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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,831,014,372
Number of Records: 7,414
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$36,732,025,100236
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,478,885,000114
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
UBS Financial Services, Inc.UBSinvestor protection violation2009MO-SEC$170,175
UBS Financial Services, Inc.UBSinvestor protection violation2006MT-SEC$4,503,166
UBS FINANCIAL SERVICES, INC.UBSinvestor protection violation2007VA-SEC$100,000
UBS FINANCIAL SERVICES, INC.UBSinvestor protection violation2010VA-SEC$625,000
UBS Financial Services, Inc.UBSinvestor protection violation2011FINRA$10,750,000
UBS Financial Services, Inc.UBSinvestor protection violation2009FINRA$100,000
UBS Financial Services, Inc.UBSinvestor protection violation2008FINRA$1,000,000
UBS Financial Services, Inc.UBSinvestor protection violation2007FINRA$370,000
UBS Financial Services, IncUBSinvestor protection violation2013MULTI-AG$4,580,000
UBS Financial Services Incorporated of Puerto RicoUBSinvestor protection violation2015FINRA$18,500,000
UBS Financial Services Inc. of Puerto RicoUBSinvestor protection violation2015SEC$15,000,000
UBS Financial Services Inc. of Puerto RicoUBSinvestor protection violation2012SEC$26,600,000
UBS Financial Services Inc. and UBS Securities LLCUBSanti-money-laundering deficiencies2018FINRA$5,000,000
UBS Financial Services Inc.UBSinvestor protection violation2004SEC$4,621,768
UBS Financial Services Inc.UBSinvestor protection violation2015SEC$480,000
UBS Financial Services Inc.UBSwage and hour violation2018WHD$6,246
UBS Financial Services Inc.UBSinvestor protection violation2018SEC$5,000,000
UBS Financial Services Inc.UBSanti-money-laundering deficiencies2018FINCEN$5,000,000
UBS Financial Services Inc.UBSinvestor protection violation2006NJ-AG$24,750,000
UBS Financial Services Inc.UBSinvestor protection violation2007CT-SEC$5,500,000
UBS Financial Services Inc.UBSinvestor protection violation2011NH-BSR$1,000,000
UBS Financial Services Inc.UBSinvestor protection violation2012NH-BSR$72,500
UBS Financial Services Inc.UBSinvestor protection violation2019VA-SEC$288,970
UBS Financial Services Inc.UBSinvestor protection violation2014VT-FIN$325,000
UBS Financial Services Inc.UBSinvestor protection violation2013MULTI-FIN$4,600,000
UBS Financial Services Inc.UBSinvestor protection violation2020SEC$10,000,000
UBS Financial Services Inc.UBSinvestor protection violation2019FINRA$2,000,000
UBS Financial Services Inc.UBSinvestor protection violation2004FINRA$200,666
UBS Financial Services Inc.UBSinvestor protection violation2021SEC$8,112,174
UBS Financial Services Inc.UBSinvestor protection violation2022SEC$25,000,000
UBS Financial Services Inc.UBSinvestor protection violation2022SEC$925,000
UBS Financial ServicesUBSinvestor protection violation2014SEC$56,400
UBS Financial ServicesUBSinvestor protection violation2016SEC$15,025,882
UBS Financial ServicesUBSinvestor protection violation2011IN-SEC$677,000
UBS Financial ServicesUBSinvestor protection violation2012FINRA$2,354,584
UBS as successor to Piper JaffrayUBSwage and hour violation2008private lawsuit-federal$5,500,000
UBS Americas Inc.UBStoxic securities abuses2013FHFA$885,000,000
UBS AGUBSprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$160,000,000
UBS AGUBSbanking violation2015FED$342,000,000
UBS AGUBSprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$203,000,000
UBS AGUBSinvestor protection violation2015SEC$19,500,000
UBS AGUBSprice-fixing or anti-competitive practices2014CFTC$290,000,000
UBS AGUBSprice-fixing or anti-competitive practices2012CFTC$700,000,000
UBS AGUBSeconomic sanction violation2015OFAC$1,700,100
UBS AGUBSinvestor protection violation2010CFTC$130,000
UBS AGUBSeconomic sanction violation2004FED$100,000,000
UBS AGUBStax violations2009DOJ_TAX$780,000,000
UBS AGUBStax violations2009SEC$200,000,000
UBS AGUBSinvestor protection violation2018CFTC$15,000,000
