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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$87,286,650,890328
JPMorgan Chase$39,688,888,209277
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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 iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
HSBC Bank PLCHSBCprice-fixing or anti-competitive practices2020private lawsuit-federal$18,500,000
HSBC Bank PLCHSBCprice-fixing or anti-competitive practices2018private lawsuit-federal$100,000,000
HSBC Bank PLCHSBCprice-fixing or anti-competitive practices2022private lawsuit-federal$42,000,000
HSBC Bank PLCHSBCinvestor protection violation2023CFTC$30,000,000
HSBC Bank U.S.A. N.A.HSBCconsumer protection violation2016private lawsuit-state$32,000,000
HSBC Bank USAHSBCeconomic sanction violation2004OFAC$5,500
HSBC Bank USAHSBCeconomic sanction violation2004OFAC$8,375
HSBC Bank USAHSBCeconomic sanction violation2003OFAC$5,500
HSBC Bank USAHSBCeconomic sanction violation2003OFAC$11,000
HSBC Bank USAHSBCbenefit plan administrator violation2005private lawsuit-federal$9,350,000
HSBC Bank USA N.A.HSBCFalse Claims Act and related2017USAO$2,118,861
HSBC Bank USA N.A.HSBCprice-fixing or anti-competitive practices2018private lawsuit-federal$14,000,000
HSBC Bank USA N.A.HSBCconsumer protection violation2012private lawsuit-federal$23,500,000
HSBC Bank USA NAHSBCmortgage abuses2016DOJ$470,000,000
HSBC Bank USA, N.A.HSBCbanking violation2012OCC$500,000,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2007SEC$10,500,000
HSBC Bank USA, N.A.HSBCenvironmental violation2007NY-AG$918,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2019CFTC$650,000
HSBC Bank USA, N.A.HSBCeconomic sanction violation2013OFAC$32,400
HSBC Bank USA, N.A.HSBCinvestor protection violation2023CFTC$45,000,000
HSBC Bank USA, N.A.HSBCconsumer protection violation2014private lawsuit-federal$16,000,000
HSBC Bank USA, National AssociationHSBCbanking violation2016OCC$35,000,000
HSBC Bank USA, National AssociationHSBCbanking violation2013OCC$249,000,000
HSBC Bank USA, National AssociationHSBCbanking violation2017OCC$32,500,000
HSBC BrokerageHSBCinvestor protection violation2007FINRA$250,000
HSBC Finance CorporationHSBCconsumer protection violation2016DOJ_RIGHTS$434,500
HSBC Finance CorporationHSBCconsumer protection violation2013WV-AG$1,950,000
HSBC Finance Corporation et al.HSBCdiscriminatory practices (non-employment)2010private lawsuit-federal$6,050,000
HSBC HoldingsHSBCeconomic sanction violation2012OFAC$375,000,000
HSBC HoldingsHSBCbanking violation2017FED$175,000,000
HSBC HOLDINGS PLCHSBCbanking violation2012FED$165,000,000
HSBC Holdings plcHSBCfraud2018DOJ_CRIMINAL$100,000,000
HSBC Holdings plcHSBCeconomic 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 Holdings PLCHSBCprice-fixing or anti-competitive practices2016private lawsuit-federal$35,000,000
HSBC Holdings PLCHSBCprice-fixing or anti-competitive practices2018private lawsuit-federal$45,000,000
HSBC Holdings PLCHSBCprice-fixing or anti-competitive practices2018private lawsuit-federal$285,000,000
HSBC Holdings plc HSBC Bank USA N.A.HSBCanti-money-laundering deficiencies2012DOJ_CRIMINAL$1,256,000,000
HSBC HoldingsPLCHSBCprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
HSBC Mortgage Services Inc.HSBCconsumer protection violation2015private lawsuit-federal$900,000
HSBC North AmericaHSBCenvironmental violation2010EPA$36,083
HSBC North America Holdings Inc.HSBCtoxic securities abuses2014FHFA$550,000,000
HSBC North America Holdings, Inc.HSBCbanking violation2016FED$131,000,000
HSBC North America IncHSBCwage and hour violation2006WHD$5,357
HSBC North America Inc.HSBCwage and hour violation2006WHD$11,489
HSBC North America Inc.HSBCwage and hour violation2006WHD$12,685
HSBC North America Inc.HSBCwage and hour violation2006WHD$8,273
HSBC Private Bank (Suisse)HSBCinvestor protection violation2014SEC$12,500,000
HSBC Private Bank (Suisse) SAHSBCtax violations2019USAO$192,350,000
HSBC SecuritiesHSBCmortgage abuses2018MA-AG$26,800,000
HSBC Securities (USA)HSBCinvestor protection violation2010FINRA$1,500,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2018CFTC$1,600,000
