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
AmSouth Regions Financial anti-money-laundering deficiencies 2004 FINCEN $10,000,000
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC Nasdaq Inc. investor protection violation 2013 SEC $10,000,000
BMO Harris Bank, N.A. Bank of Montreal fraud 2018 USAO $10,000,000
Metropolitan Life MetLife employment discrimination 2003 private lawsuit-federal $10,000,000
TD Bank Toronto-Dominion Bank wage and hour violation 2015 private lawsuit-federal $9,900,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2008 SEC $9,763,634
Countrywide Home Loans Inc. Bank of America wage and hour violation 2015 private lawsuit-federal $9,649,000
Deutsche Bank Securities Deutsche Bank investor protection violation 2016 SEC $9,500,000
PNC Bank N.A. PNC Financial Services False Claims Act 2016 USAO $9,500,000
Santander Consumer USA Inc. Banco Santander Servicemembers Civil Relief Act 2015 DOJ_RIGHTS $9,350,000
Goldman Sachs Goldman Sachs securities issuance or trading violation 2003 SEC $9,305,382
Provident Funding Associates Provident Funding Associates consumer protection violation 2015 CFPB $9,000,000
AMERICAN EXPRESS COMPANY American Express banking violation 2012 FED $9,000,000
TMX Finance LLC TMX Finance consumer protection violation 2016 CFPB $9,000,000
Union Savings Bank and Guardian Savings Bank Union Savings Bank discriminatory practices 2016 DOJ_RIGHTS $9,000,000
Bank of America Bank of America wage and hour violation 2015 private lawsuit-federal $9,000,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2012 private lawsuit-federal $9,000,000
Bank of America Bank of America wage and hour violation 2006 private lawsuit-federal $9,000,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America investor protection violation 2018 SEC $8,900,000
Merrill Lynch, Pierce and Fenner & Smith Incorporated Bank of America investor protection violation 2018 SEC $8,872,723
Citizens Bank Citizens Financial Group banking violation 2015 FDIC $8,800,000
Morgan Stanley Investment Management Morgan Stanley investor protection violation 2015 SEC $8,800,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2017 SEC $8,750,000
Citigroup Citigroup banking violation 2018 FED $8,600,000
First BanCorp First Bancorp (Puerto Rico) accounting fraud or deficiencies 2007 SEC $8,500,000
Combined Insurance Company of America Chubb Limited employment discrimination 2005 private lawsuit-federal $8,500,000
SG Americas Securities, LLC Societe Generale investor protection violation 2009 SEC $8,384,932
JPMorgan Chase JPMorgan Chase wage and hour violation 2018 private lawsuit-federal $8,333,333
Zions First National Bank Zions Bancorporation banking violation 2011 OCC $8,000,000
UBS Securities LLC UBS securities issuance or trading violation 2011 SEC $8,000,000
Nationwide Life Insurance Company Nationwide investor protection violation 2015 SEC $8,000,000
Credit Agricole S.A. Credit Agricole banking violation 2004 FED $8,000,000
Crawford Healthcare Management of Norfolk & Baltimore Crawford & Co. fraud 2003 DOJ_CRIMINAL $8,000,000
Fidelity Investments Fidelity Investments kickbacks and bribery 2008 SEC $8,000,000
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2017 SEC $8,000,000
Morgan Stanley Morgan Stanley mortgage abuses 2018 FED $8,000,000
Farmers Insurance Exchange Farmers Insurance Exchange wage and hour violation 2010 private lawsuit-federal $8,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley securities issuance or trading violation 2007 SEC $7,957,200
Citibank Citigroup consumer protection violation 2016 CFPB $7,890,000
PayPal Inc. PayPal Holdings economic sanction violation 2015 OFAC $7,658,300
Bank of America Corporation Bank of America securities issuance or trading violation 2014 SEC $7,650,000
Regions Bank Regions Financial consumer protection violation 2015 CFPB $7,500,000
American Express Bank, FSB American Express banking violation 2013 OCC $7,500,000
RBS Citizens, National Association Citizens Financial Group banking violation 2013 OCC $7,500,000
Huntington Bancshares, Inc. Huntington Bancshares accounting fraud or deficiencies 2005 SEC $7,500,000
Morgan Stanley & Co. LLC Morgan Stanley investor protection violation 2016 SEC $7,500,000
H&R Block H&R Block wage and hour violation 2012 private lawsuit-state $7,500,000
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2007 SEC $7,500,000
Louis Dreyfus Energy Service Louis Dreyfus energy market violation 2014 FERC $7,406,257
MetLife MetLife wage and hour violation 2009 private lawsuit-federal $7,400,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC Goldman Sachs investor protection violation 2009 SEC $7,200,000
