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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$305,105,263,779
Number of Records: 
2,625
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 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
Bank of America$82,522,027,262175
JPMorgan Chase$34,478,944,885134
Citigroup$24,924,780,72193
Wells Fargo$17,227,960,815129
UBS$16,756,803,33165
Deutsche Bank$16,539,630,97845
Royal Bank of Scotland$13,298,670,00023
Goldman Sachs$13,024,635,98734
Morgan Stanley$9,711,665,63776
BNP Paribas$9,542,129,75011


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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Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
1st Financial Bank U.S.A. 1st Financial Bank USA banking violation 2005 WI-AG $43,142
1st Financial Bank USA 1st Financial Bank USA banking violation 2010 FDIC $10,140,000
1ST FINANCIAL BANK USA 1st Financial Bank USA banking violation 2009 FDIC $140,000
A.G. Edwards Wells Fargo wage and hour violation 2009 private lawsuit-federal $12,000,000
A.G. Edwards Wells Fargo wage and hour violation 2007 private lawsuit-federal $20,000,000
A.G. Edwards & Sons, Inc. Wells Fargo data submission deficiencies 2003 CFTC $45,000
A.G. Edwards & Sons, Inc. Wells Fargo financial institution supervision failures 2007 SEC $3,860,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2006 SEC $125,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2008 NJ-AG $387,000
A.G. Edwards and Sons Inc. Wells Fargo economic sanction violation 2008 OFAC $122,358
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V. ABN AMRO economic sanction violation 2010 DOJ_CRIMINAL $500,000,000
ABN AMRO Bank, Inc ABN AMRO economic sanction violation 2004 OFAC $25,847
ABN AMRO Bank, N.V. ABN AMRO economic sanction violation 2006 OFAC $40,000,000
ABN AMRO Bank, N.V. ABN AMRO investor protection violation 2013 SEC $5,547,408
ABN AMRO Clearing Chicago LLC ABN AMRO securities issuance or trading violation 2013 CFTC $1,000,000
ABN AMRO Clearing Chicago LLC ABN AMRO securities issuance or trading violation 2018 CFTC $160,000
ABN AMRO Incorporated ABN AMRO investor protection violation 2001 SEC $200,000
ABN AMRO Mortgage Group ABN AMRO mortgage abuses 2006 HUD $41,000,000
Ace America's Cash Express ACE Cash Express wage and hour violation 2004 CA-LCO $75,000
Ace America's Cash Express, Inc. ACE Cash Express wage and hour violation 2004 WHD $26,295
ACE Cash Express ACE Cash Express consumer protection violation 2014 CFPB $15,000,000
Ace Cash Express, Inc. ACE Cash Express wage and hour violation 2012 WHD $18,852
Ace Cash Express, Inc. ACE Cash Express wage and hour violation 2005 WHD $12,796
ACE Cash Express, Inc. ACE Cash Express payday lending violation 2002 CO-AG $1,300,000
ACE Group Holdings, Inc. Chubb Limited price-fixing or anti-competitive practices 2007 MULTI-AG $4,500,000
ACE Limited Chubb Limited price-fixing or anti-competitive practices 2007 PA-AG $9,000,000
ACE, Ltd Chubb Limited price-fixing or anti-competitive practices 2006 MULTI-AG $80,000,000
AEGON USA Investment Management LLC et al. Aegon investor protection violation 2018 SEC $97,600,000
AFB&T Synovus Financial banking violation 2009 FDIC $7,040
Aflac Inc. Aflac consumer protection violation 2017 MULTI-AG $350,000
AIG Federal Savings Bank and Wilmington Finance Inc. American International Group discriminatory practices 2010 DOJ_RIGHTS $6,100,000
AIM Advisors Invesco securities issuance or trading violation 2004 MULTI-AG (*) $125,000,000
AIM Advisors, Inc. and AIM Distributors, Inc. Invesco securities issuance or trading violation 2004 SEC $50,000,000
Alliance Capital Management AXA securities issuance or trading violation 2003 NY-AG (*) $600,000,000
Alliance Capital Management L.P. AXA securities issuance or trading violation 2003 SEC $250,000,000
AllianceBernstein AXA wage and hour violation 2013 private lawsuit-federal $2,980,000
AllianceBernstein, L.P. AXA investor protection violation 2007 SEC $450,000
Allianz Asset Management of America, L.P. Allianz benefit plan administrator violation 2018 private lawsuit-federal $12,000,000
Allianz Dresdner Asset Management of America LP Allianz investor protection violation 2004 NJ-AG $18,000,000
Allianz Life Insurance Company of North America Allianz investor protection violation 2007 MN-AG $500,000
Allianz Life Insurance Company of North America Allianz consumer protection violation 2015 MULTI-AG $4,700,000
Allianz Life Insurance Company of North America Allianz consumer protection violation 2012 MULTI-AG $10,000,000
Allianz SE Allianz Foreign Corrupt Practices Act 2012 SEC $12,396,423
Allied Home Mortgage Americus Mortgage wage and hour violation 2004 WHD $14,037
Allied Home Mortgage Americus Mortgage fraud 2017 USAO $296,298,325
Allied Home Mortgage Capital Corporation Americus Mortgage consumer protection violation 2003 HUD $370,000
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2006 WHD $14,479
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2006 WHD $1,800,282
