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:

Download results as CSV or XML
Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
JPMorgan Chase JPMorgan Chase wage and hour violation 2017 private lawsuit-federal $16,666,667
Bank of America Bank of America wage and hour violation 2010 private lawsuit-state $16,650,000
Bank of America N.A. Bank of America economic sanction violation 2014 OFAC $16,562,700
Mellon Bank, N.A. Bank of New York Mellon False Claims Act 2007 DOJ_CIVIL $16,500,000
Sovereign Bank N.A. Banco Santander banking violation 2013 OCC $16,086,180
Wells Fargo & Company Wells Fargo Americans with Disabilities Act 2011 DOJ_RIGHTS $16,055,000
Riggs Bank PNC Financial Services anti-money-laundering deficiencies 2005 USAO $16,000,000
PNC Bank PNC Financial Services wage and hour violation 2017 private lawsuit-federal $16,000,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2014 private lawsuit-federal $16,000,000
Gabelli Funds LLC Gamco Investors Inc. investor protection violation 2008 SEC $16,000,000
Morgan Stanley Morgan Stanley employment discrimination 2008 private lawsuit-federal $16,000,000
Midland States Bancorp Midland States Bancorp discriminatory practices 2014 HUD $15,950,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2018 SEC $15,700,000
HSBC Bank HSBC wage and hour violation 2013 private lawsuit-federal $15,625,000
UBS Financial Services UBS investor protection violation 2016 SEC $15,025,882
ACE Cash Express ACE Cash Express consumer protection violation 2014 CFPB $15,000,000
Goldman Sachs & Co. Goldman Sachs securities issuance or trading violation 2016 SEC $15,000,000
UBS Financial Services Inc. of Puerto Rico UBS financial institution supervision failures 2015 SEC $15,000,000
Citigroup Global Markets Citigroup investor protection violation 2015 SEC $15,000,000
Barclays Capital Inc. Barclays securities issuance or trading violation 2014 SEC $15,000,000
Balli Aviation Ltd. and Balli Group PLC Balli Group export control violation 2010 BIS $15,000,000
Macquarie Capital (USA) Inc. Macquarie investor protection violation 2015 SEC $15,000,000
TD Bank Toronto-Dominion Bank investor protection violation 2013 SEC $15,000,000
RenaissanceRe Holdings Ltd. RenaissanceRe Holdings accounting fraud or deficiencies 2007 SEC $15,000,000
Ameriprise Financial, Inc. Ameriprise Financial securities issuance or trading violation 2005 SEC $15,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2017 OCC $15,000,000
UBS AG UBS securities issuance or trading violation 2018 CFTC $15,000,000
US Bancorp U.S. Bancorp banking violation 2018 FED $15,000,000
Wells Fargo Wells Fargo wage and hour violation 2014 private lawsuit-federal $15,000,000
PNC Bank, National Association PNC Financial Services banking violation 2018 OCC $15,000,000
BNY Mellon Bank of New York Mellon Foreign Corrupt Practices Act 2015 SEC $14,800,000
Aon Corporation Aon Foreign Corrupt Practices Act 2011 SEC $14,545,020
UBS Securities LLC UBS investor protection violation 2015 SEC $14,400,000
Morgan Stanley Capital Group Morgan Stanley data submission deficiencies 2010 CFTC $14,000,000
Goldman Sachs Goldman Sachs mortgage abuses 2018 FED $14,000,000
New York Stock Exchange IntercontinentalExchange Group investor protection violation 2018 SEC $14,000,000
Merrill Lynch Bank of America wage and hour violation 2016 private lawsuit-federal $14,000,000
First NLC Arlington Asset Investment Corp. wage and hour violation 2007 private lawsuit-federal $14,000,000
E-Loan Inc. Popular Inc. wage and hour violation 2007 private lawsuit-federal $13,600,000
Metropolitan Life Insurance Company MetLife kickbacks and bribery 2010 USAO $13,500,000
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2017 SEC $13,000,000
Mastercard International Inc. MasterCard consumer protection violation 2017 CFPB $13,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America anti-money-laundering deficiencies 2017 SEC $13,000,000
Wells Fargo Wells Fargo wage and hour violation 2017 private lawsuit-state $13,000,000
Dain Rauscher Incorporated Royal Bank of Canada securities issuance or trading violation 2000 SEC $12,941,191
Citigroup Global Markets Inc. Citigroup securities issuance or trading violation 2018 SEC $12,937,475
Wells Fargo Wells Fargo wage and hour violation 2007 private lawsuit-federal $12,800,000
Willis Group Willis Towers Watson employment discrimination 2008 private lawsuit-federal $12,757,949
Barclays Capital Inc. Barclays investor protection violation 2017 SEC $12,710,040
