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83 Violation Tracker results found

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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount sort icon
HSBC Holdings plc HSBC Bank USA N.A.HSBCfinancial servicesanti-money-laundering deficiencies2012DOJ_CRIMINAL$1,256,000,000
HSBCHSBCfinancial servicestoxic securities abuses2018USAO$765,000,000
Republic New York SecuritiesHSBCfinancial servicesfraud2001USAO$569,000,000
HSBC North America Holdings Inc.HSBCfinancial servicestoxic securities abuses2014FHFA$550,000,000
HSBC Bank USA, N.A.HSBCfinancial servicesbanking violation2012OCC$500,000,000
Household Finance Corp.HSBCfinancial servicesmortgage abuses2002MULTI-AG$484,000,000
HSBC Bank USA NAHSBCfinancial servicesmortgage abuses2016DOJ$470,000,000
HSBC HoldingsHSBCfinancial serviceseconomic sanction violation2012OFAC$375,000,000
HSBC Holdings PLCHSBCfinancial servicesprice-fixing or anti-competitive practices2018private lawsuit-federal$285,000,000
HSBC BankHSBCfinancial servicesprice-fixing or anti-competitive practices2014CFTC$275,000,000
HSBC Bank USA, National AssociationHSBCfinancial servicesbanking violation2013OCC$249,000,000
HSBC Private Bank (Suisse) SAHSBCfinancial servicestax violations2019USAO$192,350,000
HSBC Holdings plcHSBCfinancial serviceseconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $187,500,000
HSBC HoldingsHSBCfinancial servicesbanking violation2017FED$175,000,000
HSBC HOLDINGS PLCHSBCfinancial servicesbanking violation2012FED$165,000,000
HSBC HoldingsPLCHSBCfinancial servicesprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
HSBC North America Holdings, Inc.HSBCfinancial servicesbanking violation2016FED$131,000,000
HSBC Holdings plcHSBCfinancial servicesfraud2018DOJ_CRIMINAL$100,000,000
HSBC Bank PLCHSBCfinancial servicesprice-fixing or anti-competitive practices2018private lawsuit-federal$100,000,000
HSBCHSBCfinancial servicesmortgage abuses2016MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $59,500,000
Household InternationalHSBCfinancial servicesbenefit plan administrator violation2004private lawsuit-federal$46,500,000
HSBC Holdings PLCHSBCfinancial servicesprice-fixing or anti-competitive practices2018private lawsuit-federal$45,000,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2023CFTC$45,000,000
HSBC Bank PLCHSBCfinancial servicesprice-fixing or anti-competitive practices2022private lawsuit-federal$42,000,000
HSBC Bank USA, National AssociationHSBCfinancial servicesbanking violation2016OCC$35,000,000
HSBC Holdings PLCHSBCfinancial servicesprice-fixing or anti-competitive practices2016private lawsuit-federal$35,000,000
HSBC Bank USA, National AssociationHSBCfinancial servicesbanking violation2017OCC$32,500,000
HSBC Bank U.S.A. N.A.HSBCfinancial servicesconsumer protection violation2016private lawsuit-state$32,000,000
HSBC Securities (USA) Inc.HSBCfinancial servicesprice-fixing or anti-competitive practices2021private lawsuit-federal$30,000,000
HSBC Bank PLCHSBCfinancial servicesinvestor protection violation2023CFTC$30,000,000
HSBC SecuritiesHSBCfinancial servicesmortgage abuses2018MA-AG$26,800,000
HSBC Bank USA N.A.HSBCfinancial servicesconsumer protection violation2012private lawsuit-federal$23,500,000
HSBC Securities (USA) Inc.HSBCfinancial servicesprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
HSBC Bank PLCHSBCfinancial servicesprice-fixing or anti-competitive practices2020private lawsuit-federal$18,500,000
HSBC Bank USA, N.A.HSBCfinancial servicesconsumer protection violation2014private lawsuit-federal$16,000,000
HSBC BankHSBCfinancial serviceswage and hour violation2013private lawsuit-federal$15,625,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2023SEC$15,000,000
HSBC Bank USA N.A.HSBCfinancial servicesprice-fixing or anti-competitive practices2018private lawsuit-federal$14,000,000
