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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Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
Wells Fargo Bank Wells Fargo banking violation 2016 OCC $35,000,000
H&R Block H&R Block wage and hour violation 2012 private lawsuit-federal $35,000,000
WEX Bank and Higher One, Inc. WEX Inc. banking violation 2015 FDIC $34,980,000
Wells Fargo Wells Fargo consumer protection violation 2015 CFPB $34,800,000
Wells Fargo Bank, National Association Wells Fargo banking violation 2011 OCC $34,500,000
Legg Mason Inc. Legg Mason Foreign Corrupt Practices Act 2018 SEC $34,500,000
Navient Solutions, Inc. Navient banking violation 2014 FDIC $33,300,000
Woodforest National Bank Woodforest National Bank banking violation 2010 OCC $33,000,000
Royal Bank of Scotland PLC Royal Bank of Scotland economic sanction violation 2013 OFAC $33,000,000
Bank of America Corporation Bank of America investor protection violation 2009 SEC $33,000,000
Robertson Stephens Inc. Bank of America securities issuance or trading violation 2003 SEC $33,000,000
Smith Barney Morgan Stanley employment discrimination 2008 private lawsuit-federal $33,000,000
Hudson City Savings Bank M&T Bank banking violation 2015 CFPB $32,750,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray investor protection violation 2003 SEC $32,500,000
HSBC Bank USA, National Association HSBC banking violation 2017 OCC $32,500,000
MetLife Securities MetLife employment discrimination 2017 private lawsuit-federal $32,500,000
State Street Corporation State Street Corp. fraud 2017 DOJ_CRIMINAL $32,300,000
First National Bank of Omaha First National of Nebraska consumer protection violation 2016 CFPB $32,250,000
Wells Fargo Advisors Wells Fargo employment discrimination 2011 private lawsuit-federal $32,000,000
Deutsche Bank (Suisse) SA Deutsche Bank tax violations 2015 DOJ_TAX $31,026,000
American Express Financial Advisors Ameriprise Financial employment discrimination 2002 private lawsuit-federal $31,000,000
RBC Capital Markets LLC Royal Bank of Canada investor protection violation 2011 SEC $30,400,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2015 OCC $30,000,000
Bank of America, National Association Bank of America banking violation 2015 OCC $30,000,000
Ameriprise Financial, Inc. Ameriprise Financial investor protection violation 2005 SEC $30,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc. Deutsche Bank securities issuance or trading violation 2018 CFTC $30,000,000
Countrywide Financial Bank of America wage and hour violation 2005 private lawsuit-state $30,000,000
Wachovia National Bank, N.A. Wells Fargo benefit plan administrator violation 2000 EBSA $30,000,000
Bank of America, N.A. Bank of America interest rate benchmark manipulation 2018 CFTC $30,000,000
Credit Suisse Group AG Credit Suisse Foreign Corrupt Practices Act 2018 SEC $29,700,000
Walter Investment Management Corp. Ditech Holding Corporation False Claims Act 2015 DOJ_CIVIL $29,630,000
CitiFinancial Servicing and CitiMortgage, Inc. Citigroup consumer protection violation 2017 CFPB $28,800,000
Navy Federal Credit Union Navy Federal Credit Union consumer protection violation 2016 CFPB $28,500,000
Option One Mortgage Corporation Ocwen Financial toxic securities abuses 2012 SEC $28,200,000
Bear Stearns Companies, LLC JPMorgan Chase mortgage abuses 2008 FTC $28,000,000
TCF National Bank TCF Financial Corp. consumer protection violation 2018 CFPB $28,000,000
Wells Fargo Wells Fargo wage and hour violation 2018 private lawsuit-state $27,500,000
National City Mortgage PNC Financial Services wage and hour violation 2008 private lawsuit-federal $27,500,000
Chemoil Corporation Glencore environmental violation 2016 EPA $27,000,000
Banco Bilbao Vizcaya Argentaria, S.A. Banco Bilbao Vizcaya Argentaria banking violation 2016 FED $27,000,000
CHEMOIL CORPORATION Glencore environmental violation 2016 EPA (*) $27,000,000
UBS Financial Services Inc. of Puerto Rico UBS investor protection violation 2012 SEC $26,600,000
PaineWebber Incorporated UBS securities issuance or trading violation 2000 SEC $26,200,000
Banc of America Securities LLC Bank of America fraud 2007 SEC $26,000,000
PayPal Inc. PayPal Holdings consumer protection violation 2015 CFPB $25,000,000
Bank of America, National Association Bank of America banking violation 2014 OCC $25,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2006 DOJ_CRIMINAL $25,000,000
Riggs Bank National Association PNC Financial Services anti-money-laundering deficiencies 2004 OCC $25,000,000
ICAP plc ICAP securities issuance or trading violation 2009 SEC $25,000,000
Zurich Financial Services Zurich Insurance accounting fraud or deficiencies 2008 SEC $25,000,000
The BISYS Group Citigroup accounting fraud or deficiencies 2007 SEC $25,000,000
