Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$226,008,896,357
Number of Records: 
1,807
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$58,170,630,098115
JPMorgan Chase$29,684,489,39096
Citigroup$17,215,818,31464
Wells Fargo$14,710,307,58890
Deutsche Bank$12,489,545,40328
Royal Bank of Scotland$12,428,920,00015
Goldman Sachs$9,602,492,86026
BNP Paribas$9,542,129,75011
Credit Suisse$9,233,499,63018
Morgan Stanley$5,463,432,43550


Individual Penalty Records:

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Company Parent Primary Offense Type Yearsort icon Agency Penalty Amount
Dain Rauscher Incorporated Royal Bank of Canada securities issuance or trading violation 2000 SEC $12,941,191
Goldman, Sachs & Co. Goldman Sachs securities issuance or trading violation 2000 SEC $5,200,000
Lehman Brothers Inc. Lehman Brothers securities issuance or trading violation 2000 SEC $4,950,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America securities issuance or trading violation 2000 SEC $5,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley securities issuance or trading violation 2000 SEC $2,500,000
PaineWebber Incorporated UBS securities issuance or trading violation 2000 SEC $26,200,000
Prudential Securities Incorporated Wells Fargo securities issuance or trading violation 2000 SEC $5,880,000
Salomon Smith Barney Inc. Morgan Stanley securities issuance or trading violation 2000 SEC $45,000,000
Warburg Dillon Read LLC UBS securities issuance or trading violation 2000 SEC $6,680,000
Josephthal & Co. Oppenheimer Holdings employment discrimination 2000 EEOC $330,000
Mortgage One Corporation HSBC wage and hour violation 2000 WHD $18,912
First Union Bank Wells Fargo labor relations violation 2000 NLRB $9,116
Fifth Third Bank Fifth Third Bancorp employment discrimination 2000 OFCCP $440,000
DEPOSITORY TRUST & CLEARING CORP. Depository Trust workplace safety or health violation 2000 OSHA $13,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2000 MSHA $5,200
Wachovia National Bank, N.A. Wells Fargo benefit plan administrator violation 2000 EBSA $30,000,000
Republic New York Securities Corporation HSBC securities issuance or trading violation 2001 CFTC $5,000,000
Salomon Smith Barney Morgan Stanley employment discrimination 2001 EEOC $635,000
Republic New York Securities HSBC fraud 2001 USAO $569,000,000
PRUDENTIAL INS CO Prudential Financial environmental violation 2001 EPA $96,420
CORPUS CHRISTI ALUMINA Glencore environmental violation 2001 EPA $206,060
CANYON FUEL CO., LLC - SKYLINE (Permit UT0023540) Cwa Penalty Ao Trafigura environmental violation 2001 EPA $5,501
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2001 MSHA $5,000
Bank of America Bank of America wage and hour violation 2001 private lawsuit-state $22,000,000
Farmers Insurance Exchange Farmers Insurance Exchange wage and hour violation 2001 private lawsuit-state $90,009,208
Prudential Securities, Inc. Wells Fargo data submission deficiencies 2002 CFTC $65,000
THE COLUMBIA BANK Fulton Financial banking violation 2002 FDIC $7,000
Dexia, S.A. Dexia banking violation 2002 FED $50,000
Citigroup Inc. Citigroup consumer protection violation 2002 FTC $215,000,000
General American Life Insurance Company, Inc. MetLife False Claims Act 2002 DOJ_CIVIL $76,000,000
Bank of China Bank of China banking violation 2002 OCC $10,000,000
Deutsche Bank Securities Inc. Deutsche Bank data submission deficiencies 2002 SEC $1,650,000
Goldman, Sachs & Co. Goldman Sachs data submission deficiencies 2002 SEC $1,650,000
Morgan Stanley & Co. Incorporated Morgan Stanley data submission deficiencies 2002 SEC $1,650,000
Salomon Smith Barney Inc. Morgan Stanley data submission deficiencies 2002 SEC $1,650,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray data submission deficiencies 2002 SEC $1,650,000
Credit Suisse First Boston Corporation Credit Suisse securities issuance or trading violation 2002 SEC $100,000,000
MetLife Financial Services MetLife labor relations violation 2002 NLRB $18,500
International Matex Tank Terminals Macquarie railroad safety violation 2002 FRA $9,750
ALLSTATE Allstate workplace safety or health violation 2002 OSHA $69,500
CORPUS CHRISTI ALUMINA Glencore environmental violation 2002 EPA $5,000
Morgan Stanley Capital Group, Inc. Morgan Stanley environmental violation 2002 EPA $7,500
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2002 MSHA $25,000
Ditech Ditech Holding Corporation wage and hour violation 2002 private lawsuit-federal $6,150,000
Coast National Insurance Zurich Insurance wage and hour violation 2002 private lawsuit-state $18,000,000
A.G. Edwards & Sons, Inc. Wells Fargo data submission deficiencies 2003 CFTC $45,000
