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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
Societe Generale, S.A.Societe Generaleprice-fixing or anti-competitive practices2016private lawsuit-federal$25,412,500
Cooperatieve Rabobank U.ARabobankprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
Lloyds Banking Group plcLloyds Banking Groupprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
Royal Bank of CanadaRoyal Bank of Canadaprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
Portigon Financial ServicesPortigon Financial Servicesprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2001NJ-DBI$25,100,000
PayPal Inc.PayPal Holdingsconsumer protection violation2015CFPB$25,000,000
Bank of America, National AssociationBank of Americabanking violation2014OCC$25,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2006DOJ_CRIMINAL$25,000,000
Riggs Bank National AssociationPNC Financial Servicesanti-money-laundering deficiencies2004OCC$25,000,000
ICAP plcCME Groupinvestor protection violation2009SEC$25,000,000
Zurich Financial ServicesZurich Insuranceaccounting fraud or deficiencies2008SEC$25,000,000
The BISYS GroupCitigroupaccounting fraud or deficiencies2007SEC$25,000,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2003SEC$25,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2017CFTC$25,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americabenefit plan administrator violation2017private lawsuit-federal$25,000,000
Citibank, N.A.Citigroupbanking violation2019OCC$25,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2010FL-AG$25,000,000
MBIA, Inc.MBIAinvestor protection violation2007NY-AG$25,000,000
Merrill Lynch Commodities Inc.Bank of Americaprice-fixing or anti-competitive practices2019DOJ_CRIMINAL$25,000,000
Wachovia Capital Markets LLCWells Fargoinvestor protection violation2006MULTI-AG$25,000,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003NY-MANDA$25,000,000
J.P. Morgan Chase & Co.JPMorgan Chaseaccounting fraud or deficiencies2003NY-MANDA$25,000,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
UBS Warburg and UBS PaineWebberUBSinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
MetLife Securities, Inc.MetLifeinvestor protection violation2016FINRA$25,000,000
Farmers InsuranceZurich Insuranceinsurance violation2021OK-AG$25,000,000
UBS Financial Services Inc.UBSinvestor protection violation2022SEC$25,000,000
Westpac Banking CorporationWestpac Bankingprice-fixing or anti-competitive practices2022private lawsuit-federal$25,000,000
BMO Capital Markets CorpBank of Montrealinvestor protection violation2023SEC$25,000,000
Mizuho Securities USA LLCMizuho Financialinvestor protection violation2023SEC$25,000,000
DWS Investment Management Americas Inc.Deutsche Bankinvestor protection violation2023SEC$25,000,000
Genworth Life and Annuity InsuranceGenworth Financialconsumer protection violation2022private lawsuit-federal$24,997,961
Citigroup Mortgage Loan Trust Inc.Citigroupconsumer protection violation2012private lawsuit-federal$24,975,000
Merrill Lynch Commodities, Inc.Bank of Americainvestor protection violation2019CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $24,900,000
UBS Financial Services Inc.UBSinvestor protection violation2006NJ-AG$24,750,000
Western Sky Financial, LLC and CashCall, Inc.CashCall Inc.consumer protection violation2015MI-AG$24,700,000
Wachovia Capital Markets LLCWells Fargoinvestor protection violation2007MULTI-FIN$24,650,000
Stifel, Nicolaus & Co., Inc.Stifel Financialinvestor protection violation2016SEC$24,500,000
John Hancock Life Insurance CompanyManulife Financialdiscriminatory practices (non-employment)2009private lawsuit-federal$24,400,000
American International Group, Inc.American International Groupbenefit plan administrator violation2008private lawsuit-federal$24,200,000
BNY Mellon Securities LLCBank of New York Melloninvestor protection violation2011SEC$24,045,447
JPMorgan ChaseJPMorgan Chaseemployment discrimination2018private lawsuit-federal$24,000,000
BB&T CorporationTruist Financialbenefit plan administrator violation2019private lawsuit-federal$24,000,000
Hartford Life Insurance CompanyHartford Financial Servicesinsurance violation2012NY-DFS$24,000,000
BancorpSouth BankCadence Bankconsumer protection violation2016private lawsuit-federal$24,000,000
PNC Bank N.A.PNC Financial Servicesconsumer protection violation2016private lawsuit-federal$24,000,000
BofA Securities, Inc.Bank of Americainvestor protection violation2023FINRA$24,000,000
