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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,479,735,000115
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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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Company sort icon . Current ParentPrimary Offense TypeYearAgencyPenalty Amount
BANK OF THE CASCADESFirst Interstate Bancsystembanking violation2008FDIC$43,550
Bank of Nova ScotiaScotiabankinvestor protection violation2018CFTC$800,000
Bank of Nova ScotiaScotiabankprice-fixing or anti-competitive practices2020DOJ_CRIMINAL$60,400,000
Bank of Nova ScotiaScotiabankprice-fixing or anti-competitive practices2022private lawsuit-federal$12,500,000
Bank of Nova ScotiaScotiabankinvestor protection violation2023CFTC$15,000,000
Bank of North GeorgiaSynovus Financialenvironmental violation2011GA-ENV$14,000
Bank of New York Mellon CorporationBank of New York Mellonbanking violation2017FED$3,000,000
Bank of New York Mellon CorporationBank of New York Mellonbenefit plan administrator violation2015private lawsuit-federal$335,000,000
Bank of New York Mellon CorporationBank of New York Mellonbenefit plan administrator violation2009private lawsuit-federal$2,200,000
Bank of New York Mellon Corp.Bank of New York Melloninvestor protection violation2011MULTI-AG$1,300,000
Bank of New York Mellon (Shanghai Branch)Bank of New York Mellonexport control violation2011BIS$30,000
Bank of New York MellonBank of New York Mellonbanking violation2015USAO$714,000,000
Bank of New York MellonBank of New York Mellonbenefit plan administrator violation2015EBSA$84,000,000
Bank of New York MellonBank of New York Mellonbanking violation2018FED$16,000
Bank of New York MellonBank of New York Melloninvestor protection violation2018SEC$54,000,000
Bank of New York MellonBank of New York Melloninvestor protection violation2013FL-AG$28,000,000
Bank of New York MellonBank of New York Mellonemployment discrimination2010NJ-AG$188,037
Bank of New York MellonBank of New York Mellonbanking violation2015NY-AG$167,500,000
Bank of New York MellonBank of New York Melloninvestor protection violation2019CFTC$750,000
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$137,500
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$34,623
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$27,500
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$5,500
Bank of New YorkBank of New York Melloneconomic sanction violation2003OFAC$24,750
Bank of LouisvilleTruist Financialinvestor protection violation2002KY-INS$27,000,000
BANK OF KENTUCKY, INC., THETruist Financialbanking violation2009FDIC$30,415
Bank of HawaiiBank of Hawaiibenefit plan administrator violation2009EBSA$2,500,000
Bank of HawaiiBank of Hawaiiwage and hour violation2018WHD$7,631
Bank of Hampton RoadsAtlantic Union Banksharesbanking violation2011FED$33,600
Bank of China (UK) LimitedBank of Chinaeconomic sanction violation2021OFAC$2,329,991
Bank of ChinaBank of Chinaeconomic sanction violation2005OFAC$11,000
Bank of ChinaBank of Chinaeconomic sanction violation2004OFAC$10,000
Bank of ChinaBank of Chinabanking violation2002OCC$10,000,000
Bank of ChinaBank of Chinabanking violation2018OCC$12,500,000
Bank of AmericaCorp.Bank of Americaprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Bank of America, National AssociationBank of Americabanking violation2015OCC$1,104,530
Bank of America, National AssociationBank of Americabanking violation2015OCC$30,000,000
Bank of America, National AssociationBank of Americabanking violation2014OCC$250,000,000
Bank of America, National AssociationBank of Americabanking violation2014OCC$25,000,000
Bank of America, National AssociationBank of Americalabor relations violation2013NLRB$18,634
Bank of America, National AssociationBank of Americaenvironmental violation2013VA-ENV$27,625
Bank of America, NABank of Americawage and hour violation2010WHD$5,827
Bank of America, NABank of Americadiscriminatory practices (non-employment)2005private lawsuit-federal$3,670,000
Bank of America, N.A.Bank of Americaconsumer protection violation2014CFPB$747,000,000
Bank of America, N.A.Bank of Americawage and hour violation2010WHD$18,654
Bank of America, N.A.Bank of Americaprice-fixing or anti-competitive practices2018CFTC$30,000,000
Bank of America, N.A.Bank of Americaconsumer protection violation2017CA-MULTI$1,940,000
Bank of America, N.A.Bank of AmericaAmericans with Disabilities Act2020DOJ_RIGHTS$300,000
