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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$39,340,688,209275
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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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Great Plains Specialty Finance, Inc., d/b/a Check 'n goCNG Financialconsumer protection violation2016NE-DBF$5,100
Great Plains Specialty Finance, Inc., d/b/a Check 'n goCNG Financialconsumer protection violation2017NE-DBF$49,600
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2018NE-DBF$9,000
Great Plains Specialty Finance, Inc. d/b/a Check 'n GoCNG Financialconsumer protection violation2019NE-DBF$12,850
Great Plains Specialty Finance, Inc. d/b/a Check 'n GoCNG Financialconsumer protection violation2019NE-DBF$13,500
Great Plains Specialty Finance, Inc. dba Check 'n GoCNG Financialconsumer protection violation2020NE-DBF$9,700
Great Plains Specialty Finance Inc. dba Check 'N GoCNG Financialconsumer protection violation2019OK-DCC$48,600
Great Plains Specialty Finance Inc. dba Check 'N GoCNG Financialconsumer protection violation2020OK-DCC$27,500
ALLIED CASH ADVANCE VIRGINIACNG Financialconsumer protection violation2008VA-FIN$38,000
ICAP plcCME Groupinvestor protection violation2009SEC$25,000,000
ICAP Capital Markets LLCCME Groupprice-fixing or anti-competitive practices2018CFTC$50,000,000
ICAP Corporates LLCCME Groupinvestor protection violation2009FINRA$2,800,000
ICAP Capital Markets LLCCME Groupprice-fixing or anti-competitive practices2018private lawsuit-federal$11,500,000
Citizens Bank, N.A.Citizens Financial Groupconsumer protection violation2015CFPB$18,500,000
Citizens BankCitizens Financial Groupbanking violation2015FDIC$8,800,000
Citizens BankCitizens Financial Groupbanking violation2013FDIC$6,400,000
Citizens Bank, National AssociationCitizens Financial Groupbanking violation2015OCC$2,000,000
RBS Citizens, National AssociationCitizens Financial Groupbanking violation2015OCC$10,000,000
RBS Citizens, National AssociationCitizens Financial Groupbanking violation2013OCC$7,500,000
Franklin American Mortgage CompanyCitizens Financial Groupmortgage abuses2015DOJ_CIVIL$70,000,000
Citizens Bank of PennsylvaniaCitizens Financial Groupdiscriminatory practices (non-employment)2016HUD$115,000
Citizens Financial GroupCitizens Financial Groupwage and hour violation2014private lawsuit-federal$11,501,500
Citizens BankCitizens Financial Groupwage and hour violation2014private lawsuit-federal$3,000,000
Franklin American MortgageCitizens Financial Groupwage and hour violation2013private lawsuit-federal$165,000
CCO Investment Services Corp.Citizens Financial Groupinvestor protection violation2007NH-BSR$375,000
Franklin American Mortgage CompanyCitizens Financial Groupconsumer protection violation2010PA-BKG$6,750
Citizens Bank of Rhode IslandCitizens Financial Groupenvironmental violation2007RI-ENV$7,510
CCO Investment Services Corp.Citizens Financial Groupinvestor protection violation2006FINRA$850,000
Citizens BankCitizens Financial Groupconsumer protection violation2023CFPB$9,000,000
Citizens FinancialCitizens Financial Groupconsumer protection violation2013private lawsuit-federal$137,500,000
Citizens BankCitizens Financial Groupwage and hour violation2017MI-LEO$5,719
Citizens BankCitizens Financial Groupwage and hour violation2011MI-LEO$8,169
Citizens BankCitizens Financial Groupemployment discrimination2023EEOC$100,000
CITIZENS FINANCIAL GROUP, INC.Citizens Financial Groupworkplace safety or health violation2017OSHA$6,338
CitibankCitigroupconsumer protection violation2016CFPB$7,890,000
CitibankCitigroupconsumer protection violation2016CFPB$45,000,000
Citibank N.A.Citigroupconsumer protection violation2015CFPB$733,800,000
Banamex USACitigroupbanking violation2015FDIC$140,000,000
Citibank, N.A.Citigroupbanking violation2015OCC$35,000,000
Citibank, National AssociationCitigroupbanking violation2014OCC$350,000,000
CitibankCitigroupbanking violation2013OCC$793,492,868
CITIGROUP INC.Citigroupbanking violation2015FED$342,000,000
Citigroup Inc.Citigroupbanking violation2012FED$22,000,000
Citigroup Inc.Citigrouptoxic securities abuses2014DOJ$7,000,000,000
