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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 TypeYear sort iconAgencyPenalty Amount
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004SEC$2,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzinvestor protection violation2004SEC$11,600,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2004SEC$350,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzinvestor protection violation2004SEC$50,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2004SEC$87,500,000
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2004SEC$12,500,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2004SEC$125,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2004SEC$875,000
Morgan Keegan & Co., Inc.Raymond James Financialinvestor protection violation2004SEC$875,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.Prudential Financialinvestor protection violation2004SEC$375,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities CorporationToronto-Dominion Bankinvestor protection violation2004SEC$125,000
Janus Capital Management LLCJanus Hendersoninvestor protection violation2004SEC$100,000,000
Conseco, Inc.CNO Financialinvestor protection violation2004SEC$15,000,000
Fidelity Brokerage Services, LLCFidelity Investmentsinvestor protection violation2004SEC$1,000,000
Franklin Advisers, Inc.Franklin Resourcesinvestor protection violation2004SEC$50,000,000
Banc One Investment Advisors CorporationJPMorgan Chaseinvestor protection violation2004SEC$50,000,000
Wilmington Trust CompanyM&T Bankinvestor protection violation2004SEC$125,000
Strong Capital Management, Inc.Wells Fargoinvestor protection violation2004SEC$80,000,000
Putnam Investment Management LLCFranklin Resourcesinvestor protection violation2004SEC$55,000,000
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2004SEC$50,000,000
Spear, Leeds & Kellogg Specialists LLCGoldman Sachsinvestor protection violation2004SEC$45,272,478
FleetBoston Financial CorporationBank of Americainvestor protection violation2004SEC$140,000,000
Banc of America Securities LLCBank of Americainvestor protection violation2004SEC$10,000,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2004SEC$3,706,693
Legg Mason Wood Walker, Inc.Franklin Resourcesinvestor protection violation2004SEC$2,315,467
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2004SEC$2,595,129
UBS Financial Services Inc.UBSinvestor protection violation2004SEC$4,621,768
Wachovia Securities, LLCWells Fargoinvestor protection violation2004SEC$4,844,465
Massachusetts Financial Services Co.Sun Life Financialinvestor protection violation2004SEC$225,000,000
AmSouthRegions Financialanti-money-laundering deficiencies2004FINCEN$10,000,000
Morgan StanleyMorgan Stanleyemployment discrimination2004EEOC$54,000,000
National City Mortgage, Co.PNC Financial Serviceswage and hour violation2004WHD$6,150
American Express Travel Related Services CompAmerican ExpressFamily and Medical Leave Act2004WHD$26,722
First Horizon National CorporationFirst Horizon Nationalwage and hour violation2004WHD$9,344
Ace America's Cash Express, Inc.ACE Cash Expresswage and hour violation2004WHD$26,295
Towers PerrinWillis Towers Watsonwage and hour violation2004WHD$376,093
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2004WHD$228,209
Bank of America CorporationBank of Americawage and hour violation2004WHD$5,972
AON Consulting Corporation IncAonwage and hour violation2004WHD$47,131
JPMorgan Chase BankJPMorgan Chasewage and hour violation2004WHD$19,373
Santander Mortgage CorporationBanco Santanderwage and hour violation2004WHD$62,895
Countrywide Financial CorporationBank of Americawage and hour violation2004WHD$54,453
Sentry Insurance a Mutual CompanySentry Insurancewage and hour violation2004WHD$46,524
Fidelity National Financial, IncFidelity National Financialwage and hour violation2004WHD$7,945
Allied Home MortgageAmericus Mortgagewage and hour violation2004WHD$14,037
Banco Popular North America, Inc.Popular Inc.wage and hour violation2004WHD$17,363
Wachovia BankWells Fargowage and hour violation2004WHD$5,798,744
CINCINNATI BELLMacquarielabor relations violation2004NLRB$39,200
AmSouth BancorporationRegions Financialfraud2004USAO$40,000,000
Ace America's Cash ExpressACE Cash Expresswage and hour violation2004CA-LCO$75,000
