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
UBS as successor to Piper Jaffray UBS wage and hour violation 2008 private lawsuit-federal $5,500,000
Wells Fargo Bank N.A Wells Fargo workplace whistleblower retaliation 2017 OSHA $5,400,000
Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer Services Wells Fargo Servicemembers Civil Relief Act 2017 DOJ_RIGHTS $5,400,000
Progressive Progressive wage and hour violation 2004 private lawsuit-federal $5,400,000
UBS O'Connor, LLC UBS investor protection violation 2013 SEC $5,297,716
JPMorgan Chase Bank, N.A. JPMorgan Chase economic sanction violation 2018 OFAC $5,263,171
HSBC HSBC toxic securities abuses 2012 NCUA $5,250,000
Goldman, Sachs & Co. Goldman Sachs securities issuance or trading violation 2000 SEC $5,200,000
CIT Group Inc. CIT mortgage abuses 2018 FED $5,200,000
ING Life Insurance and Annuity Co. ING benefit plan administrator violation 2013 EBSA $5,200,000
Wells Fargo Advisors LLC Wells Fargo investor protection violation 2018 SEC $5,108,441
Wells Fargo Advisors LLC Wells Fargo securities issuance or trading violation 2014 SEC $5,000,000
Morgan Stanley Morgan Stanley securities issuance or trading violation 2012 CFTC $5,000,000
LavaFlow Inc. Citigroup investor protection violation 2014 SEC $5,000,000
New York Stock Exchange IntercontinentalExchange Group securities issuance or trading violation 2012 SEC $5,000,000
Republic New York Securities Corporation HSBC securities issuance or trading violation 2001 CFTC $5,000,000
SG Cowen Securities Corporation Cowen Inc. financial institution supervision failures 2003 SEC $5,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America securities issuance or trading violation 2000 SEC $5,000,000
Wells Fargo Home Mortgage Wells Fargo discriminatory practices 2014 HUD $5,000,000
First American Title Insurance Company First American Financial kickbacks and bribery 2007 HUD $5,000,000
Chicago Title Insurance Company Fidelity National Financial mortgage abuses 2005 HUD $5,000,000
State Farm State Farm Insurance wage and hour violation 2013 private lawsuit-federal $5,000,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2018 SEC $5,000,000
LendingClub Asset Management LLC LendingClub Corp. investor protection violation 2018 SEC $5,000,000
Lehman Brothers Inc. Lehman Brothers securities issuance or trading violation 2000 SEC $4,950,000
CommerceWest Bank CommerceWest Bank fraud 2015 DOJ_CRIMINAL $4,900,000
Farmers Insurance Exchange Farmers Insurance Exchange wage and hour violation 2017 private lawsuit-federal $4,900,000
KeyBank KeyCorp wage and hour violation 2013 private lawsuit-federal $4,900,000
Hewitt Associates Aon wage and hour violation 2009 private lawsuit-federal $4,900,000
Wachovia Securities, LLC Wells Fargo securities issuance or trading violation 2004 SEC $4,844,465
Morgan Stanley Morgan Stanley price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $4,800,000
Citigroup Citigroup wage and hour violation 2015 private lawsuit-federal $4,650,000
UBS Financial Services Inc. UBS securities issuance or trading violation 2004 SEC $4,621,768
National City Mortgage Inc. PNC Financial Services False Claims Act 2008 DOJ_CIVIL $4,600,000
JPMorgan Chase Bank, N.A. JPMorgan Chase consumer protection violation 2017 CFPB $4,600,000
New York Stock Exchange IntercontinentalExchange Group securities issuance or trading violation 2014 SEC $4,500,000
Fidelity National Financial, Inc. Fidelity National Financial kickbacks and bribery 2011 HUD $4,500,000
Allstate Insurance Company Allstate employment discrimination 2009 EEOC $4,500,000
Ameriprise Financial Services Inc. Ameriprise Financial investor protection violation 2018 SEC $4,500,000
State Street Corporation State Street Corp. employment discrimination 2017 OFCCP $4,492,174
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2018 SEC $4,450,000
U.S. Bancorp U.S. Bancorp mortgage abuses 2018 FED $4,400,000
Credit Suisse Securities (USA) LLC Credit Suisse data submission deficiencies 2015 SEC $4,250,000
OZ Management LP Och-Ziff Capital Management data submission deficiencies 2015 SEC $4,250,000
ICBC Standard Bank Plc Industrial and Commercial Bank of China investor protection violation 2015 SEC $4,200,000
Morgan Stanley Morgan Stanley wage and hour violation 2014 private lawsuit-federal $4,200,000
Wells Fargo Bank N.A. Wells Fargo Servicemembers Civil Relief Act 2016 DOJ_RIGHTS $4,100,000
Bank of America Bank of America wage and hour violation 2003 private lawsuit-state $4,100,000
Louis Dreyfus Energy Services Louis Dreyfus False Claims Act 2012 DOJ_CIVIL $4,084,000
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P. Louis Dreyfus workplace safety or health violation 2008 OSHA $4,050,000
