Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$226,008,896,357
Number of Records: 
1,807
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$58,170,630,098115
JPMorgan Chase$29,684,489,39096
Citigroup$17,215,818,31464
Wells Fargo$14,710,307,58890
Deutsche Bank$12,489,545,40328
Royal Bank of Scotland$12,428,920,00015
Goldman Sachs$9,602,492,86026
BNP Paribas$9,542,129,75011
Credit Suisse$9,233,499,63018
Morgan Stanley$5,463,432,43550


Individual Penalty Records:

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Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
MetLife MetLife wage and hour violation 2011 private lawsuit-federal $2,350,000
Legg Mason Wood Walker, Inc. Legg Mason securities issuance or trading violation 2004 SEC $2,315,467
WL Ross & Co. LLC Invesco investor protection violation 2016 SEC $2,300,000
AXA Advisors AXA wage and hour violation 2016 private lawsuit-federal $2,300,000
Bank of America Bank of America wage and hour violation 2016 private lawsuit-federal $2,250,000
JPMorgan Chase & Co. JPMorgan Chase employment discrimination 2006 EEOC $2,200,000
Bank of America Corp Bank of America employment discrimination 2013 OFCCP $2,181,593
HSBC Bank USA N.A. HSBC False Claims Act 2017 USAO $2,118,861
Knight Financial Products, LLC Virtu Financial investor protection violation 2009 SEC $2,040,000
Citizens Bank, National Association Citizens Financial Group banking violation 2015 OCC $2,000,000
PNC Bank, National Association PNC Financial Services banking violation 2014 OCC $2,000,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2011 OCC $2,000,000
Ocwen Financial Corp. Ocwen Financial accounting fraud or deficiencies 2016 SEC $2,000,000
MF Global Inc. MF Global securities issuance or trading violation 2007 CFTC $2,000,000
Cleco Power, LLC Macquarie energy market violation 2007 FERC $2,000,000
Goldman Sachs Execution and Clearing L.P. Goldman Sachs securities issuance or trading violation 2007 SEC $2,000,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank investor protection violation 2004 SEC $2,000,000
Balli Aviation Ltd. Balli Group export control violation 2010 DOJ_NATSEC $2,000,000
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.: I Louis Dreyfus workplace safety or health violation 2008 OSHA $2,000,000
First Niagara Bank, National Association KeyCorp banking violation 2016 OCC $2,000,000
Allstate Insurance Allstate wage and hour violation 2017 private lawsuit-state $2,000,000
Wells Fargo Insurance Services Wells Fargo wage and hour violation 2015 private lawsuit-federal $2,000,000
GMAC Mortgage Ally Financial wage and hour violation 2014 private lawsuit-federal $2,000,000
MetLife MetLife wage and hour violation 2011 private lawsuit-federal $2,000,000
MetLife MetLife wage and hour violation 2015 private lawsuit-federal $1,970,000
Citigroup Technology Inc Citigroup wage and hour violation 2016 WHD $1,967,689
First Tennessee Bank First Horizon National discriminatory practices 2016 HUD $1,900,000
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $1,900,000
Massachusetts Financial Services Company Sun Life Financial investor protection violation 2018 SEC $1,900,000
Wells Fargo Bank Wells Fargo wage and hour violation 2015 private lawsuit-federal $1,850,000
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2006 WHD $1,800,282
Aon Corporation Aon Foreign Corrupt Practices Act 2011 DOJ_CRIMINAL $1,760,000
Compass Bank Banco Bilbao Vizcaya Argentaria discriminatory practices 2007 DOJ_RIGHTS $1,750,000
Nationstar Mortgage LLC Nationstar Mortgage consumer protection violation 2017 CFPB $1,750,000
UBS AG UBS economic sanction violation 2015 OFAC $1,700,100
BlackRock Institutional Trust Company BlackRock securities issuance or trading violation 2014 SEC $1,675,350
Deutsche Bank Energy Trading LL Deutsche Bank energy market manipulation 2013 FERC $1,670,000
BOK Financial Corporation BOK Financial investor protection violation 2016 SEC $1,667,720
Deutsche Bank Securities Inc. Deutsche Bank data submission deficiencies 2002 SEC $1,650,000
Goldman, Sachs & Co. Goldman Sachs data submission deficiencies 2002 SEC $1,650,000
Morgan Stanley & Co. Incorporated Morgan Stanley data submission deficiencies 2002 SEC $1,650,000
Salomon Smith Barney Inc. Morgan Stanley data submission deficiencies 2002 SEC $1,650,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray data submission deficiencies 2002 SEC $1,650,000
Massachusetts Mutual Life Insurance Company Massachusetts Mutual Life Insurance investor protection violation 2012 SEC $1,625,000
Bank Leumi Bank Leumi investor protection violation 2016 SEC $1,600,000
HSBC Securities (USA) Inc. HSBC securities issuance or trading violation 2018 CFTC $1,600,000
Freedom Mortgage Freedom Mortgage wage and hour violation 2012 private lawsuit-federal $1,600,000
