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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,816,534,046
Number of Records: 7,081
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals are adjusted to account for the fact that each parent's entries 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. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$83,354,221,356271
JPMorgan Chase$36,129,269,434222
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
Goldman Sachs$16,599,475,84889
NatWest Group PLC$13,515,546,85731
Credit Suisse$10,932,400,12651
Morgan Stanley$10,167,765,234190

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

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CompanyCurrent ParentPrimary Offense TypeYearAgency sort iconPenalty Amount
UBS AGUBSinvestor protection violation2010CFTC$130,000
Scotia Capital Inc.Scotiabankinvestor protection violation2010CFTC$250,000
Citigroup Private Bank GP, Inc.Citigroupdata submission deficiencies2009CFTC$100,000
J.P. Morgan Futures, Inc.JPMorgan Chasedata submission deficiencies2009CFTC$300,000
UBS Fund Advisor, LLCUBSdata submission deficiencies2009CFTC$50,000
BNP Paribas Commodity Futures, Ltd.BNP Paribasdata submission deficiencies2008CFTC$25,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLCBank of Americadata submission deficiencies2007CFTC$500,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2007CFTC$175,000
Credit Lyonnais Rouse LimitedCredit Agricoleinvestor protection violation2005CFTC$85,000
Cinergy Marketing & Trading, LPBNP Paribasdata submission deficiencies2004CFTC$3,000,000
Credit Lyonnais Rouse LimitedCredit Agricoleinvestor protection violation2004CFTC$25,000
A.G. Edwards & Sons, Inc.Wells Fargodata submission deficiencies2003CFTC$45,000
Prudential Securities, Inc.Wells Fargodata submission deficiencies2002CFTC$65,000
Republic New York Securities CorporationHSBCinvestor protection violation2001CFTC$5,000,000
Barclays Bank PLCBarclaysdata submission deficiencies2016CFTC$500,000
Wells Fargo Bank, N.A.Wells Fargodata submission deficiencies2016CFTC$400,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2016CFTC$750,000
Societe GeneraleSociete Generaledata submission deficiencies2016CFTC$450,000
Goldman SachsGoldman Sachsforeign exchange market manipulation2016CFTC$120,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2017CFTC$900,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2017CFTC$25,000,000
E*TRADE Securities LLCMorgan Stanleyinvestor protection violation2017CFTC$280,000
Royal Bank of Scotland plcNatWest Group PLCinterest rate benchmark manipulation2017CFTC$85,000,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupinvestor protection violation2017CFTC$600,000
INTL FCStone Financial Inc.StoneX Groupinvestor protection violation2017CFTC$280,000
Morgan StanleyMorgan Stanleydata submission deficiencies2017CFTC$350,000
Morgan StanleyMorgan Stanleyinvestor protection violation2017CFTC$500,000
Citibank N.A.Citigroupdata submission deficiencies2017CFTC$550,000
Merrill LynchBank of Americainvestor protection violation2017CFTC$2,500,000
Deutsche Bank Securities Inc.Deutsche Bankinterest rate benchmark manipulation2018CFTC$70,000,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2018CFTC$1,600,000
UBS AGUBSinvestor protection violation2018CFTC$15,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2018CFTC$30,000,000
BNP Paribas Securities Corp.BNP Paribasinterest rate benchmark manipulation2018CFTC$90,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinterest rate benchmark manipulation2018CFTC$65,000,000
Societe Generale S.A.Societe Generaleinterest rate benchmark manipulation2018CFTC$475,000,000
Commerzbank AGCommerzbankinvestor protection violation2018CFTC$12,000,000
Bank of Nova ScotiaScotiabankinvestor protection violation2018CFTC$800,000
Mizuho Bank, Ltd.Mizuho Financialinvestor protection violation2018CFTC$250,000
Bank of America, N.A.Bank of Americainterest rate benchmark manipulation2018CFTC$30,000,000
ICAP Capital Markets LLCCME Groupinterest rate benchmark manipulation2018CFTC$50,000,000
NatWest Markets PlcNatWest Group PLCinvestor protection violation2018CFTC$750,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2018CFTC$160,000
Merrill Lynch Commodities, Inc.Bank of Americainvestor protection violation2019CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $24,900,000
BGC Financial, L.P.BGC Partnersinvestor protection violation2019CFTC$3,000,000
Wells Fargo Bank, N.A.Wells Fargoinvestor protection violation2019CFTC$14,475,000
