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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
National City BankPNC Financial Servicesbanking violation2009OCC$34,265
Wells Fargo Bank, National AssociationWells Fargobanking violation2009OCC$51,205
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2009OCC$100,000
First National Bank of OmahaFirst National of Nebraskabanking violation2009OCC$100,000
Capital One, National AssociationCapital One Financialbanking violation2009OCC$125,000
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2009PHMSA$7,500
ICAP plcCME Groupinvestor protection violation2009SEC$25,000,000
J.P. Morgan Securities Inc.JPMorgan Chasekickbacks and bribery2009SEC$75,000,000
Regions BankRegions Financialinvestor protection violation2009SEC$1,000,000
Bank of America CorporationBank of Americainvestor protection violation2009SEC$33,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2009SEC$500,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009SEC$17,300,000
Evergreen Investment Management Company LLCWells Fargoinvestor protection violation2009SEC$40,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2009SEC$7,000,000
UBS AGUBStax violations2009SEC$200,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2009SEC$1,000,000
Allstate Insurance CompanyAllstateemployment discrimination2009EEOC$4,500,000
NationwideNationwidewage and hour violation2009WHD$28,290
JPMorgan Chase Bank, NAJPMorgan Chasewage and hour violation2009WHD$6,996
Zions BancorporationZions Bancorporationwage and hour violation2009WHD$15,347
The Travelers Indemnity CompanyTravelerswage and hour violation2009WHD$21,283
Sun Life Assurance Company of Canada (U.S.)Sun Life Financialwage and hour violation2009WHD$6,366
Gerber Life Insurance CompanyWestern & Southern Financial Groupwage and hour violation2009WHD$172,799
Sun Life Assurance Company of Canada (U.S.)Sun Life Financialwage and hour violation2009WHD$25,744
Barclays Capital Inc.Barclayswage and hour violation2009WHD$9,707
IFCO Systems North America, Inc.Triton Investments Adviserswage and hour violation2009WHD$22,377
Metropolitan Life Insurance CompanyMetLifeFamily and Medical Leave Act2009WHD$6,375
CitigroupCitigroupwage and hour violation2009WHD$38,926
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$37,951
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$28,560
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$85,353
National City CorporationPNC Financial Serviceslabor relations violation2009NLRB$24,083
El Paso Electric CompanyJPMorgan Chaselabor relations violation2009NLRB$11,500
Washington Mutual BankJPMorgan Chasewage and hour violation2009private lawsuit-federal$38,000,000
Wachovia SecuritiesWells Fargowage and hour violation2009private lawsuit-federal$39,000,000
Prudential FinancialPrudential Financialwage and hour violation2009private lawsuit-federal$11,000,000
TD AmeritradeCharles Schwab Corp.wage and hour violation2009private lawsuit-federal$2,500,000
AXA FinancialEquitable Holdingswage and hour violation2009private lawsuit-federal$6,500,000
A.G. EdwardsWells Fargowage and hour violation2009private lawsuit-federal$12,000,000
MetLifeMetLifewage and hour violation2009private lawsuit-federal$7,400,000
Janney Montgomery ScottPenn Mutualwage and hour violation2009private lawsuit-federal$2,880,000
Morgan StanleyMorgan Stanleywage and hour violation2009private lawsuit-federal$50,000,000
HSBC Auto FinanceHSBCwage and hour violation2009private lawsuit-federal$420,000
Banco PopularPopular Inc.wage and hour violation2009private lawsuit-federal$1,050,000
Champion Mortgage and KeyBankKeyCorpwage and hour violation2009private lawsuit-federal$1,200,000
Home Loan Center Inc.LendingTreewage and hour violation2009private lawsuit-federal$2,500,000
Hewitt AssociatesAonwage and hour violation2009private lawsuit-federal$4,900,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2009SEC$150,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2009SEC$50,000
New York Life Investment Management LLCNew York Life Insuranceinvestor protection violation2009SEC$6,100,784
American Skandia Investment Services, Inc.Prudential Financialinvestor protection violation2009SEC$68,000,000
TD Options LLCToronto-Dominion Bankinvestor protection violation2009SEC$1,000,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLCGoldman Sachsinvestor protection violation2009SEC$7,200,000