HSBC Private Bank (Suisse) HSBC investor protection violation 2014 SEC $12,500,000
Thomas Weisel Partners LLC Stifel Financial investor protection violation 2004 SEC $12,500,000
Merrill Lynch Bank of America securities issuance or trading violation 2016 SEC $12,500,000
Prudential Financial Prudential Financial wage and hour violation 2017 private lawsuit-federal $12,500,000
Bank of China Bank of China banking violation 2018 OCC $12,500,000
Allianz SE Allianz Foreign Corrupt Practices Act 2012 SEC $12,396,423
BlackRock Advisors LLC BlackRock investor protection violation 2015 SEC $12,000,000
Goldman Sachs & Co. Goldman Sachs illicit political contributions 2012 SEC $12,000,000
Capital One N.A. Capital One Financial Servicemembers Civil Relief Act 2012 DOJ_RIGHTS $12,000,000
State Street Bank and Trust Company State Street Corp. illicit political contributions 2016 SEC $12,000,000
Israel Discount Bank Israel Discount Bank anti-money-laundering deficiencies 2006 FINCEN $12,000,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2015 private lawsuit-federal $12,000,000
Old Republic Title Old Republic International wage and hour violation 2014 private lawsuit-federal $12,000,000
Merrill Lynch Bank of America wage and hour violation 2013 private lawsuit-federal $12,000,000
A.G. Edwards Wells Fargo wage and hour violation 2009 private lawsuit-federal $12,000,000
Knight Capital Americas LLC Virtu Financial investor protection violation 2013 SEC $12,000,000
Commerzbank AG Commerzbank investor protection violation 2018 CFTC $12,000,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2018 CFPB $11,790,000
IBERIABANK IberiaBank False Claims Act 2017 DOJ_CIVIL $11,692,149
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz investor protection violation 2004 SEC $11,600,000
Willis Group Willis Towers Watson employment discrimination 2011 private lawsuit-federal $11,595,038
Citizens Financial Group Citizens Financial Group wage and hour violation 2014 private lawsuit-federal $11,501,500
AmSouth Bank Regions Financial investor protection violation 2008 SEC $11,400,000
Wells Fargo Securities LLC Wells Fargo toxic securities abuses 2011 SEC $11,000,000
Prudential Financial Prudential Financial wage and hour violation 2009 private lawsuit-federal $11,000,000
Barclays Bank PLC Barclays insider trading 2007 SEC $10,943,561
Merrill Lynch Bank of America securities issuance or trading violation 2015 SEC $10,900,000
BancorpSouth Bank BancorpSouth mortgage abuses 2016 CFPB $10,600,000
EZCORP Inc. EZCORP Inc. consumer protection violation 2015 CFPB $10,500,000
HSBC Bank USA, N.A. HSBC investor protection violation 2007 SEC $10,500,000
Aon Aon wage and hour violation 2011 private lawsuit-state $10,500,000
Citigroup Citigroup accounting fraud or deficiencies 2018 SEC $10,500,000
BBVA Suiza S.A. Banco Bilbao Vizcaya Argentaria tax violations 2015 DOJ_TAX $10,390,000
Invesco Trust Company Invesco benefit plan administrator violation 2016 EBSA $10,270,000
1st Financial Bank USA 1st Financial Bank USA banking violation 2010 FDIC $10,140,000
U.S. Bank National Association U.S. Bancorp banking violation 2016 OCC $10,000,000
RBS Citizens, National Association Citizens Financial Group banking violation 2015 OCC $10,000,000
TCF National Bank TCF Financial Corp. banking violation 2013 OCC $10,000,000
TD Ameritrade Inc. TD Ameritrade financial institution supervision failures 2011 SEC $10,000,000
HSBC HSBC mortgage abuses 2014 USAO $10,000,000
Merrill Lynch Bank of America investor protection violation 2016 SEC $10,000,000
Merrill Lynch Bank of America investor protection violation 2011 SEC $10,000,000
Santander Bank, N.A. Banco Santander consumer protection violation 2016 CFPB $10,000,000
MF Global Inc. MF Global financial institution supervision failures 2009 CFTC $10,000,000
BankAtlantic BB&T anti-money-laundering deficiencies 2006 DOJ_CRIMINAL $10,000,000
Wachovia Bank, National Association Wells Fargo banking violation 2008 OCC $10,000,000
Bank of China Bank of China banking violation 2002 OCC $10,000,000
Morgan Stanley & Co. Morgan Stanley financial institution supervision failures 2006 SEC $10,000,000
Morgan Stanley & Co. Morgan Stanley data submission deficiencies 2006 SEC $10,000,000
Banc of America Securities LLC Bank of America securities issuance or trading violation 2004 SEC $10,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2003 SEC $10,000,000
AmSouth Regions Financial anti-money-laundering deficiencies 2004 FINCEN $10,000,000
Download results as CSV or XML