Wells FargoWells Fargoconsumer protection violation2010MULTI-AG$23,700,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2017NY-AG$23,500,000
HSBC Bank USA N.A.HSBCconsumer protection violation2012private lawsuit-federal$23,500,000
UBS Financial Services, Inc.UBSinvestor protection violation2007NY-AG$23,300,000
Citigroup Inc.Citigroupprice-fixing or anti-competitive practices2016private lawsuit-federal$23,000,000
Voya Financial Advisors, Inc.Voya Financialinvestor protection violation2020SEC$22,919,155
TIAA-CREFTIAAbenefit plan administrator violation2014private lawsuit-federal$22,800,000
Regions Financial Corp.Regions Financialbenefit plan administrator violation2014private lawsuit-federal$22,500,000
Morgan StanleyMorgan Stanleytoxic securities abuses2016IL-AG$22,500,000
Goldman SachsGoldman Sachsinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $22,500,000
JPMorgan Chase BankJPMorgan Chaseconsumer protection violation2014private lawsuit-federal$22,125,000
Citigroup Inc.Citigroupbanking violation2012FED$22,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2012SEC$22,000,000
Bank of AmericaBank of Americawage and hour violation2001private lawsuit-state$22,000,000
Santander Consumer USA Holdings Inc.Banco Santanderconsumer protection violation2017MA-AG$22,000,000
Wells FargoWells Fargoworkplace whistleblower retaliation2022OSHA$22,000,000
Bank of America, N.A.Bank of Americaconsumer protection violation2019private lawsuit-federal$22,000,000
Prudential Insurance Company of AmericaPrudential Financialconsumer protection violation2005private lawsuit-federal$22,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2023private lawsuit-federal$22,000,000
Deutsche Bank Americas Holding Corp.Deutsche Bankbenefit plan administrator violation2019private lawsuit-federal$21,900,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2022private lawsuit-federal$21,864,673
World Acceptance CorporationWorld Acceptance CorporationForeign Corrupt Practices Act2020SEC$21,700,000
Union Bank of California, N.A.U.S. Bancorpanti-money-laundering deficiencies2007DOJ_CRIMINAL$21,600,000
Banco Popular de Puerto RicoPopular Inc.anti-money-laundering deficiencies2003DOJ_CRIMINAL$21,600,000
Fifth Third BankFifth Third Bancorpconsumer protection violation2015CFPB$21,500,000
QBE Holdings Inc.QBE Insuranceinsurance violation2017MULTI-FIN$21,164,000
National Western Life Insurance Co.National Western Lifeconsumer protection violation2014private lawsuit-federal$21,020,000
SunTrust Mortgage Inc.Truist Financialbanking violation2012DOJ_RIGHTS$21,000,000
Merrill LynchBank of Americawage and hour violation2013private lawsuit-federal$21,000,000
Edward D. Jones & Co.Jones Financialwage and hour violation2008private lawsuit-federal$21,000,000
Western Asset Management CompanyFranklin Resourcesbenefit plan administrator violation2014EBSA$21,000,000
Bank of America CorpBank of Americabenefit plan administrator violation2011private lawsuit-federal$21,000,000
NatWest Markets PLCNatWest Group PLCprice-fixing or anti-competitive practices2023private lawsuit-federal$21,000,000
BNP Paribas Securities Corp.BNP Paribasprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Cantor Fitzgerald & Co.Cantor Fitzgeraldprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Citigroup Global Markets Inc.Citigroupprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Credit Suisse Securities (USA) LLCUBSprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
HSBC Securities (USA) Inc.HSBCprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
J.P. Morgan Securities LLCJPMorgan Chaseprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americaprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Morgan Stanley & Co. LLCMorgan Stanleyprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Nomura Securities International Inc.Nomuraprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
SG Americas Securities LLCSociete Generaleprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
TD Securities (USA) LLCToronto-Dominion Bankprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
UBS Securities LLCUBSprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Wells Fargo & CompanyWells Fargoprice-fixing or anti-competitive practices2022private lawsuit-federal$20,820,000
IFCO SystemsTriton Investments Adviserswork visa violations2008USAO$20,700,000
U.S. BankU.S. Bancorpconsumer protection violation2023CFPB$20,700,000
CitigroupCitigrouptoxic securities abuses2011NCUA$20,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.