SCOTIABANK DE PUERTO RICO Scotiabank banking violation 2003 FDIC $8,000
Cleco Corporation Macquarie energy market violation 2003 FERC $2,850,000
Crawford Healthcare Management of Norfolk & Baltimore Crawford & Co. fraud 2003 DOJ_CRIMINAL $8,000,000
PNC ICLC Corp. PNC Financial Services accounting fraud or deficiencies 2003 DOJ_CRIMINAL $115,000,000
Bank of America Bank of America economic sanction violation 2003 OFAC $158,038
Bank of New York Bank of New York Mellon economic sanction violation 2003 OFAC $24,750
Barclays Bank PLC Barclays economic sanction violation 2003 OFAC $10,107
Credit Lyonnais, NY Credit Agricole economic sanction violation 2003 OFAC $5,500
Deutsche Bank A.G. Deutsche Bank economic sanction violation 2003 OFAC $5,500
Guy Carpenter & Company, Inc Marsh & McLennan economic sanction violation 2003 OFAC $50,000
HSBC Bank USA HSBC economic sanction violation 2003 OFAC $5,500
HSBC Bank USA HSBC economic sanction violation 2003 OFAC $11,000
National City Bank PNC Financial Services economic sanction violation 2003 OFAC $5,500
Northern Trust, IBC Northern Trust economic sanction violation 2003 OFAC $18,027
Societe Generale Societe Generale economic sanction violation 2003 OFAC $6,600
Societe Generale Societe Generale economic sanction violation 2003 OFAC $11,000
State Street Bank & Trust Co State Street Corp. economic sanction violation 2003 OFAC $22,000
UBS (USA) Inc UBS economic sanction violation 2003 OFAC $14,750
UBS (USA) Inc UBS economic sanction violation 2003 OFAC $5,000
Wells Fargo Bank Wells Fargo economic sanction violation 2003 OFAC $5,500
National City Bank PNC Financial Services banking violation 2003 OCC $56,800
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce accounting fraud or deficiencies 2003 SEC $80,000,000
Alliance Capital Management L.P. AXA securities issuance or trading violation 2003 SEC $250,000,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2003 SEC $50,000,000
J.P. Morgan Securities Inc. JPMorgan Chase securities issuance or trading violation 2003 SEC $25,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2003 SEC $10,000,000
Goldman Sachs Goldman Sachs securities issuance or trading violation 2003 SEC $9,305,382
Massachusetts Financial Services Company Sun Life Financial securities issuance or trading violation 2003 SEC $917,858
UBS PaineWebber, Inc. UBS financial institution supervision failures 2003 SEC $500,000
Lehman Brothers, Inc. Lehman Brothers financial institution supervision failures 2003 SEC $2,500,000
SG Cowen Securities Corporation Cowen Inc. financial institution supervision failures 2003 SEC $5,000,000
Citigroup, Inc. Citigroup accounting fraud or deficiencies 2003 SEC $101,000,000
Citigroup, Inc. Citigroup accounting fraud or deficiencies 2003 SEC $19,000,000
J.P. Morgan Chase & Co. JPMorgan Chase accounting fraud or deficiencies 2003 SEC $135,000,000
Prudential Securities, Inc. Wells Fargo investor protection violation 2003 SEC $382,000
Bear, Stearns & Co. Inc. JPMorgan Chase investor protection violation 2003 SEC $80,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. Citigroup investor protection violation 2003 SEC $400,000,000
Credit Suisse First Boston LLC Credit Suisse investor protection violation 2003 SEC $200,000,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2003 SEC $110,000,000
J.P. Morgan Securities Inc. JPMorgan Chase investor protection violation 2003 SEC $80,000,000
Lehman Brothers Inc. Lehman Brothers investor protection violation 2003 SEC $80,000,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America investor protection violation 2003 SEC $200,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2003 SEC $125,000,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray investor protection violation 2003 SEC $32,500,000
UBS Warburg LLC UBS investor protection violation 2003 SEC $80,000,000
Merrill Lynch & Co. Inc. Bank of America accounting fraud or deficiencies 2003 SEC $80,000,000
Robertson Stephens Inc. Bank of America securities issuance or trading violation 2003 SEC $33,000,000
Cleco Corporation Macquarie energy market violation 2003 FERC $2,850,000
Allied Home Mortgage Capital Corporation Americus Mortgage consumer protection violation 2003 HUD $370,000
Household International HSBC wage and hour violation 2003 WHD $54,328
Bear Stearns Companies Inc. JPMorgan Chase wage and hour violation 2003 WHD $358,974
IMTT Bayonne Macquarie railroad safety violation 2003 FRA $5,000
Banco Popular de Puerto Rico Popular Inc. anti-money-laundering deficiencies 2003 DOJ_CRIMINAL $21,600,000
Credit Lyonnais Credit Agricole fraud 2003 USAO $100,000,000
CORPUS CHRISTI ALUMINA Glencore environmental violation 2003 EPA $6,300
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