Merrill Lynch Bank of America employment discrimination 2008 EEOC $1,550,000
Farmer's Insurance Zurich Insurance wage and hour violation 2011 WHD $1,520,705
SunTrust Bank SunTrust Banks banking violation 2017 FED $1,501,000
Goldman Sachs Goldman Sachs financial institution supervision failures 2012 CFTC $1,500,000
FCStone LLC INTL FCStone securities issuance or trading violation 2013 CFTC $1,500,000
Bear, Stearns & Co., Inc. JPMorgan Chase investor protection violation 2006 SEC $1,500,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2006 SEC $1,500,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2006 SEC $1,500,000
J.P. Morgan Securities, Inc. JPMorgan Chase investor protection violation 2006 SEC $1,500,000
Lehman Brothers Inc. Lehman Brothers investor protection violation 2006 SEC $1,500,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2006 SEC $1,500,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2006 SEC $1,500,000
RBC Dain Rauscher Inc Royal Bank of Canada investor protection violation 2006 SEC $1,500,000
UMB Bank, NA UMB Financial Corp. banking violation 2017 OCC $1,500,000
Blackrock Fund Advisors BlackRock investor protection violation 2017 SEC $1,500,000
PNC Bank PNC Financial Services wage and hour violation 2016 private lawsuit-federal $1,500,000
E-Trade E-Trade Financial wage and hour violation 2012 private lawsuit-federal $1,500,000
JPMorgan Chase JPMorgan Chase employment discrimination 2014 EEOC $1,450,000
Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America investor protection violation 2018 SEC $1,404,000
UBS UBS wage and hour violation 2012 private lawsuit-federal $1,400,000
H&R Block H&R Block wage and hour violation 2010 private lawsuit-federal $1,400,000
Ditech Financial LLC Ditech Holding Corporation wage and hour violation 2017 private lawsuit-federal $1,383,000
Crawford and Company Crawford & Co. False Claims Act 2006 DOJ_CIVIL $1,363,204
Societe Generale Private Banking (Lugano-Svizzera) Societe Generale tax violations 2015 DOJ_TAX $1,363,000
UBS UBS wage and hour violation 2015 private lawsuit-federal $1,312,500
Wedbush Securities Inc. Wedbush Securities investor protection violation 2018 SEC $1,304,197
Associated Banc-Corp Associated Banc-Corp wage and hour violation 2012 private lawsuit-federal $1,275,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China investor protection violation 2018 SEC $1,250,000
Mizuho Securities USA LLC Mizuho Financial investor protection violation 2018 SEC $1,250,000
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2018 SEC $1,250,000
Merrill Lynch Bank of America financial institution supervision failures 2014 CFTC $1,200,000
U.S. Bank, National Association U.S. Bancorp mortgage abuses 2011 HUD $1,200,000
Hartford Fire Insurance Hartford Financial Services wage and hour violation 2011 private lawsuit-federal $1,200,000
Champion Mortgage and KeyBank KeyCorp wage and hour violation 2009 private lawsuit-federal $1,200,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2012 private lawsuit-federal $1,195,000
U.S. Bancorp U.S. Bancorp wage and hour violation 2017 private lawsuit-federal $1,150,000
Morgan Stanley Capital Group, Inc. Morgan Stanley environmental violation 2017 EPA $1,119,000
Fifth Third Bank Fifth Third Bancorp wage and hour violation 2017 private lawsuit-federal $1,111,388
Transamerica Financial Advisors Aegon investor protection violation 2014 SEC $1,107,248
Bank of America, National Association Bank of America banking violation 2015 OCC $1,104,530
SunTrust Banks SunTrust Banks investor protection violation 2017 SEC $1,100,000
J.P. Morgan Investment Management Inc. JPMorgan Chase securities issuance or trading violation 2015 SEC $1,084,210
Citigroup Citigroup wage and hour violation 2017 private lawsuit-federal $1,080,000
KCG Americas LLC Virtu Financial investor protection violation 2015 SEC $1,055,197
Banco Popular Popular Inc. wage and hour violation 2009 private lawsuit-federal $1,050,000
Prudential Insurance Prudential Financial wage and hour violation 2011 private lawsuit-federal $1,016,500
First Republic Bank First Republic Bank wage and hour violation 2012 WHD $1,009,644
Regions Bank Regions Financial investor protection violation 2010 SEC $1,000,001
Everbank TIAA banking violation 2016 OCC $1,000,000
ABN AMRO Clearing Chicago LLC ABN AMRO securities issuance or trading violation 2013 CFTC $1,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2016 SEC $1,000,000
Manulife Financial Corporation Manulife Financial premerger notification violation 2004 DOJ_ANTITRUST $1,000,000
Regions Bank Regions Financial investor protection violation 2009 SEC $1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2009 SEC $1,000,000
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