UBS AGUBSprice-fixing or anti-competitive practices2018MULTI-AG$68,000,000
UBS AGUBSprice-fixing or anti-competitive practices2011MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,800,000
UBS AGUBSprice-fixing or anti-competitive practices2016WV-AG$325,000
UBS AGUBSenvironmental violation2011CT-ENV$80,000
UBS AGUBSinvestor protection violation2021CFTC$500,000
UBS AGUBSinvestor protection violation2022CFTC$75,000,000
UBS AGUBSprice-fixing or anti-competitive practices2020private lawsuit-federal$17,900,000
UBS AGUBSprice-fixing or anti-competitive practices2018private lawsuit-federal$141,075,000
UBS AGUBSprice-fixing or anti-competitive practices2018private lawsuit-federal$14,000,000
UBS AGUBSprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
UBS AGUBSprice-fixing or anti-competitive practices2022private lawsuit-federal$8,000,000
UBS AGUBSprice-fixing or anti-competitive practices2016private lawsuit-federal$32,000,000
UBS (USA) IncUBSeconomic sanction violation2003OFAC$14,750
UBS (USA) IncUBSeconomic sanction violation2003OFAC$5,000
UBSUBStoxic securities abuses2016NCUA$69,800,000
UBSUBStoxic securities abuses2017NCUA$445,000,000
UBSUBSwage and hour violation2015private lawsuit-federal$1,312,500
UBSUBSwage and hour violation2012private lawsuit-federal$1,400,000
UBSUBSwage and hour violation2007private lawsuit-federal$44,000,000
UBSUBSwage and hour violation2007private lawsuit-federal$45,000,000
UBSUBSinvestor protection violation2010MI-AG$117,000,000
U.S. Trust CorporationBank of Americabanking violation2001FED$5,000,000
U.S. Trust CorporationBank of Americaanti-money-laundering deficiencies2001NY-DFS$5,000,000
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.investor protection violation2010SEC$112,600,000
U.S. Bank, National AssociationU.S. Bancorpmortgage abuses2011HUD$1,200,000
U.S. Bank Pension PlanU.S. Bancorpbenefit plan administrator violation2012private lawsuit-federal$9,600,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2016OCC$10,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2014OCC$51,900,000
U.S. Bank National AssociationU.S. Bancorpinvestor protection violation2015CFTC$18,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2006OCC$125,000
U.S. Bank National AssociationU.S. Bancorpdiscriminatory practices (non-employment)2014HUD$11,489
U.S. Bank National AssociationU.S. Bancorpdiscriminatory practices (non-employment)2013HUD$12,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2017OCC$15,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2017OCC$183,920
U.S. Bank National AssociationU.S. Bancorpanti-money-laundering deficiencies2018OCC$75,000,000
U.S. Bank National AssociationU.S. Bancorpanti-money-laundering deficiencies2018FINCEN$70,000,000
U.S. Bank National AssociationU.S. Bancorpinvestor protection violation2005SEC$500,000
U.S. Bank National AssociationU.S. Bancorpwage and hour violation2020private lawsuit-federal$6,500,000
U.S. Bank National AssociationU.S. Bancorpmortgage abuses2020DOJ_UTP$29,000,000
U.S. Bank Municipal Securities GroupU.S. Bancorpinvestor protection violation2015SEC$60,000
U.S. BankU.S. Bancorpconsumer protection violation2014CFPB$53,000,000
U.S. BankU.S. Bancorpbanking violation2013CFPB$3,200,000
U.S. BankU.S. Bancorpbanking violation2013OCC$208,156,501
U.S. BankU.S. BancorpFalse Claims Act and related2014DOJ_CIVIL$200,000,000
U.S. BankU.S. Bancorpwage and hour violation2008WHD$140,787
U.S. BankU.S. Bancorpwage and hour violation2015private lawsuit-federal$3,031,075
U.S. BankU.S. Bancorpprivacy violation2019private lawsuit-federal$2,670,336
U.S. BankU.S. Bancorpconsumer protection violation2021MA-AG$230,000
U.S. BankU.S. Bancorpbanking violation2022CFPB$37,500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003SEC$32,500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerdata submission deficiencies2002SEC$1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002SEC$100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.