ProgressiveProgressivewage and hour violation2004private lawsuit-federal$5,400,000
Spencer Press of MaineChatham Asset Managementemployment discrimination2004private lawsuit-federal$480,552
R.R. Donnelley & SonsChatham Asset Managementemployment discrimination2004private lawsuit-federal$15,000,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSinvestor protection violation2004SEC$1,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2004SEC$2,000,000
Household InternationalHSBCbenefit plan administrator violation2004private lawsuit-federal$46,500,000
AIM AdvisorsInvescoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Allianz Dresdner Asset Management of America LPAllianzinvestor protection violation2004NJ-AG$18,000,000
Banc of America Capital Management LLC et al.Bank of Americainvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $375,000,000
Banc One Investment Advisors CorporationJPMorgan Chaseinvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,000,000
CIT Technology Financing Services, Inc.First Citizens BancSharesconsumer protection violation2004NY-AG$4,200,000
Conseco, Inc.CNO Financialinvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $15,000,000
DeLage Landen Financial ServicesRabobankconsumer protection violation2004NY-AG$405,000
FleetBoston Financial Corp.Bank of Americainvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000
Franklin/Templeton Distributors, Inc.Franklin Resourcesinvestor protection violation2004CA-AG$18,000,000
Invesco Funds GroupInvescoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $325,000,000
Janus Capital ManagementJanus Hendersoninvestor protection violation2004MULTI-AG$225,000,000
Massachusetts Financial Services Co.Sun Life Financialinvestor protection violation2004NY-AG$350,000,000
Metropolitan Life Insurance Co.MetLifeconsumer protection violation2004MA-AG$150,000
PayPalPayPal Holdingsconsumer protection violation2004NY-AG$150,000
Strong Capital Management Co.Wells Fargoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $115,000,000
UnumProvident CorporationUnumconsumer protection violation2004MULTI-AG$15,000,000
Wells FargoWells Fargoconsumer protection violation2004NY-AG$2,900,000
FIRST BANKFirst Bancorp (North Carolina)banking violation2004FDIC$12,000
Jackson Hewitt Inc.Jackson Hewittconsumer protection violation2004NY-NYCDCWP$125,000
Indiana Insurance Co.Liberty Mutual Insuranceemployment discrimination2004EEOC$178,065
Fifth Third BankFifth Third Bancorpemployment discrimination2004EEOC$225,000
Wilmington Trust Co.M&T Bankemployment discrimination2004EEOC$70,000
Travelers Insurance CompanyTravelersFalse Claims Act and related2004USAO$10,900,000
Progressive Casualty Insurance Co. et al.Progressiveinsurance violation2004CA-INS$100,000
American Bankers Insurance Company of Florida et al.Assurantinsurance violation2004CA-INS$150,000
Bristol West Insurance Co.Zurich Insuranceinsurance violation2004FL-OFR$26,500
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2004FL-OFR$47,500
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2004FL-OFR$5,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2004FL-OFR$5,500
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2004FL-OFR$10,000
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2004FL-OFR$5,950
Life Investors Insurance Company of AmericaAegoninsurance violation2004FL-OFR$11,000
World Group Securities, Inc.Aegoninvestor protection violation2004ID-SEC$15,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2004IL-SEC$5,000
Sun LIfe Assurance Company of Canada et al.Sun Life Financialinsurance violation2004IN-INS$125,000
Progressive Casualty Insurance Co. et al.Progressiveinsurance violation2004KS-INS$19,800
Morgan Stanley D.W., Inc.Morgan Stanleyinvestor protection violation2004KY-FIN$100,000
Allstate Life Insurance CompanyAllstateinsurance violation2004MA-INS$25,000
Conseco Health Insurance Co.CNO Financialinsurance violation2004ME-INS$10,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$20,000
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2004MN-FIN$5,000
Conseco Health Insurance Co.CNO Financialinsurance violation2004MN-FIN$5,000
Universal Underwriter Insurance Co.Zurich Insuranceinsurance violation2004MN-FIN$200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.