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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
Salomon Smith BarneyMorgan Stanleyemployment discrimination2001EEOC$635,000
Morgan Keegan and Co. Inc.Raymond James Financialbenefit plan administrator violation2012EBSA$633,715
TD BankToronto-Dominion Bankprivacy violation2014MA-AG$625,000
UBS FINANCIAL SERVICES, INC.UBSinvestor protection violation2010VA-SEC$625,000
Minnesota Life Insurance Company et al.Securian Financialinsurance violation2016MULTI-FIN$625,000
JP MorganJPMorgan Chaseinvestor protection violation2012FINRA$623,376
Nyrstar ClarksvilleTrafiguraenvironmental violation2019TN-ENV$622,389
Regions FinancialRegions Financialwage and hour violation2017private lawsuit-federal$620,634
Buckeye Texas Processing LLCIFM Investorsenvironmental violation2020TX-ENV$607,617
Compass BankPNC Financial Serviceseconomic sanction violation2010OFAC$607,500
J.P. Morgan Chase Retirement PlanJPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$604,957
JPMorgan Chase BankJPMorgan Chaseinvestor protection violation2012CFTC$600,000
Raymond James & AssociatesRaymond James Financialinvestor protection violation2016SEC$600,000
Mercury Air Centers Inc.Macquarieemployment discrimination2010EEOC$600,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupinvestor protection violation2017CFTC$600,000
EZCORP, Inc.EZCORP Inc.privacy violation2008TX-AG$600,000
Allstate Insurance Co.Allstateinsurance violation2016CA-MULTI$600,000
Infinity Insurance Co. et al.Kemperinsurance violation2005CA-INS$600,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2020TX-SEC$600,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2013VT-FIN$600,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2020SEC$600,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2015FINRA$600,000
Northern Trust SecuritiesNorthern Trustinvestor protection violation2011FINRA$600,000
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2011FINRA$600,000
ScottradeCharles Schwab Corp.anti-money-laundering deficiencies2009FINRA$600,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009FINRA$600,000
Ocwen Loan Servicing, LLCOcwen Financialconsumer protection violation2017private lawsuit-federal$600,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2020SEC$586,000
State Street Research & Management CompanyBlackRockinvestor protection violation2005SEC$585,743
CUNA Mutual Insurance SocietyCUNA Mutualinsurance violation2007MULTI-FIN$584,622
AIG Property Casualty CompanyAmerican International Groupinsurance violation2020NY-DFS$583,900
Deutsche Bank Trust Company AmericasDeutsche Bankeconomic sanction violation2020OFAC$583,100
Wells FargoWells Fargoworkplace whistleblower retaliation2017OSHA$577,500
Oscar Insurance Corp.Oscar Health Inc.insurance violation2018NY-DFS$576,950
Farmers Insurance Exchange, Truck Insurance Exchange and Fire Insurance ExchangeFarmers Insurance Exchangetelecommunications violation2015MO-AG$575,000
A.G. Edwards & Sons Inc.Wells Fargoinvestor protection violation2007SC-SEC$575,000
Deutsche Bank SecuritiesDeutsche Bankinvestor protection violation2010FINRA$575,000
American Automobile Insurance Co.Allianzconsumer protection violation2011MA-AG$571,394
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$565,065
American Security Insurance Co.Assurantconsumer protection violation2015MA-AG$565,000
Western Sky Financial, LLC et al.CashCall Inc.consumer protection violation2014CO-AG$565,000
Erie Insurance Company and Erie Insurance Company of New YorkErie Indemnityinsurance violation2021NY-DFS$561,900
Barclays Bank PLCBarclaysinvestor protection violation2016CFTC$560,000
M&T BankM&T Bankanti-money-laundering deficiencies2014USAO$560,000
Morgan Keegan & Co., Inc.Raymond James Financialinvestor protection violation2006SEC$558,806
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$558,000
Farmers Insurance Exchange and Mid-Century Insurance CompanyFarmers Insurance Exchangeinsurance violation2012VA-INS$555,130
Mortgage Guaranty Insurance Corporation (MGIC)MGIC Investment Corp.mortgage abuses2012DOJ_RIGHTS$550,000
Citibank N.A.Citigroupdata submission deficiencies2017CFTC$550,000
