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
First National Bank of Omaha First National of Nebraska banking violation 2016 OCC $3,000,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2018 private lawsuit-federal $3,000,000
Capital One Capital One Financial wage and hour violation 2015 private lawsuit-federal $3,000,000
Wells Fargo Wells Fargo wage and hour violation 2014 private lawsuit-state $3,000,000
Citizens Bank Citizens Financial Group wage and hour violation 2014 private lawsuit-federal $3,000,000
TCF National Bank TCF Financial Corp. banking violation 2018 OCC $3,000,000
AllianceBernstein AXA wage and hour violation 2013 private lawsuit-federal $2,980,000
Citigroup Global Markets Citigroup investor protection violation 2017 SEC $2,963,735
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2017 SEC $2,963,735
Wilmington Finance Inc. OneMain Holdings wage and hour violation 2008 private lawsuit-federal $2,925,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC Oppenheimer Holdings investor protection violation 2013 SEC $2,886,677
Janney Montgomery Scott Penn Mutual wage and hour violation 2009 private lawsuit-federal $2,880,000
Chevy Chase Bank F.S.B. Capital One Financial mortgage abuses 2013 DOJ_RIGHTS $2,850,000
Cleco Corporation Macquarie energy market violation 2003 FERC $2,850,000
Cleco Corporation Macquarie energy market violation 2003 FERC $2,850,000
Oppenheimer & Company, Inc. Oppenheimer Holdings anti-money-laundering deficiencies 2005 FINCEN $2,800,000
Charles Schwab & Co., Inc. Charles Schwab Corp. investor protection violation 2018 SEC $2,800,000
Convergex Execution Solutions LLC Cowen Inc. data submission deficiencies 2018 SEC $2,750,000
Hartford Fire Insurance Hartford Financial Services wage and hour violation 2016 private lawsuit-federal $2,650,000
Merrill Lynch Bank of America wage and hour violation 2016 private lawsuit-state $2,645,000
Norddeutsche Landesbank Girozentrale Norddeutsche Landesbank employment discrimination 2008 private lawsuit-federal $2,618,600
Raymond James Financial Services, Inc. Raymond James Financial securities issuance or trading violation 2004 SEC $2,595,129
Asset Acceptance LLC Encore Capital Group consumer protection violation 2012 FTC $2,500,000
Gibraltar Private Bank & Trust Co. Gibraltar Private Bank and Trust banking violation 2016 OCC $2,500,000
Deutsche Bank AG Deutsche Bank data submission deficiencies 2015 CFTC $2,500,000
E*TRADE Securities E-Trade Financial securities issuance or trading violation 2014 SEC $2,500,000
Scottrade TD Ameritrade data submission deficiencies 2014 SEC $2,500,000
Lehman Brothers, Inc. Lehman Brothers financial institution supervision failures 2003 SEC $2,500,000
Morgan Stanley & Co. Incorporated Morgan Stanley securities issuance or trading violation 2000 SEC $2,500,000
RBC Capital Markets LLC Royal Bank of Canada investor protection violation 2016 SEC $2,500,000
Merrill Lynch Bank of America financial institution supervision failures 2017 CFTC $2,500,000
Bank of America Bank of America securities issuance or trading violation 2017 USAO $2,500,000
TD Ameritrade TD Ameritrade wage and hour violation 2009 private lawsuit-federal $2,500,000
Home Loan Center Inc. LendingTree wage and hour violation 2009 private lawsuit-federal $2,500,000
Bank of America Bank of America wage and hour violation 2007 private lawsuit-state $2,500,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC Credit Suisse investor protection violation 2011 SEC $2,500,000
Bank of Hawaii Bank of Hawaii benefit plan administrator violation 2009 EBSA $2,500,000
First Hawaiian Bank BNP Paribas benefit plan administrator violation 2009 EBSA $2,500,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2010 private lawsuit-federal $2,492,729
Barclays Bank PLC Barclays economic sanction violation 2016 OFAC $2,485,890
Wedbush Securities Wedbush Securities investor protection violation 2014 SEC $2,440,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2015 private lawsuit-federal $2,400,000
SunTrust Mortgage SunTrust Banks wage and hour violation 2012 private lawsuit-federal $2,400,000
Oppenheimer & Co. Oppenheimer Holdings wage and hour violation 2011 private lawsuit-federal $2,375,901
Saxon Mortgage Services Inc. Morgan Stanley mortgage abuses 2011 DOJ_CIVIL $2,350,000
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
Strong Capital Management, Inc. Wells Fargo investor protection violation 2006 SEC $2,185,927
Bank of America Corp Bank of America employment discrimination 2013 OFCCP $2,181,593
Liberty Mutual Insurance Liberty Mutual Insurance employment discrimination 2009 private lawsuit-federal $2,163,401
Heartland Payment Systems, LLC Global Payments Inc. investor protection violation 2018 SEC $2,160,000
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
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
LendingClub Corporation LendingClub Corp. banking violation 2018 USAO $2,000,000
Ocwen Financial Ocwen Financial employment discrimination 2005 private lawsuit-state $2,000,000
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.: I Louis Dreyfus workplace safety or health violation 2008 OSHA $2,000,000
JPMorgan Chase & Co. JPMorgan Chase investor protection violation 2008 SEC $1,998,143
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
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