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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
JPMorgan Chase & Co.JPMorgan Chasemortgage abuses2012DOJ$5,333,600,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$550,000,000
JPMorgan Chase & Co.JPMorgan Chasebanking violation2016FED$61,900,000
JPMorgan Chase & Co.JPMorgan ChaseForeign Corrupt Practices Act2016SEC$130,000,000
JPMorgan Chase & Co.JPMorgan Chaseemployment discrimination2006EEOC$2,200,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2008SEC$1,998,143
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2010NJ-AG$1,149,028
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2013WV-AG$1,950,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2016IN-SEC$905,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
JPMorgan Chase & Co.JPMorgan Chasefraud2020DOJ_CRIMINAL(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $920,000,000
JPMorgan Chase & Co.JPMorgan Chaseemployment discrimination2020OFCCP$9,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2020private lawsuit-federal$5,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2020private lawsuit-federal$6,250,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2020private lawsuit-federal$1,500,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2017private lawsuit-federal$71,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2019private lawsuit-federal$91,250,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2018private lawsuit-federal$104,500,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2018private lawsuit-federal$52,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2022private lawsuit-federal$10,989,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2021private lawsuit-federal$15,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2012private lawsuit-federal$42,600,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2020private lawsuit-federal$2,500,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2020private lawsuit-federal$62,462,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2019private lawsuit-federal$9,500,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2018private lawsuit-federal$3,250,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2018private lawsuit-federal$11,220,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2018private lawsuit-federal$2,150,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2017private lawsuit-federal$2,295,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2015private lawsuit-federal$388,000,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2015private lawsuit-federal$280,000,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2015private lawsuit-federal$505,000,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2014private lawsuit-federal$218,000,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2014private lawsuit-federal$300,000,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2014private lawsuit-federal$18,300,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2023private lawsuit-federal$22,000,000
JPMorgan Chase & Co.JPMorgan Chasebanking violation2024FED$98,200,000
JPMorgan Chase & Co., and EMC Mortgage CorporationJPMorgan Chasebanking violation2012FED$275,000,000
JPMorgan Chase & CompanyJPMorgan Chaseinvestor protection violation2020CFTC$920,200,000
JPMorgan Chase and Co.JPMorgan Chaseprice-fixing or anti-competitive practices2014WV-AG$400,000
JPMorgan Chase BankJPMorgan Chasedata submission deficiencies2015CFTC$100,000,000
JPMorgan Chase BankJPMorgan Chaseprice-fixing or anti-competitive practices2014CFTC$310,000,000
JPMorgan Chase BankJPMorgan Chaseinvestor protection violation2012CFTC$600,000
JPMorgan Chase BankJPMorgan Chaseaccounting fraud or deficiencies2012CFTC$20,000,000
JPMorgan Chase BankJPMorgan Chaseanti-money-laundering deficiencies2014USAO$1,700,000,000
JPMorgan Chase BankJPMorgan Chaseeconomic sanction violation2011OFAC$88,300,000
JPMorgan Chase BankJPMorgan Chasewage and hour violation2004WHD$19,373
JPMorgan Chase BankJPMorgan Chasemortgage abuses2015MD-AG$400,000
JPMorgan Chase BankJPMorgan Chasediscriminatory practices (non-employment)2021HUD$50,000
JPMorgan Chase BankJPMorgan Chasewage and hour violation2013CA-LCO$9,111
JPMorgan Chase BankJPMorgan Chaseconsumer protection violation2022private lawsuit-federal$11,500,000
JPMorgan Chase BankJPMorgan Chaseconsumer protection violation2014private lawsuit-federal$22,125,000
JPMorgan Chase BankJPMorgan Chaseconsumer protection violation2012private lawsuit-federal$110,000,000
JPMorgan Chase Bank N.A.JPMorgan Chasebankruptcy professional violation2015DOJ_UTP$50,000,000
JPMorgan Chase Bank N.A.JPMorgan Chaseinvestor protection violation2018SEC$135,100,000
JPMorgan Chase Bank, N.A.JPMorgan Chasewage and hour violation2008WHD$9,622
JPMorgan Chase Bank, N.A.JPMorgan Chaseconsumer protection violation2017CFPB$4,600,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseprice-fixing or anti-competitive practices2018CFTC$65,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseeconomic sanction violation2018OFAC$5,263,171
JPMorgan Chase Bank, N.A.JPMorgan Chasebenefit plan administrator violation2012private lawsuit-federal$150,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseemployment discrimination2019private lawsuit-federal$5,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2017MD-SEC$100,000
JPMorgan Chase Bank, N.A.JPMorgan Chasewage and hour violation2020private lawsuit-federal$3,750,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2021CFTC$75,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2022CFTC$850,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2023CFTC$15,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasebanking violation2024OCC$250,000,000
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2016IN-SEC$950,000
JPMorgan Chase Bank, NAJPMorgan Chasewage and hour violation2009WHD$6,996
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2016OCC$48,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2015OCC$30,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2014OCC$350,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2014OCC$350,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2013OCC$60,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2013OCC$300,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2011OCC$35,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2011OCC$2,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasewage and hour violation2019private lawsuit-federal$1,850,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2020OCC$250,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasewage and hour violation2022CO-LAE$5,838
JPMorgan SecuritiesJPMorgan Chasedata submission deficiencies2014CFTC$650,000
JPMorgan SecuritiesJPMorgan ChaseForeign Corrupt Practices Act2016DOJ_CRIMINAL$72,000,000
KCG Americas LLCVirtu Financialinvestor protection violation2015SEC$1,055,197
Kemper Auto and Home Insurance Co.Kemperinsurance violation2003FL-OFR$16,500
Kemper Corp.Kemperprivacy violation2022private lawsuit-federal$17,100,000
Kemper Distributors, Inc.Kemperinvestor protection violation2000FINRA$100,000
Kemper Independence Insurance Co.Kemperinsurance violation2019CT-INS$134,000
Kemper Independence Insurance Company et al.Kemperinsurance violation2023CA-INS$2,206,313
Kemper Investors Life Insurance Co. et al.Kemperinsurance violation2005CA-INS$21,000
Kevin NishimuraMacquarieair pollution violation2021EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $230,000
Key Bank National AssociationKeyCorpeconomic sanction violation2008OFAC$200,000
Key Bank National AssociationKeyCorpwage and hour violation2008WHD$12,691
KeyBanc Capital Markets Inc.KeyCorpaccounting fraud or deficiencies2016SEC$175,000
Keybanc Capital Markets Inc.KeyCorpinvestor protection violation2016SEC$440,000
KeyBanc Capital Markets Inc.KeyCorpinvestor protection violation2023SEC$397,135
KeyBanc Capital Markets, Inc.KeyCorpinvestor protection violation2009FINRA$425,000
KeyBankKeyCorpwage and hour violation2014private lawsuit-federal$3,500,000
KeyBankKeyCorpwage and hour violation2013private lawsuit-federal$4,900,000
Keybank National AssociationKeyCorpbanking violation2015OCC$5,005
Keybank National AssociationKeyCorpbanking violation2007OCC$27,750
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.