Knight Financial Products, LLCVirtu Financialinvestor protection violation2009SEC$2,040,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2009SEC$125,000
Oppenheimer & Co. IncOppenheimer Holdingsinvestor protection violation2009SEC$850,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2009SEC$8,384,932
Ferris, Baker Watts, Inc.Royal Bank of Canadainvestor protection violation2009SEC$800,656
Gabelli Funds, LLCGamco Investors Inc.investor protection violation2009SEC$450,000
Bank of HawaiiBank of Hawaiibenefit plan administrator violation2009EBSA$2,500,000
Banc of America Investment ServicesBank of Americaemployment discrimination2009private lawsuit-federal$7,200,000
Merrill Lynch & Co., Inc.Bank of Americabenefit plan administrator violation2009private lawsuit-federal$75,000,000
Countrywide Financial CorporationBank of Americabenefit plan administrator violation2009private lawsuit-federal$55,000,000
Wachovia SecuritiesWells Fargobenefit plan administrator violation2009private lawsuit-federal$1,005,000
Bank of New York Mellon CorporationBank of New York Mellonbenefit plan administrator violation2009private lawsuit-federal$2,200,000
MBNA Corp.Bank of Americabenefit plan administrator violation2009private lawsuit-federal$4,500,000
American International GroupAmerican International Groupwage and hour violation2009MA-AG$900,000
Ameriprise Financial Services, Inc.Ameriprise Financialconsumer protection violation2009MA-AG$200,000
Bank of AmericaBank of Americaprivacy violation2009CT-AG$350,000
Chase Bank USA, N.A.JPMorgan Chaseconsumer protection violation2009NY-AG$4,400,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009DE-AG$309,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009NJ-AG$3,300,932
Countrywide Financial Corp.Bank of Americamortgage abuses2009CO-AG$6,000,000
Countrywide Financial Corp.Bank of Americamortgage abuses2009RI-AG$1,146,000
Countrywide Financial CorporationBank of Americamortgage abuses2009OR-AG$1,000,000
Countrywide Financial CorporationBank of Americamortgage abuses2009PA-AG$150,000,000
Countrywide Financial CorporationBank of Americamortgage abuses2009SD-AG$161,805
Countrywide Financial CorporationBank of Americamortgage abuses2009WI-AG$41,100,000
Countrywide Financial CorporationBank of Americamortgage abuses2009WV-AG$340,901
Countrywide Home LoansBank of Americamortgage abuses2009IN-AG$2,800,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2009NJ-AG$1,057,350
Encore Capital Group Inc., Midland Credit Management, Inc. and Midland Funding LLCEncore Capital Groupconsumer protection violation2009MD-AG$998,000
Goldman Sachs & Co.Goldman Sachsmortgage abuses2009MA-AG$60,000,000
Great American Insurance Co.American Financial Groupinsurance violation2009MA-AG$176,000
Great American Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2009MN-AG$50,000,000
Guardian Life Insurance Company of AmericaGuardian Life Insurancediscriminatory practices (non-employment)2009NY-AG$500,000
H&R BlockH&R Blockconsumer protection violation2009CA-AG$4,850,000
Hanover Insurance Co.Hanover Insuranceconsumer protection violation2009MA-AG$415,000
Hartford Financial Services Group, Inc.Hartford Financial Servicesprice-fixing or anti-competitive practices2009CT-AG$1,300,000
HealthNow NewYork, Inc.Highmark Inc.consumer protection violation2009NY-AG$212,500
Marsh & McLennan Companies, Inc.Marsh & McLennankickbacks and bribery2009CT-AG$2,400,000
Marsh and McLennanMarsh & McLennaninvestor protection violation2009MULTI-AG$400,000,000
Marsh and McLennanMarsh & McLennanprice-fixing or anti-competitive practices2009MULTI-AG$7,000,000
Merrill LynchBank of Americainvestor protection violation2009DE-AG$459,000
Merrill LynchBank of Americatoxic securities abuses2009MA-AG$300,000
Merrill LynchBank of Americainvestor protection violation2009OH-AG$475,000,000
Morgan Stanley Capital Group Inc.Morgan Stanleyconsumer protection violation2009FL-AG$2,275,000
OppenheimerFunds Inc.Invescoinvestor protection violation2009OR-AG$20,000,000
OppenheimerFunds, Inc.Invescoinvestor protection violation2009IL-AG$77,230,000
Progressive Direct Insurance Co.Progressiveconsumer protection violation2009MA-AG$120,000
Royal Bank of CanadaRoyal Bank of Canadainvestor protection violation2009DE-AG$22,156
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.