Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$228,770,992,016
Number of Records: 
1,939
Note: 
The total includes only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The penalty dollar total above is adjusted to account for the fact that the list of entries below 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. Duplicate penalty amounts are marked with an asterisk in the individual records list below.

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$58,406,055,098119
JPMorgan Chase$29,715,750,70499
Citigroup$17,267,715,78968
Wells Fargo$14,779,993,51593
Deutsche Bank$12,527,268,08632
Royal Bank of Scotland$12,429,670,00016
Goldman Sachs$9,602,492,86026
BNP Paribas$9,542,129,75011
Credit Suisse$9,238,499,63019
HSBC$5,718,137,00740


Individual Penalty Records:

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Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
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 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 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
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
AIG Federal Savings Bank and Wilmington Finance Inc. American International Group discriminatory practices 2010 DOJ_RIGHTS $6,100,000
AIM Advisors, Inc. and AIM Distributors, Inc. Invesco securities issuance or trading violation 2004 SEC $50,000,000
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 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 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 Company Allstate employment discrimination 2009 EEOC $4,500,000
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
Ambac Financial Group et al. Ambac Financial toxic securities abuses 2013 USAO $101,900,000
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 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 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 International Group American International Group economic sanction violation 2017 OFAC $148,698
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 accounting fraud or deficiencies 2006 DOJ_CRIMINAL $25,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2004 DOJ_CRIMINAL $80,000,000
American International Group, Inc. American International Group securities issuance or trading violation 2006 SEC $800,000,000
American International Group, Inc. American International Group investor protection violation 2004 SEC $46,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2003 SEC $10,000,000
American Skandia Investment Services, Inc. Prudential Financial investor protection violation 2009 SEC $68,000,000
Ameriprise Financial Ameriprise Financial wage and hour violation 2011 private lawsuit-federal $185,000
Ameriprise Financial Services Ameriprise Financial investor protection violation 2018 SEC $230,000
Ameriprise Financial Services Inc. Ameriprise Financial investor protection violation 2018 SEC $4,500,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2009 SEC $17,300,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2017 SEC $8,750,000
Ameriprise Financial, Inc. Ameriprise Financial securities issuance or trading violation 2005 SEC $15,000,000
Ameriprise Financial, Inc. Ameriprise Financial investor protection violation 2005 SEC $30,000,000
Ameriprise Financial, Inc. Ameriprise Financial employment discrimination 2016 OFCCP $128,200
AmSouth Regions Financial anti-money-laundering deficiencies 2004 FINCEN $10,000,000
AmSouth Bancorporation Regions Financial fraud 2004 USAO $40,000,000
AmSouth Bank Regions Financial investor protection violation 2008 SEC $11,400,000
Aon Aon wage and hour violation 2011 private lawsuit-state $10,500,000
AON Consulting Corporation Inc Aon wage and hour violation 2004 WHD $47,131
Aon Corporation Aon Foreign Corrupt Practices Act 2011 DOJ_CRIMINAL $1,760,000
Aon Corporation Aon Foreign Corrupt Practices Act 2011 SEC $14,545,020
Arab Banking Corp. Arab Banking Corp. economic sanction violation 2004 OFAC $5,500
Arthur J. Gallagher Arthur J. Gallagher & Co. wage and hour violation 2011 private lawsuit-federal $3,900,000
ASI SERVICES Progressive aviation safety violation 2015 FAA $17,000
ASI SERVICES Progressive aviation safety violation 2015 FAA $27,000
Asset Acceptance LLC Encore Capital Group consumer protection violation 2012 FTC $2,500,000
Asset Acceptance, LLC Encore Capital Group Family and Medical Leave Act 2014 WHD $7,450
Associated Banc-Corp Associated Banc-Corp wage and hour violation 2012 private lawsuit-federal $1,275,000
Associated Bank, N.A. Associated Banc-Corp discriminatory practices 2015 HUD $200,000,000
Assurant Inc. Assurant accounting fraud or deficiencies 2010 SEC $3,500,000
Atlantic Credit and Finance, Inc. Encore Capital Group wage and hour violation 2006 WHD $9,422
Aurora Bank FSB Aurora Bank banking violation 2013 OCC $242,418,293
AXA Advisors AXA wage and hour violation 2016 private lawsuit-federal $2,300,000
AXA Advisors, LLC AXA investor protection violation 2012 SEC $100,000
AXA Advisors, LLC AXA investor protection violation 2009 SEC $50,000
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