HSBC Private Bank (Suisse)HSBCfinancial servicesinvestor protection violation2014SEC$12,500,000
HSBC Bank PLCHSBCfinancial servicesprice-fixing or anti-competitive practices2020private lawsuit-federal$11,100,000
HSBCHSBCfinancial servicesprice-fixing or anti-competitive practices2022private lawsuit-federal$11,000,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2007SEC$10,500,000
HSBCHSBCfinancial servicesmortgage abuses2014USAO$10,000,000
HSBC Bank USAHSBCfinancial servicesbenefit plan administrator violation2005private lawsuit-federal$9,350,000
Household Finance Corp. of California and Beneficial California, Inc.HSBCfinancial servicesmortgage abuses2002CA-DFPI$8,900,000
HSBCHSBCfinancial servicesFalse Claims Act and related2020CA-AG$7,000,000
HSBCHSBCfinancial serviceswage and hour violation2016private lawsuit-federal$6,982,000
HSBC Finance Corporation et al.HSBCfinancial servicesdiscriminatory practices (non-employment)2010private lawsuit-federal$6,050,000
HSBCHSBCfinancial servicestoxic securities abuses2012NCUA$5,250,000
Republic New York Securities CorporationHSBCfinancial servicesinvestor protection violation2001CFTC$5,000,000
HSBC Bank PLCHSBCfinancial servicesprice-fixing or anti-competitive practices2020private lawsuit-federal$4,750,000
HSBCHSBCfinancial servicesconsumer protection violation2016MA-AG$4,000,000
HSBC Securities (USA) Inc.HSBCfinancial servicestoxic securities abuses2016VA-AG$2,500,000
HSBC Bank USA N.A.HSBCfinancial servicesFalse Claims Act and related2017USAO$2,118,861
HSBC Finance CorporationHSBCfinancial servicesconsumer protection violation2013WV-AG$1,950,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2018CFTC$1,600,000
HSBC Securities (USA)HSBCfinancial servicesinvestor protection violation2010FINRA$1,500,000
HSBC Bank USA, N.A.HSBCfinancial servicesenvironmental violation2007NY-AG$918,000
HSBC Mortgage Services Inc.HSBCfinancial servicesconsumer protection violation2015private lawsuit-federal$900,000
HSBCHSBCfinancial servicesconsumer protection violation2015MO-AG$825,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2020SEC$725,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2019CFTC$650,000
HSBC Finance CorporationHSBCfinancial servicesconsumer protection violation2016DOJ_RIGHTS$434,500
HSBC Auto FinanceHSBCfinancial serviceswage and hour violation2009private lawsuit-federal$420,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2010FINRA$375,000
HSBC BrokerageHSBCfinancial servicesinvestor protection violation2007FINRA$250,000
Household Finance CorpoationHSBCfinancial servicesconsumer protection violation2008NE-DBF$55,000
Household InternationalHSBCfinancial serviceswage and hour violation2003WHD$54,328
HSBC North AmericaHSBCfinancial servicesenvironmental violation2010EPA$36,083
HSBC Bank USA, N.A.HSBCfinancial serviceseconomic sanction violation2013OFAC$32,400
HSBCHSBCfinancial servicesemployment discrimination2020NY-NYCCHR$30,000
HSBCHSBCfinancial serviceswage and hour violation2007WHD$16,545
HSBC North America Inc.HSBCfinancial serviceswage and hour violation2006WHD$12,685
HSBC North America Inc.HSBCfinancial serviceswage and hour violation2006WHD$11,489
HSBC Bank USAHSBCfinancial serviceseconomic sanction violation2003OFAC$11,000
HSBC SECURITIES USA INCHSBCfinancial servicesinsurance violation2021WA-INS$10,000
HSBC Bank USAHSBCfinancial serviceseconomic sanction violation2004OFAC$8,375
HSBC North America Inc.HSBCfinancial serviceswage and hour violation2006WHD$8,273
HSBC BankHSBCfinancial serviceswage and hour violation2006WHD$7,599
HSBC Securities USA IncHSBCfinancial servicesinsurance violation2011WA-INS$7,000
HSBC Bank USAHSBCfinancial serviceseconomic sanction violation2004OFAC$5,500
HSBC Bank USAHSBCfinancial serviceseconomic sanction violation2003OFAC$5,500
HSBC North America IncHSBCfinancial serviceswage and hour violation2006WHD$5,357
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.