BGC Financial, LPBGC Partnersinvestor protection violation2019CFTC$15,000,000
GFI Securities, LLCBGC Partnersinvestor protection violation2019CFTC$10,000,000
Morgan Stanley Capital Group Inc.Morgan Stanleyinvestor protection violation2019CFTC$1,500,000
PNC Bank, National AssociationPNC Financial Servicesinvestor protection violation2019CFTC$300,000
Bank of New York MellonBank of New York Melloninvestor protection violation2019CFTC$750,000
NatWest Markets PlcNatWest Group PLCinvestor protection violation2019CFTC$850,000
Northern Trust CompanyNorthern Trustinvestor protection violation2019CFTC$1,000,000
Societe Generale International LimitedSociete Generaleinvestor protection violation2019CFTC$2,500,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2019CFTC$650,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2019CFTC$5,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019CFTC$300,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2019CFTC$1,000,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$50,000,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$77,400,000
Interactive Brokers LLCInteractive Brokers Groupanti-money-laundering deficiencies2020CFTC$12,206,214
Deutsche Bank AGDeutsche Bankinvestor protection violation2020CFTC$9,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2020CFTC$1,250,000
Vitol Inc.Vitolfraud2020CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $95,700,000
Morgan Stanley Capital Services LLCMorgan Stanleyinvestor protection violation2020CFTC$5,000,000
Gain Capital Group, LLCStoneX Groupinvestor protection violation2020CFTC$300,000
JPMorgan Chase & CompanyJPMorgan Chaseinvestor protection violation2020CFTC$920,200,000
Citibank N.A.Citigroupinvestor protection violation2020CFTC$4,500,000
Coinbase Inc.Coinbase Global Inc.investor protection violation2021CFTC$6,500,000
Credit SuisseCredit Suisseinvestor protection violation2021CFTC$1,500,000
UBS AGUBSinvestor protection violation2021CFTC$500,000
Societe Generale S.A.Societe Generaleinvestor protection violation2021CFTC$1,500,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2021CFTC$84,320,000
Mizuho Capital Markets LLCMizuho Financialinvestor protection violation2021CFTC$1,500,000
Citibank, N.A.Citigroupinvestor protection violation2021CFTC$1,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2021CFTC$75,000,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2022CFTC$1,010,828
Glencore International A.G.Glencoreenergy market manipulation2022CFTC$1,186,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2022CFTC$850,000
BNP ParibasBNP Paribasinvestor protection violation2022CFTC$6,000,000
Bank of AmericaBank of Americainvestor protection violation2022CFTC$100,000,000
Barclays Bank PLCBarclaysinvestor protection violation2022CFTC$75,000,000
Cantor FitzgeraldCantor Fitzgeraldinvestor protection violation2022CFTC$6,000,000
Citibank N.A.Citigroupinvestor protection violation2022CFTC$75,000,000
Credit SuisseCredit Suisseinvestor protection violation2022CFTC$75,000,000
Deutsche BankDeutsche Bankinvestor protection violation2022CFTC$75,000,000
Goldman SachsGoldman Sachsinvestor protection violation2022CFTC$75,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2022CFTC$75,000,000
Nomura SecuritiesNomurainvestor protection violation2022CFTC$50,000,000
UBS AGUBSinvestor protection violation2022CFTC$75,000,000
Torchmark CorporationGlobe Life Inc.Medicare Parts C and D Enforcement Action2014CMS$40,000
Torchmark CorporationGlobe Life Inc.Medicare Parts C and D Enforcement Action2013CMS$150,000
Blue Shield of California Promise Health PlanCalifornia Physicians' ServiceMedicare Parts C and D Enforcement Action2020CMS$148,506
California Physicians' ServiceCalifornia Physicians' ServiceMedicare Parts C and D Enforcement Action2022CMS$40,282
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2002CO-AG$1,300,000
CashCall, Inc., WS Funding, LLC, and Delbert Services CorporationCashCall Inc.consumer protection violation2016CO-AG$7,384,005
Countrywide Financial Corp.Bank of Americamortgage abuses2009CO-AG$6,000,000
Western Sky Financial, LLC et al.CashCall Inc.consumer protection violation2014CO-AG$565,000
Santander Consumer USA, Inc.Banco Santanderconsumer protection violation2021CO-AG$3,065,000
United States Fire Insurance Co.Fairfax Financial Holdingsconsumer protection violation2021CO-AG$50,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2000CO-INS$25,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.