Citigroup Inc.Citigroupmortgage abuses2012DOJ$2,202,000,000
CiticorpCitigroupprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$925,000,000
Citigroup Global MarketsCitigroupinvestor protection violation2015SEC$15,000,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLCCitigroupinvestor protection violation2015SEC$180,000,000
CitigroupCitigrouptoxic securities abuses2011SEC$285,000,000
Citigroup Inc.Citigrouptoxic securities abuses2010SEC$75,000,000
Citimortgage Inc. and Citibank N.A.Citigrouptoxic securities abuses2013FHFA$395,000,000
CitigroupCitigrouptoxic securities abuses2013FHFA$968,000,000
CitigroupCitigrouptoxic securities abuses2011NCUA$20,500,000
CitigroupCitigroupprice-fixing or anti-competitive practices2016CFTC$175,000,000
CitibankCitigroupprice-fixing or anti-competitive practices2016CFTC$250,000,000
CitibankCitigroupprice-fixing or anti-competitive practices2014CFTC$310,000,000
CitigroupCitigroupinvestor protection violation2012CFTC$525,000
Citimortgage Inc.Citigroupmortgage abuses2012USAO$158,300,000
Citigroup Global MarketsCitigroupdata submission deficiencies2016SEC$7,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015SEC$500,000
LavaFlow Inc.Citigroupinvestor protection violation2014SEC$5,000,000
Citigroup Private Bank GP, Inc.Citigroupdata submission deficiencies2009CFTC$100,000
Citigroup Inc.Citigroupbanking violation2004FED$70,000,000
Citigroup Inc.Citigroupconsumer protection violation2002FTC$215,000,000
Citigroup, N. A.Citigroupeconomic sanction violation2008OFAC$16,250
CitibankCitigroupeconomic sanction violation2004OFAC$5,500
Citicorp Vendor Finance LtdCitigroupeconomic sanction violation2004OFAC$7,379
The BISYS GroupCitigroupaccounting fraud or deficiencies2007SEC$25,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2006SEC$1,500,000
Citigroup, Inc.Citigroupinvestor protection violation2005SEC$208,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2005SEC$20,000,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003SEC$101,000,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003SEC$19,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.Citigroupinvestor protection violation2003SEC$400,000,000
CitiMortgage, Inc.Citigroupconsumer protection violation2006HUD$650,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2017CFTC$25,000,000
CitiFinancial Servicing and CitiMortgage, Inc.Citigroupconsumer protection violation2017CFPB$28,800,000
Citigroup Global MarketsCitigroupinvestor protection violation2017SEC$2,963,735
Citigroup Global MarketsCitigroupinvestor protection violation2017SEC$18,300,000
LAVA TRADING INC.Citigroupbenefit plan administrator violation2006EBSA$50,001
Citigroup Technology IncCitigroupwage and hour violation2016WHD$1,967,689
CitigroupCitigroupwage and hour violation2009WHD$38,926
Banamex USACitigroupanti-money-laundering deficiencies2017DOJ_CRIMINAL$97,440,000
Citibank N.A.Citigroupdata submission deficiencies2017CFTC$550,000
CitiFinancial Credit CompanyCitigroupconsumer protection violation2017DOJ_RIGHTS$907,000
Citibank N.A.Citigroupconsumer protection violation2017CFPB$6,000,000
Citibank N.A.Citigroupanti-money-laundering deficiencies2018OCC$70,000,000
Citibank N.A.Citigroupbanking violation2017OCC$452,000
CitigroupCitigroupwage and hour violation2017private lawsuit-federal$1,080,000
CitigroupCitigroupwage and hour violation2017private lawsuit-federal$325,000
CitigroupCitigroupwage and hour violation2015private lawsuit-federal$4,650,000
Citigroup Global MarketsCitigroupwage and hour violation2011private lawsuit-federal$394,220
CitigroupCitigroupwage and hour violation2008private lawsuit-federal$98,000,000
CitigroupCitigroupwage and hour violation2006private lawsuit-federal$3,550,000
Citibank, N.A.Citigroupconsumer protection violation2018CFPB$335,000,000
CitigroupCitigroupbanking violation2018FED$8,600,000
CitigroupCitigroupaccounting fraud or deficiencies2018SEC$10,500,000
Citibank NACitigroupexport control violation2018BIS$60,000
Citibank N.A.Citigroupinvestor protection violation2018SEC$38,700,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2018SEC$12,937,475
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2007SEC$200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.