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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$389,299,537,184
Number of Records: 7,790
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$87,294,669,499330
JPMorgan Chase$39,888,888,209278
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$27,081,211,792183
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,407,380112
NatWest Group PLC$14,264,317,61841
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
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.Citigroupinvestor protection violation2017CFTC$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
Citigroup, Inc.Citigroupbenefit plan administrator violation2019private lawsuit-federal$6,900,000
Citigroup Inc.Citigroupbenefit plan administrator violation2014private lawsuit-federal$8,500,000
Citibank N.A.Citigroupbankruptcy professional violation2018DOJ_UTP$5,000,000
Citibank, N.A.Citigroupbanking violation2019OCC$25,000,000
Ameriquest MortgageCitigroupconsumer protection violation2006MULTI-AG$325,000,000
CitibankCitigroupconsumer protection violation2002MULTI-AG$1,600,000
CitibankCitigroupprice-fixing or anti-competitive practices2018MULTI-AG$100,000,000
CitibankCitigroupconsumer protection violation2008CA-AG$3,500,000
CitibankCitigroupconsumer protection violation2002CA-AG$1,600,000
CitibankCitigroupconsumer protection violation2014HI-AG$2,825,000
CitibankCitigroupconsumer protection violation2007NY-AG$2,000,000
CitibankCitigroupgambling industry violation2002NY-AG$100,000
Citibank N.A.Citigroupprivacy violation2013CT-AG$55,000
Citibank/Citigroup Inc.Citigroupconsumer protection violation2013WV-AG$1,950,000
CitigroupCitigroupmortgage abuses2012MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,041,577
CitigroupCitigroupmortgage abuses2015MA-AG$675,000
CitigroupCitigrouptoxic securities abuses2008MA-AG$20,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009DE-AG$309,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009NJ-AG$3,300,932
Citigroup Global Markets Inc.Citigrouptoxic securities abuses2016VA-AG$4,750,000
Citigroup Global Markets, Inc.Citigroupconsumer protection violation2014NY-AG$16,000,000
Citigroup Global Markets, Inc.Citigroupconsumer protection violation2015NY-AG$4,500,000
Citigroup Global Markets, Inc. and Citi Smith BarneyCitigroupinvestor protection violation2008MULTI-AG$7,100,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2017NY-AG$23,500,000
Citigroup Inc.Citigrouptoxic securities 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. $291,750,000
Citibank, N.A.Citigroupbanking violation2019OCC$30,000,000
Citigroup Inc.Citigroupeconomic sanction violation2014OFAC$217,841
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003NY-MANDA$25,000,000
Citibank, N.A.Citigroupbanking violation2020OCC$17,998,510
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010AK-DBS$150,507
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2015AK-DBS$35,000
CitiMortgage, Inc.Citigroupconsumer protection violation2014AR-SEC$20,000
CitiMortgage, Inc.Citigroupconsumer protection violation2019CA-DFPI$7,800,000
Citigroup Global Markets Inc.Citigroupconsumer protection violation2009CT-BKG$75,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015CT-SEC$35,000
CitiFinancial, Inc.Citigroupconsumer protection violation2003FL-OFR$8,199
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010IN-SEC$692,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2012MA-SEC$2,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2013MA-SEC$30,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010MO-SEC$277,500
CitiFinancial, Inc.Citigroupconsumer protection violation2007NE-DBF$81,500
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015NH-BSR$35,000
CitigroupCitigroupdiscriminatory practices (non-employment)2001NY-DFS$1,000,000
Citicorp Insurance Agency, Inc., Citicorp Investment Services, and SBHU Life Agency, Inc.Citigroupinsurance violation2010NY-DFS$2,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2010TX-SEC$130,000
CITIGROUP GLOBAL MARKETS INCCitigroupinvestor protection violation2004VA-SEC$72,486
CITIGROUP GLOBAL MARKETSCitigroupinvestor protection violation2008VA-SEC$22,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2014VA-SEC$9,500
CitifinancialCitigrouphousing program violation2010MULTI-FIN$1,250,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2010MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015MULTI-FIN$1,965,000
Citibank N.A.Citigroupinvestor protection violation2020CFTC$4,500,000
Citibank, National AssociationCitigroupbanking violation2020OCC$400,000,000
CitibankCitigroupconsumer protection violation2021MULTI-AG$4,200,000
CITIGROUPCitigroupair pollution violation2010NJ-ENV$6,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2019FINRA$280,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2019FINRA$1,250,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2017FINRA$11,500,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2017FINRA$1,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2014FINRA$5,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2014FINRA$15,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.