John Hancock Life Insurance Co.Manulife Financialinvestor protection violation2014MA-AG$550,000
Allianz Life Insurance Company of North America et al.Allianzinsurance violation2016MN-FIN$550,000
Prudential Equity Group LLCPrudential Financialinvestor protection violation2004FINRA$550,000
Bank of America, N.A.Bank of Americaconsumer protection violation2018private lawsuit-federal$550,000
Credit Suisse Group AGUBSprice-fixing or anti-competitive practices2023private lawsuit-federal$550,000
State Farm Bank, FSBState Farm Insurancebanking violation2020OCC$547,200
M&T BankM&T Bankbanking violation2020FED$546,000
Globe Life Insurance Company of New YorkGlobe Life Inc.insurance violation2017NY-DFS$538,375
Cincinnati Insurance CompanyCincinnati Financialemployment discrimination2006private lawsuit-federal$537,500
Chubb Group Of CompaniesChubb Limitedinsurance violation2011WA-INS$534,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2010TX-INS$525,418
CitigroupCitigroupinvestor protection violation2012CFTC$525,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2009MULTI-FIN$525,000
Time Insurance CompanyHaven Holdingsinsurance violation2013NC-INS$524,000
Merrill Lynch & Co., Inc.Bank of Americawage and hour violation2008WHD$516,924
Toronto-Dominion BankToronto-Dominion Bankeconomic sanction violation2017OFAC$516,105
Cadaret, Grant & Co. Inc.Atria Wealth Solutionsinvestor protection violation2018SEC$513,194
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2023NJ-AG$502,000
Associated Bank, National AssociationAssociated Banc-Corpbanking violation2014OCC$500,000
Old National BankOld National Bancorpbanking violation2014OCC$500,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015SEC$500,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2015SEC$500,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2015SEC$500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2015SEC$500,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2015SEC$500,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2015SEC$500,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2015SEC$500,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2015SEC$500,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2015SEC$500,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLCBank of Americadata submission deficiencies2007CFTC$500,000
Morgan StanleyMorgan Stanleyinvestor protection violation2009SEC$500,000
UBS PaineWebber, Inc.UBSinvestor protection violation2003SEC$500,000
Barclays Bank PLCBarclaysdata submission deficiencies2016CFTC$500,000
Park National CorporationPark National Corp.accounting fraud or deficiencies2016SEC$500,000
HomeStreet IncHomeStreet Inc.accounting fraud or deficiencies2017SEC$500,000
Vanguard Group, Inc.Vanguard Groupemployment discrimination2008EEOC$500,000
Morgan StanleyMorgan Stanleyinvestor protection violation2017CFTC$500,000
Omega AdvisorsOmega AdvisorsForeign Corrupt Practices Act2007USAO$500,000
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2016SEC$500,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2016SEC$500,000
Barclays Capital Inc.Barclaysinvestor protection violation2016SEC$500,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2015SEC$500,000
Flagstar Bank, FSBNew York Community Bancorpbanking violation2016OCC$500,000
Compass BankPNC Financial Serviceswage and hour violation2015private lawsuit-federal$500,000
Rabobank N.A.Rabobankanti-money-laundering deficiencies2018USAO$500,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2018SEC$500,000
E*Trade Clearing LLCMorgan Stanleyinvestor protection violation2008SEC$500,000
U.S. Bank National AssociationU.S. Bancorpinvestor protection violation2005SEC$500,000
Dean Witter Reynolds Inc.Morgan Stanleyinvestor protection violation2002SEC$500,000
RBC Dain Rauscher IncorporatedRoyal Bank of Canadainvestor protection violation2002SEC$500,000
Deutsche Bank Trust Company AmericasDeutsche Bankinvestor protection violation2019SEC$500,000
Allianz Life Insurance Company of North AmericaAllianzinvestor protection violation2007MN-AG$500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.