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2006 WHD $30,928
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2005 WHD $9,830
ALLO COMMUNICATIONS Nelnet workplace safety or health violation 2011 OSHA $10,500
ALLSTATE Allstate workplace safety or health violation 2002 OSHA $69,500
Allstate Allstate consumer protection violation 2003 TX-AG $3,440,000
Allstate Company, Inc. Allstate wage and hour violation 2007 MA-AG $125,000
Allstate Insurance Allstate wage and hour violation 2017 private lawsuit-state $2,000,000
Allstate Insurance Allstate wage and hour violation 2005 private lawsuit-state $120,000,000
Allstate Insurance Co. Allstate privacy violation 2003 PA-AG $10,000
Allstate Insurance Company Allstate employment discrimination 2009 EEOC $4,500,000
Allstate Insurance Company Allstate wage and hour violation 2018 private lawsuit-state $5,500,000
Ally Financial Ally Financial mortgage abuses 2012 MULTI-AG (*) $109,628,425
Ally Financial Inc. Ally Financial banking violation 2012 FED $207,000,000
Ally Financial Inc. Ally Financial toxic securities abuses 2016 USAO $52,000,000
Ally Financial Inc. (formerly GMAC) Ally Financial mortgage abuses 2012 DOJ_CIVIL $309,600,000
Ally Financial Inc. and Ally Bank Ally Financial consumer protection violation 2013 CFPB $98,000,000
Ally Financial Services Ally Financial wage and hour violation 2019 WHD $198,311
Ambac Financial Group et al. Ambac Financial toxic securities abuses 2013 USAO $101,900,000
Ambac Financial Group, Inc. Ambac Financial benefit plan administrator violation 2012 private lawsuit-federal $2,550,000
American Bankers Insurance Co. Assurant consumer protection violation 2006 MA-AG $20,000
American Express American Express consumer protection violation 2013 CFPB $69,100,000
American Express American Express consumer protection violation 2012 CFPB $99,100,000
American Express American Express economic sanction violation 2004 OFAC $18,391
American Express American Express consumer protection violation 2017 CFPB $96,000,000
American Express American Express economic sanction violation 2017 OFAC $204,277
American Express Bank International American Express anti-money-laundering deficiencies 2007 DOJ_CRIMINAL $55,000,000
American Express Bank Ltd. American Express economic sanction violation 2004 OFAC $5,041
American Express Bank, FSB American Express banking violation 2013 OCC $7,500,000
American Express Bank, FSB American Express banking violation 2012 OCC $6,500,000
American Express Centurion Bank American Express banking violation 2013 FDIC $3,600,000
American Express Centurion Bank American Express banking violation 2012 FDIC $3,900,000
American Express Centurion Bank American Express banking violation 2009 FDIC $250,000
American Express Centurion Bank American Express tax violations 2012 CT-AG $14,970
American Express Co. American Express consumer protection violation 2003 NY-AG $3,285,000
AMERICAN EXPRESS COMPANY American Express banking violation 2012 FED $9,000,000
American Express Company American Express economic sanction violation 2004 OFAC $5,500
American Express Financial Advisors Ameriprise Financial employment discrimination 2002 private lawsuit-federal $31,000,000
American Express Financial Advisors Inc. Ameriprise Financial securities issuance or trading violation 2004 SEC $3,706,693
American Express Financial Advisors Inc. Ameriprise Financial financial institution supervision failures 2005 NJ-AG $5,000,000
American Express Publishing Corporation American Express consumer protection violation 2000 MULTI-AG $200,000
American Express Travel Related Services Co., Inc. American Express economic sanction violation 2007 OFAC $16,625
American Express Travel Related Services Comp American Express Family and Medical Leave Act 2004 WHD $26,722
AMERICAN FAMILY INSURANCE American Family Insurance workplace safety or health violation 2012 OSHA $12,500
American Heritage Life Insurance Co. Allstate consumer protection violation 2007 TX-AG $1,700,000
American International Group American International Group economic sanction violation 2017 OFAC $148,698
American International Group American International Group wage and hour violation 2009 MA-AG $900,000
American International Group American International Group False Claims Act and related 2008 MA-AG $218,920
American International Group American International Group False Claims Act and related 2007 MA-AG $58,500,000
American International Group American International Group price-fixing or anti-competitive practices 2006 NY-AG (*) $1,619,000,000
American International Group American International Group investor protection violation 2010 OH-AG $725,000,000
American International Group American International Group price-fixing or anti-competitive practices 2010 OH-AG $9,000,000
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLAN American International Group benefit plan administrator violation 2005 EBSA $50,001
American International Group Inc. American International Group investor protection violation 2010 OR-AG $8,000,000
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