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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $395,312,528,119
Number of Records: 8,003
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$87,320,969,499333
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,618,169,231268
Citigroup$27,081,211,792183
Deutsche Bank$20,015,467,563100
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,924,502,443207
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
Bank of America et al.Bank of Americaconsumer protection violation2020private lawsuit-federal$252,500,000
Bank of America N.A.Bank of Americaconsumer protection violation2022private lawsuit-federal$1,200,000
Bank of America N.A.Bank of Americaconsumer protection violation2022private lawsuit-federal$75,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2021private lawsuit-federal$5,950,000
Bank of America N.A.Bank of Americaconsumer protection violation2020private lawsuit-federal$35,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2020private lawsuit-federal$4,950,000
Bank of America N.A.Bank of Americaconsumer protection violation2018private lawsuit-federal$1,266,600,000
Bank of America N.A.Bank of Americaconsumer protection violation2018private lawsuit-federal$41,920,374
Bank of America N.A.Bank of Americaconsumer protection violation2017private lawsuit-federal$29,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2016private lawsuit-federal$3,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2015private lawsuit-federal$34,500,000
Bank of America N.A.Bank of Americaconsumer protection violation2014private lawsuit-federal$228,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2014private lawsuit-federal$31,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2014private lawsuit-federal$8,250,000
Bank of America N.A.Bank of Americaconsumer protection violation2013private lawsuit-federal$100,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2013private lawsuit-federal$19,610,000
Bank of America N.A.Bank of Americaconsumer protection violation2011private lawsuit-federal$410,000,000
Bank of America, N.A.Bank of Americaconsumer protection violation2019private lawsuit-federal$22,000,000
Bank of America, N.A.Bank of Americaconsumer protection violation2018private lawsuit-federal$550,000
Bank of America, N.A.Bank of Americaconsumer protection violation2016private lawsuit-federal$27,500,000
Bank of America, N.A.Bank of Americaconsumer protection violation2014private lawsuit-federal$8,000,000
Bank of America, N.A.Bank of Americaconsumer protection violation2011private lawsuit-federal$9,950,000
Bank of America, N.A. (USA)Bank of Americaconsumer protection violation2015private lawsuit-federal$10,000,000
Countrywide Financial CorporationBank of Americaconsumer protection violation2013private lawsuit-federal$500,000,000
Countrywide Financial CorporationBank of Americaconsumer protection violation2011private lawsuit-federal$34,000,000
MBNA Corp.Bank of Americaconsumer protection violation2001private lawsuit-federal$8,700,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaconsumer protection violation2015private lawsuit-federal$10,571,428
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaconsumer protection violation2012private lawsuit-federal$11,500,000
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americaprivacy violation2023NH-BSR$700,000
Bank of AmericaBank of Americaconsumer protection violation2023CFPB$90,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2023OCC$60,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americaanti-money-laundering deficiencies2023FINRA$6,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaanti-money-laundering deficiencies2023SEC$6,000,000
Bank of America, N.A.Bank of Americainvestor protection violation2023CFTC$8,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2023private lawsuit-federal$8,000,000
Bank Of AmericaBank of Americawage and hour violation2016MI-LEO$23,500
Bank Of AmericaBank of Americawage and hour violation2016MI-LEO$23,500
Bank Of AmericaBank of Americawage and hour violation2011MI-LEO$5,000
Bank Of AmericaBank of Americawage and hour violation2010MI-LEO$15,406
Bank Of AmericaBank of Americawage and hour violation2010MI-LEO$14,000
Bank of AmericaBank of Americaconsumer protection violation2023CFPB$12,000,000
BofA Securities, Inc.Bank of Americainvestor protection violation2023FINRA$24,000,000
Bank of AmericaBank of Americawage and hour violation2024private lawsuit-federal$1,890,000
BANK OF AMERICA CORPBank of Americawage and hour violation2022IL-DOL$9,660
Bank of America N.A.Bank of Americaconsumer protection violation2024private lawsuit-federal$8,000,000
