688,697
Wells FargoWells Fargowage and hour violation2017private lawsuit-federal$685,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsinvestor protection violation2015DE-SEC$685,000
Goldman SachsGoldman Sachsinvestor protection violation2012FINRA$683,997
Allstate Insurance CompanyAllstateinsurance violation2010NC-INS$680,718
First American Title Insurance CompanyFirst American Financialkickbacks and bribery2005HUD$680,000
ALLIED PROPERTY & CASUALTY INSURANCE CO.Nationwideinsurance violation2017VA-INS$678,398
UBS Financial ServicesUBSinvestor protection violation2011IN-SEC$677,000
Bear StearnsJPMorgan Chasewage and hour violation2010private lawsuit-federal$675,000
Bank of AmericaBank of Americamortgage abuses2015MA-AG$675,000
CitigroupCitigroupmortgage abuses2015MA-AG$675,000
Encore Capital Group, Inc.Encore Capital Groupconsumer protection violation2015NY-AG$675,000
JP Morgan ChaseJPMorgan Chasemortgage abuses2015MA-AG$675,000
Wells Fargo BankWells Fargomortgage abuses2015MA-AG$675,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2016FINRA$675,000
SG Americas Securities, Inc.Societe Generaleinvestor protection violation2013FINRA$675,000
OppenheimerFunds Distributor, Inc.Invescoinvestor protection violation2007WA-FIN$669,500
Credit SuisseUBSinvestor protection violation2016CFTC$665,000
Bank of AmericaBank of Americawage and hour violation2010private lawsuit-federal$661,392
JPMorgan SecuritiesJPMorgan Chasedata submission deficiencies2014CFTC$650,000
CitiMortgage, Inc.Citigroupconsumer protection violation2006HUD$650,000
Nationwide Life InsuranceNationwideconsumer protection violation2005MA-AG$650,000
Unum Life Insurance Co.UnumFalse Claims Act and related2005MA-AG$650,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2019CFTC$650,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2018SC-SEC$650,000
American Home Assurance Company et al.American International Groupinsurance violation2010TX-INS$650,000
Countrywide Home Loans Inc.Bank of Americaconsumer protection violation2010WA-FIN$650,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyinvestor protection violation2015FINRA$650,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2011FINRA$650,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2010FINRA$650,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010FINRA$650,000
Wachovia Securities LLCWells Fargoinvestor protection violation2004FINRA$650,000
StoneX Markets LLCStoneX Groupinvestor protection violation2023CFTC$650,000
MetLife Securities, Inc.MetLifeinvestor protection violation2015FINRA$649,748
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2019NY-DFS$648,122
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2019SEC$647,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2022VT-FIN$640,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2002MA-INS$639,576
Salomon Smith BarneyMorgan Stanleyemployment discrimination2001EEOC$635,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.