Doral Financial Corporation Doral Financial accounting fraud or deficiencies 2006 SEC $25,000,000
J.P. Morgan Securities Inc. JPMorgan Chase securities issuance or trading violation 2003 SEC $25,000,000
Citigroup Global Markets Inc. Citigroup securities issuance or trading violation 2017 CFTC $25,000,000
Stifel, Nicolaus & Co., Inc. Stifel Financial securities issuance or trading violation 2016 SEC $24,500,000
BNY Mellon Securities LLC Bank of New York Mellon investor protection violation 2011 SEC $24,045,447
JPMorgan Chase JPMorgan Chase employment discrimination 2018 private lawsuit-federal $24,000,000
Citigroup Inc. Citigroup banking violation 2012 FED $22,000,000
Goldman Sachs & Co. Goldman Sachs financial institution supervision failures 2012 SEC $22,000,000
Bank of America Bank of America wage and hour violation 2001 private lawsuit-state $22,000,000
Banco Popular de Puerto Rico Popular Inc. anti-money-laundering deficiencies 2003 DOJ_CRIMINAL $21,600,000
Fifth Third Bank Fifth Third Bancorp consumer protection violation 2015 CFPB $21,500,000
SunTrust Mortgage Inc. SunTrust Banks banking violation 2012 DOJ_RIGHTS $21,000,000
Merrill Lynch Bank of America wage and hour violation 2013 private lawsuit-federal $21,000,000
Edward D. Jones & Co. Jones Financial wage and hour violation 2008 private lawsuit-federal $21,000,000
Western Asset Management Company Legg Mason benefit plan administrator violation 2014 EBSA $21,000,000
Citigroup Citigroup toxic securities abuses 2011 NCUA $20,500,000
Oppenheimer & Co., Inc. Oppenheimer Holdings anti-money-laundering deficiencies 2015 FINCEN $20,000,000
BAC Home Loans Servicing LP fka Countrywide Home Loans Servicing LP Bank of America mortgage abuses 2011 DOJ_CIVIL $20,000,000
Edward D. Jones & Co. LP Jones Financial investor protection violation 2015 SEC $20,000,000
JPMorgan Chase Bank JPMorgan Chase accounting fraud or deficiencies 2012 CFTC $20,000,000
Guggenheim Partners Investment Management LLC Guggenheim Partners investor protection violation 2015 SEC $20,000,000
New York Stock Exchange, Inc. IntercontinentalExchange Group securities issuance or trading violation 2005 SEC $20,000,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2005 SEC $20,000,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. Franklin Resources investor protection violation 2004 SEC $20,000,000
Wells Fargo Bank, National Association Wells Fargo Servicemembers Civil Relief Act 2016 OCC $20,000,000
Bank of America Corporation Bank of America investor protection violation 2014 SEC $20,000,000
Wells Fargo Wells Fargo wage and hour violation 2010 private lawsuit-federal $20,000,000
A.G. Edwards Wells Fargo wage and hour violation 2007 private lawsuit-federal $20,000,000
John Hancock Investment Management Services, LLC Manulife Financial investor protection violation 2007 SEC $19,787,879
UBS AG UBS investor protection violation 2015 SEC $19,500,000
Western Asset Management Company Legg Mason investor protection violation 2014 SEC $19,400,000
Deutsche Investment Management Americas, Inc. et al. Deutsche Bank investor protection violation 2006 SEC $19,329,729
Cash America International Inc. FirstCash payday lending violation 2013 CFPB $19,000,000
Citigroup, Inc. Citigroup accounting fraud or deficiencies 2003 SEC $19,000,000
Edward D. Jones & Co. Jones Financial wage and hour violation 2008 private lawsuit-federal $19,000,000
Citizens Bank, N.A. Citizens Financial Group consumer protection violation 2015 CFPB $18,500,000
Discover Bank Discover Financial Services consumer protection violation 2015 CFPB $18,500,000
Wilmington Trust M&T Bank accounting fraud or deficiencies 2014 SEC $18,500,000
Deutsche Bank Deutsche Bank investor protection violation 2016 SEC $18,500,000
Citigroup Global Markets Citigroup investor protection violation 2017 SEC $18,300,000
U.S. Bank National Association U.S. Bancorp securities issuance or trading violation 2015 CFTC $18,000,000
MoneyGram International, Inc. MoneyGram International consumer protection violation 2009 FTC $18,000,000
Coast National Insurance Zurich Insurance wage and hour violation 2002 private lawsuit-state $18,000,000
Societe Generale Private Banking (Suisse) SA Societe Generale tax violations 2015 DOJ_TAX $17,807,000
UBS Willow Management LLC and UBS Fund Advisor LLC UBS investor protection violation 2015 SEC $17,500,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2009 SEC $17,300,000
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. Deutsche Bank investor protection violation 2006 SEC $17,200,000
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2007 SEC $17,000,000
Zurich Capital Markets Inc. Zurich Insurance securities issuance or trading violation 2007 SEC $16,800,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2017 private lawsuit-federal $16,666,667
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