Wells Fargo Bank Wells Fargo student loan abuses 2016 CFPB $4,010,000
Wells Fargo Bank, National Association Wells Fargo banking violation 2015 OCC $4,000,000
Capital One, National Association Capital One Financial banking violation 2014 OCC $4,000,000
Gibraltar Private Bank and Trust Company Gibraltar Private Bank and Trust anti-money-laundering deficiencies 2016 FINCEN $4,000,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2016 SEC $4,000,000
Morgan Stanley & Co. LLC Morgan Stanley investor protection violation 2014 SEC $4,000,000
Bank of America Bank of America wage and hour violation 2016 private lawsuit-state $4,000,000
Fifth Third Bank Fifth Third Bancorp wage and hour violation 2014 private lawsuit-federal $4,000,000
Wells Fargo Advisors Wells Fargo wage and hour violation 2013 private lawsuit-federal $4,000,000
American Express Centurion Bank American Express banking violation 2012 FDIC $3,900,000
Capmark Finance LLC Capmark Bank False Claims Act 2012 DOJ_CIVIL $3,900,000
Wells Fargo Wells Fargo wage and hour violation 2017 private lawsuit-federal $3,900,000
BMO Financial Bank of Montreal wage and hour violation 2015 private lawsuit-federal $3,900,000
Arthur J. Gallagher Arthur J. Gallagher & Co. wage and hour violation 2011 private lawsuit-federal $3,900,000
A.G. Edwards & Sons, Inc. Wells Fargo financial institution supervision failures 2007 SEC $3,860,000
Charles Schwab Charles Schwab Corp. wage and hour violation 2014 private lawsuit-federal $3,800,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. insider trading 2006 SEC $3,755,839
American Express Financial Advisors Inc. Ameriprise Financial securities issuance or trading violation 2004 SEC $3,706,693
American Express Centurion Bank American Express banking violation 2013 FDIC $3,600,000
Citizens Republic Bancorp Inc. Huntington Bancshares banking violation 2011 DOJ_RIGHTS $3,600,000
ZB N.A. (fka Zions First National Bank) Zions Bancorporation consumer protection violation 2017 USAO $3,600,000
Voya Holdings Inc. Voya Financial investor protection violation 2018 SEC $3,600,000
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2018 SEC $3,600,000
Citigroup Citigroup wage and hour violation 2006 private lawsuit-federal $3,550,000
Cole Taylor Bank MB Financial banking violation 2014 FED $3,510,000
Capital One Financial Corporation Capital One Financial accounting fraud or deficiencies 2013 SEC $3,500,000
Assurant Inc. Assurant accounting fraud or deficiencies 2010 SEC $3,500,000
PNC Financial Services Group PNC Financial Services mortgage abuses 2018 FED $3,500,000
Wells Fargo Advisors, LLC Wells Fargo anti-money-laundering deficiencies 2017 SEC $3,500,000
UBS Financial Services, Inc. UBS investor protection violation 2017 SEC $3,500,000
Wells Fargo Advisors Wells Fargo wage and hour violation 2017 private lawsuit-federal $3,500,000
KeyBank KeyCorp wage and hour violation 2014 private lawsuit-federal $3,500,000
Santander Bank, National Association Banco Santander banking violation 2016 OCC $3,400,000
Lansing Trade Group, LLC Lansing Trade Group investor protection violation 2018 CFTC $3,400,000
Morgan Stanley Investment Management? Morgan Stanley investor protection violation 2011 SEC $3,300,000
General American Life Insurance Company MetLife securities issuance or trading violation 2007 SEC $3,300,000
Bank of America Bank of America wage and hour violation 2016 private lawsuit-federal $3,250,000
Fifth Third Bank Fifth Third Bancorp wage and hour violation 2015 private lawsuit-federal $3,250,000
U.S. Bank U.S. Bancorp banking violation 2013 CFPB $3,200,000
METLIFE, INC MetLife banking violation 2012 FED $3,200,000
Capital One Capital One Financial wage and hour violation 2012 private lawsuit-federal $3,200,000
M&T Bank M&T Bank consumer protection violation 2014 CFPB $3,100,000
Huntington Bancshares Huntington Bancshares wage and hour violation 2013 private lawsuit-federal $3,100,000
Voya Financial Advisors, Inc. Voya Financial investor protection violation 2017 SEC $3,095,953
U.S. Bank U.S. Bancorp wage and hour violation 2015 private lawsuit-federal $3,031,075
MetLife MetLife wage and hour violation 2013 private lawsuit-federal $3,003,000
Deutsche Bank Securities Deutsche Bank accounting fraud or deficiencies 2014 CFTC $3,000,000
ICE Futures U.S. Inc. IntercontinentalExchange Group securities issuance or trading violation 2015 CFTC $3,000,000
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc. Nomura toxic securities abuses 2016 NCUA $3,000,000
Bank of New York Mellon Corporation Bank of New York Mellon banking violation 2017 FED $3,000,000
First National Bank of Omaha First National of Nebraska banking violation 2016 OCC $3,000,000
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