Bank of America, N.A.Bank of Americadiscriminatory practices (non-employment)2022HUD$15,000
Bank of America, N.A.Bank of Americaprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Bank Of America NABank of Americaenvironmental violation2005TX-ENV$12,480
Bank of America NABank of Americabanking violation2022OCC$125,000,000
Bank of America N.A.Bank of Americabanking violation2012DOJ_RIGHTS$370,000,000
Bank of America N.A.Bank of Americaeconomic sanction violation2014OFAC$16,562,700
Bank of America N.A.Bank of Americaprice-fixing or anti-competitive practices2020private lawsuit-federal$5,000,000
Bank of America N.A.Bank of Americaprice-fixing or anti-competitive practices2020private lawsuit-federal$6,250,000
Bank of America N.A.Bank of Americaprice-fixing or anti-competitive practices2020private lawsuit-federal$1,500,000
Bank of America N.A.Bank of Americaprice-fixing or anti-competitive practices2018private lawsuit-federal$187,500,000
Bank of America N.A.Bank of Americaprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Bank of America N.A.Bank of Americaprice-fixing or anti-competitive practices2021private lawsuit-federal$17,000,000
Bank of America N.A.Bank of Americaprice-fixing or anti-competitive practices2014private lawsuit-federal$20,000,000
Bank of America Merrill LynchBank of Americainvestor protection violation2018NY-AG$42,000,000
BANK OF AMERICA CORPORATIONBank of Americabanking violation2015FED$205,000,000
Bank of America CorporationBank of Americabanking violation2012FED$175,500,000
Bank of America CorporationBank of Americamortgage abuses2014DOJ$16,650,000,000
Bank of America CorporationBank of Americamortgage abuses2012DOJ$10,956,600,000
Bank of America CorporationBank of Americainvestor protection violation2014SEC$7,650,000
Bank of America CorporationBank of Americatoxic securities abuses2014FHFA$9,300,000,000
Bank of America CorporationBank of Americainvestor protection violation2009SEC$33,000,000
Bank of America CorporationBank of Americawage and hour violation2006WHD$265,774
Bank of America CorporationBank of Americawage and hour violation2004WHD$5,972
Bank of America CorporationBank of Americainvestor protection violation2014SEC$20,000,000
Bank of America CorporationBank of Americamortgage abuses2014MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $943,000,000
Bank of America CorporationBank of Americaprivacy violation2014private lawsuit-federal$32,083,905
Bank of America Corp.Bank of Americaprivacy violation2010MO-AG$195,000
Bank of America Corp.Bank of Americaconsumer protection violation2013WV-AG$1,950,000
Bank of America Corp.Bank of Americaanti-money-laundering deficiencies2006NY-MANDA$7,500,000
Bank of America Corp.Bank of Americaworkplace whistleblower retaliation2011OSHA$930,000
Bank of America CorpBank of Americaemployment discrimination2013OFCCP$2,181,593
Bank of America CorpBank of Americabenefit plan administrator violation2011private lawsuit-federal$21,000,000
Bank of AmericaBank of Americaprice-fixing or anti-competitive practices2010DOJ_ANTITRUST$137,300,000
Bank of AmericaBank of Americabanking violation2013OCC$2,886,578,478
Bank of AmericaBank of Americainvestor protection violation2010SEC$150,000,000
Bank of AmericaBank of Americatoxic securities abuses2013FHFA$404,000,000
Bank of AmericaBank of Americatoxic securities abuses2011FHFA$1,300,000,000
Bank of AmericaBank of Americatoxic securities abuses2011FHFA$1,520,000,000
Bank of AmericaBank of Americatoxic securities abuses2013FHFA$10,350,000,000
Bank of AmericaBank of Americatoxic securities abuses2013NCUA$165,000,000
Bank of AmericaBank of Americaeconomic sanction violation2004OFAC$13,573
Bank of AmericaBank of Americaeconomic sanction violation2003OFAC$158,038
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2013HUD$45,000
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2013HUD$22,449
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2013HUD$7,500
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2012HUD$161,180
Bank of AmericaBank of Americaemployment discrimination2014EEOC$110,000
Bank of AmericaBank of Americaemployment discrimination2016EEOC$30,000
Bank of AmericaBank of AmericaFamily and Medical Leave Act2008WHD$6,500
Bank of AmericaBank of Americawage and hour violation2008WHD$6,209
Bank of AmericaBank of Americawage and hour violation2005WHD$12,824
Bank of AmericaBank of Americaemployment discrimination2017OFCCP$1,000,000
Bank of AmericaBank of Americainvestor protection violation2017USAO$2,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.