Banc of America Investment Services Bank of America employment discrimination 2009 private lawsuit-federal $7,200,000
PNC Bank N.A PNC Financial Services False Claims Act 2013 DOJ_CIVIL $7,100,000
Goldman Sachs & Co. Goldman Sachs securities issuance or trading violation 2015 SEC $7,000,000
Goldman Sachs Execution & Clearing LP Goldman Sachs financial institution supervision failures 2012 CFTC $7,000,000
Citigroup Global Markets Citigroup data submission deficiencies 2016 SEC $7,000,000
Banco Espirito Santo S.A. Banco Espirito Santo investor protection violation 2011 SEC $7,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2009 SEC $7,000,000
U.S. Bancorp U.S. Bancorp wage and hour violation 2017 private lawsuit-federal $7,000,000
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $7,000,000
PNC Bank PNC Financial Services wage and hour violation 2014 private lawsuit-federal $7,000,000
HSBC HSBC wage and hour violation 2016 private lawsuit-federal $6,982,000
Merrill Lynch Bank of America wage and hour violation 2014 private lawsuit-federal $6,900,000
Wells Fargo Wells Fargo wage and hour violation 2011 private lawsuit-federal $6,900,000
Wells Fargo Wells Fargo wage and hour violation 2011 private lawsuit-federal $6,720,000
Warburg Dillon Read LLC UBS securities issuance or trading violation 2000 SEC $6,680,000
Wells Fargo Wells Fargo wage and hour violation 2011 private lawsuit-federal $6,660,000
BNY Mellon Bank of New York Mellon investor protection violation 2017 SEC $6,600,000
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $6,600,000
American Express Bank, FSB American Express banking violation 2012 OCC $6,500,000
Fifth Third Bancorp Fifth Third Bancorp accounting fraud or deficiencies 2013 SEC $6,500,000
Wells Fargo Wells Fargo toxic securities abuses 2012 SEC $6,500,000
AXA Financial AXA wage and hour violation 2009 private lawsuit-federal $6,500,000
U.S. Bancorp U.S. Bancorp wage and hour violation 2014 private lawsuit-federal $6,450,000
Citizens Bank Citizens Financial Group banking violation 2013 FDIC $6,400,000
Liberty Mutual Liberty Mutual Insurance wage and hour violation 2005 private lawsuit-federal $6,400,000
Standard Chartered Bank (Switzerland) SA, en liquidation Standard Chartered tax violations 2015 DOJ_TAX $6,337,000
Lasalle Bank MidWest National Association Bank of America banking violation 2005 OCC $6,250,000
KeyCorp KeyCorp wage and hour violation 2012 private lawsuit-federal $6,250,000
Ditech Ditech Holding Corporation wage and hour violation 2002 private lawsuit-federal $6,150,000
Farmers Insurance Exchange Farmers Insurance Exchange employment discrimination 2016 private lawsuit-federal $6,140,000
New York Life Investment Management LLC New York Life Insurance investor protection violation 2009 SEC $6,100,784
AIG Federal Savings Bank and Wilmington Finance Inc. American International Group discriminatory practices 2010 DOJ_RIGHTS $6,100,000
Imperial Sugar Company Louis Dreyfus workplace safety or health violation 2010 OSHA $6,050,000
Santander Bank, National Association Banco Santander banking violation 2015 OCC $6,000,000
THE BANK OF NEW YORK MELLON Bank of New York Mellon banking violation 2012 FED $6,000,000
Chicago Board Options Exchange CBOE Holdings securities issuance or trading violation 2013 SEC $6,000,000
Vitol Inc. and Vitol Capital Management Ltd. Vitol securities issuance or trading violation 2010 CFTC $6,000,000
Citibank N.A. Citigroup consumer protection violation 2017 CFPB $6,000,000
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $6,000,000
PNC Financial Services PNC Financial Services wage and hour violation 2016 private lawsuit-federal $6,000,000
TD Bank Toronto-Dominion Bank wage and hour violation 2014 private lawsuit-federal $6,000,000
Combined Insurance Company of America Chubb Limited wage and hour violation 2010 private lawsuit-federal $6,000,000
New York Life Insurance New York Life Insurance employment discrimination 2006 private lawsuit-federal $6,000,000
Morgan Stanley Morgan Stanley wage and hour violation 2016 private lawsuit-federal $5,995,000
Prudential Securities Incorporated Wells Fargo securities issuance or trading violation 2000 SEC $5,880,000
Wachovia Bank Wells Fargo wage and hour violation 2004 WHD $5,798,744
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2017 SEC $5,754,714
JPMorgan Chase JPMorgan Chase wage and hour violation 2017 private lawsuit-federal $5,707,279
ABN AMRO Bank, N.V. ABN AMRO investor protection violation 2013 SEC $5,547,408
UBS as successor to Piper Jaffray UBS wage and hour violation 2008 private lawsuit-federal $5,500,000
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