Merrill LynchBank of Americawage and hour violation2019NY-DOL$18,609
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2024SEC$3,800,000
Merrill Lynch Commodities, Inc.Bank of Americainvestor protection violation2024CFTC$1,500,000
BANK OF AMERICABank of Americaworkplace safety or health violation2003OSHA$5,000
BANK OF AMERICABank of Americaworkplace safety or health violation2011OSHA$6,600
Bank of AmericaBank of Americaconsumer protection violation2024private lawsuit-federal$21,000,000
Mizrahi-Tefahot Bank Ltd.Bank Mizrahi-Tefahottax violations2019USAO$195,000,000
MIZRAHI TEFAHOT BANK, LTD.Bank Mizrahi-Tefahotbanking violation2011FDIC$175,000
Bank Leumi GroupBank Leumitax violations2014DOJ_TAX$270,000,000
Bank LeumiBank Leumiinvestor protection violation2016SEC$1,600,000
Bank LeumiBank Leumitax violations2014NY-DFS$130,000,000
Bank Hapoalim B.M,Bank Hapoalimtax violations2020FED$37,350,000
Bank Hapoalim B.M.Bank Hapoalimanti-money-laundering deficiencies2020DOJ_CRIMINAL$30,063,317
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd.Bank Hapoalimtax violations2020DOJ_TAX$616,910,000
Bank Hapoalim B.M.Bank Hapoalimtax violations2020NY-DFS$220,000,000
Santander Bank, National AssociationBanco Santanderbanking violation2016OCC$3,400,000
Santander Bank, National AssociationBanco Santanderbanking violation2015OCC$6,000,000
Sovereign Bank N.A.Banco Santanderbanking violation2013OCC$16,086,180
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2015DOJ_RIGHTS$9,350,000
Santander Bank, N.A.Banco Santanderconsumer protection violation2016CFPB$10,000,000
Santander Bank & Trust (Bahamas) LtdBanco Santandereconomic sanction violation2004OFAC$20,000
Santander Mortgage CorporationBanco Santanderwage and hour violation2004WHD$62,895
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2018CFPB$11,790,000
Santander Securities LLCBanco Santanderinvestor protection violation2019SEC$270,539
Santander Consumer USA Holdings Inc.Banco Santanderinvestor protection violation2018SEC$1,500,000
Santander Bank, N.A.Banco Santanderconsumer protection violation2015NY-AG$500,000
Santander Consumer USA Holdings Inc.Banco Santanderconsumer protection violation2017MA-AG$22,000,000
Santander Consumer USA Holdings, Inc.Banco Santanderconsumer protection violation2017DE-AG$3,875,000
Santander Securities LLCBanco Santanderconsumer protection violation2019MA-AG$100,000
Santander USA Holdings Inc.Banco Santanderconsumer protection violation2015MA-AG$5,400,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020MULTI-AG$550,000,000
Santander Consumer USA, Inc.Banco Santanderconsumer protection violation2018CA-DFPI$300,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2018CT-BKG$100,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2015NH-BKG$75,000
Santander Securities, LLCBanco Santanderinvestor protection violation2018NH-BSR$31,562
Santander Securities, LLCBanco Santanderinvestor protection violation2019NH-BSR$50,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020VT-AG$105,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020CFPB$4,750,000
Santander Securities LLCBanco Santanderinvestor protection violation2015FINRA$6,421,000
Santander Securities of Puerto RicoBanco Santanderinvestor protection violation2011FINRA$2,000,000
Santander Consumer USA, Inc.Banco Santanderconsumer protection violation2021CO-AG$3,065,000
SantanderBanco Santanderconsumer protection violation2021MS-AG$3,700,000
Santander Consumer USA Inc, dba Chrysler CapitalBanco Santanderconsumer protection violation2021DOJ_RIGHTS$134,282
Santander Consumer USABanco Santanderconsumer protection violation2022MA-AG$5,560,000
Santander Bank, N.A.Banco Santanderwage and hour violation2022private lawsuit-federal$4,250,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2015private lawsuit-federal$199,407,884
Santander US Capital Markets LLCBanco Santanderinvestor protection violation2025SEC$4,000,000
Banco do Brasil, S.A.Banco do Brasileconomic sanction violation2015OFAC$139,500
Banco do BrasilBanco do Brasileconomic sanction violation2004OFAC$10,162
Banco Sabadell SA (Miami Branch)Banco de Sabadellexport control violation2012BIS$14,000
Banco de ChileBanco de Chileeconomic sanction violation2004OFAC$5,500
Banco de ChileBanco de Chileanti-money-laundering deficiencies2005OCC$3,000,000
Banco Comercial Portugues, S.A.Banco Comercial Portugues S.A.investor protection violation2013SEC$1,892,058
Banco Bradesco S.ABanco Bradescoeconomic sanction violation2003OFAC$9,000
BBVA Suiza S.A.Banco Bilbao Vizcaya Argentariatax violations2015DOJ_TAX$10,390,000
Bancomer S.A.Banco Bilbao Vizcaya Argentariaeconomic sanction violation2003OFAC$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.