HSBC Securities (USA) Inc.HSBCtoxic securities abuses2016VA-AG$2,500,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2020SEC$725,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2010FINRA$375,000
HSBC Securities (USA) Inc.HSBCprice-fixing or anti-competitive practices2021private lawsuit-federal$30,000,000
HSBC Securities (USA) Inc.HSBCprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
HSBC Securities (USA) Inc.HSBCinvestor protection violation2023SEC$15,000,000
HSBC Securities USA IncHSBCinsurance violation2011WA-INS$7,000
HSBC SECURITIES USA INCHSBCinsurance violation2021WA-INS$10,000
Hudson City Savings BankM&T Bankbanking violation2015CFPB$32,750,000
Huntington BancsharesHuntington Bancshareswage and hour violation2013private lawsuit-federal$3,100,000
Huntington Bancshares Inc.Huntington Bancsharesbenefit plan administrator violation2011private lawsuit-federal$1,450,000
Huntington Bancshares IncorporatedHuntington BancsharesFamily and Medical Leave Act2015WHD$7,788
Huntington Bancshares, Inc.Huntington Bancsharesaccounting fraud or deficiencies2005SEC$7,500,000
Huntington National BankHuntington Bancshareswage and hour violation2010WHD$10,007
Huntington National BankHuntington Bancshareswage and hour violation2005WHD$51,259
Huntington National BankHuntington Bancshareswage and hour violation2011MI-LEO$11,434
Hutchinson, Shockey, Erley & Co.Huntington Bancsharesinvestor protection violation2015SEC$220,000
IACInvescoworkplace safety or health violation2013OSHA$9,025
IAC ALBEMARLE, LLCInvescoworkplace safety or health violation2017OSHA$7,000
IAC DAYTON LLCInvescoworkplace safety or health violation2013OSHA$5,775
IAC Greencastle, LLCInvescoenvironmental violation2022IN-ENV$14,000
IAC GREENVILLE, LLCInvescoenvironmental violation2013EPA$16,870
IAC Group North AmericaInvescoenvironmental violation2016NC-ENV$6,751
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLCInvescoworkplace safety or health violation2011OSHA$5,850
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLCInvescoworkplace safety or health violation2014OSHA$6,300
IAC HURON, LLCInvescoworkplace safety or health violation2011OSHA$20,940
IAC MADISONVILLE LLCInvescoworkplace safety or health violation2014OSHA$5,000
IAC MADISONVILLE LLCInvescoworkplace safety or health violation2014OSHA$7,500
IAC SPARTANBURGInvescoworkplace safety or health violation2011OSHA$7,277
IAC SPARTANBURG, INCInvescoair pollution violation2012SC-ENV$7,000
IAC Spartanburg, Inc.Invescoair pollution violation2015SC-ENV$58,000
IAC SPRINGFIELD LLCInvescoworkplace safety or health violation2014OSHA$6,350
IAC Springfield, LLCInvescoFamily and Medical Leave Act2015WHD$5,377
IAC SPRINGFIELD, LLCInvescoworkplace safety or health violation2014OSHA$9,100
IAC WAUSEON, LLCInvescoworkplace safety or health violation2021OSHA$10,143
IBERIABANKFirst Horizon NationalFalse Claims Act and related2017DOJ_CIVIL$11,692,149
Iberiabank CorpFirst Horizon Nationalenvironmental violation2017LA-ENV$14,213
IBERIABANK CorporationFirst Horizon Nationalconsumer protection violation2012private lawsuit-federal$2,500,000
IberiaBank Mortgage Co.First Horizon Nationalconsumer protection violation2016AR-SEC$50,000
ICAP Capital Markets LLCCME Groupprice-fixing or anti-competitive practices2018CFTC$50,000,000
ICAP Capital Markets LLCCME Groupprice-fixing or anti-competitive practices2018private lawsuit-federal$11,500,000
ICAP Corporates LLCCME Groupinvestor protection violation2009FINRA$2,800,000
ICAP plcCME Groupinvestor protection violation2009SEC$25,000,000
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinainvestor protection violation2015SEC$4,200,000
ICE Futures U.S. Inc.IntercontinentalExchange Groupinvestor protection violation2015CFTC$3,000,000
IFCO SYSTEMSTriton Investments Adviserslabor relations violation2013NLRB$91,866
IFCO SystemsTriton Investments Adviserswork visa violations2008USAO$20,700,000
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2006OSHA$9,450
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2007OSHA$5,550
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2008OSHA$18,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.