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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
UBS Financial Services Inc.UBSinvestor protection violation2007CT-SEC$5,500,000
UBS Financial ServicesUBSinvestor protection violation2011IN-SEC$677,000
UBS Financial Services, Inc.UBSinvestor protection violation2007MO-SEC$697,210
UBS Financial Services, Inc.UBSinvestor protection violation2009MO-SEC$170,175
UBS Financial Services, Inc.UBSinvestor protection violation2006MT-FIN$4,503,166
UBS Financial Services Inc.UBSinvestor protection violation2011NH-BSR$1,000,000
UBS Financial Services Inc.UBSinvestor protection violation2012NH-BSR$72,500
Credit Suisse AGUBStax violations2014NY-DFS$715,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2017NY-DFS$135,000,000
UBS Securities LLCUBSinvestor protection violation2010TX-SEC$6,640,432
UBS FINANCIAL SERVICES, INC.UBSinvestor protection violation2007VA-SEC$100,000
UBS FINANCIAL SERVICES, INC.UBSinvestor protection violation2010VA-SEC$625,000
UBS Financial Services Inc.UBSinvestor protection violation2019VA-SEC$288,970
UBS Financial Services Inc.UBSinvestor protection violation2014VT-FIN$325,000
Credit Suisse First Boston LLCUBSinvestor 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. $75,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2008MULTI-FIN$15,000,000
UBS Financial Services Inc.UBSinvestor protection violation2013MULTI-FIN$4,600,000
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor 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. $150,000,000
UBS Warburg and UBS PaineWebberUBSinvestor 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. $25,000,000
UBS Financial Services Inc.UBSinvestor protection violation2020SEC$10,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2020SEC$600,000
UBS AGUBSenvironmental violation2011CT-ENV$80,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2019FINRA$6,500,000
UBS Financial Services Inc.UBSinvestor protection violation2019FINRA$2,000,000
UBS Financial Services Inc. and UBS Securities LLCUBSanti-money-laundering deficiencies2018FINRA$5,000,000
Credit Suisse Securities (USA) LLCUBSanti-money-laundering deficiencies2016FINRA$16,500,000
UBS Financial Services Incorporated of Puerto RicoUBSinvestor protection violation2015FINRA$18,500,000
Credit Suisse Securities (USA), LLCUBSinvestor protection violation2014FINRA$5,000,000
UBS Financial ServicesUBSinvestor protection violation2012FINRA$2,354,584
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2011FINRA$1,750,000
UBS Securities LLCUBSinvestor protection violation2011FINRA$12,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2011FINRA$4,500,000
UBS Financial Services, Inc.UBSinvestor protection violation2011FINRA$10,750,000
UBS SecuritiesUBSinvestor protection violation2009FINRA$268,000
Credit Suisse Securities (USA), LLCUBSinvestor protection violation2009FINRA$275,000
UBS Financial Services, Inc.UBSinvestor protection violation2009FINRA$100,000
UBS Financial Services, Inc.UBSinvestor protection violation2008FINRA$1,000,000
UBS Securities, LLCUBSinvestor protection violation2008FINRA$200,000
UBS Financial Services, Inc.UBSinvestor protection violation2007FINRA$370,000
Credit Suisse Securities (USA), LLCUBSinvestor protection violation2006FINRA$225,000
UBS International Inc.UBSinvestor protection violation2005FINRA$10,000
Credit Suisse First Boston, L.L.C.UBSinvestor protection violation2004FINRA$50,000
Schwab Capital Markets, L.P.UBSinvestor protection violation2004FINRA$70,000
UBS Securities, L.L.C.UBSinvestor protection violation2004FINRA$10,000
UBS Financial Services Inc.UBSinvestor protection violation2004FINRA$200,666
Credit Suisse First Boston LLCUBSinvestor protection violation2004FINRA$770,000
Credit Suisse First Boston CorporationUBSinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Schwab Capital MarketsUBSinvestor protection violation2001FINRA$12,000
Credit Suisse First Boston CorporationUBSinvestor protection violation2001FINRA$25,000
CS First Boston Corp.UBSinvestor protection violation2000FINRA$1,240,000
Credit SuisseUBSinvestor protection violation2021CFTC$1,500,000
UBS Financial Services Inc.UBSinvestor protection violation2021SEC$8,112,174
UBS AGUBSinvestor protection violation2021CFTC$500,000
Credit Suisse Group AGUBSfraud2021DOJ_CRIMINAL$175,500,000
Credit Suisse Group AGUBSForeign Corrupt Practices Act2021SEC$99,000,000
Credit Suisse SecuritiesUBSinvestor protection violation2022FINRA$9,000,000
Credit Suisse Energy LLCUBSutility service violation2017TX-PUC$7,500
UBS Financial Services Inc.UBSinvestor protection violation2022SEC$25,000,000
UBS Financial Services Inc.UBSinvestor protection violation2022SEC$925,000
Credit SuisseUBSinvestor protection violation2022CFTC$75,000,000
UBS AGUBSinvestor protection violation2022CFTC$75,000,000
UBS Securities LLCUBSinvestor protection violation2022FINRA$2,500,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2022SEC$125,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor protection violation2022SEC$125,000,000
Credit Suisse Securities (USA) LLC et al.UBSinvestor protection violation2022NJ-AG$495,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2022private lawsuit-federal$10,989,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2022private lawsuit-federal$8,875,000
Credit Suisse GroupAGUBSprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Credit Suisse Securities (USA) LLCUBSprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
UBS AGUBSprice-fixing or anti-competitive practices2020private lawsuit-federal$17,900,000
UBS AGUBSprice-fixing or anti-competitive practices2018private lawsuit-federal$141,075,000
UBS AGUBSprice-fixing or anti-competitive practices2018private lawsuit-federal$14,000,000
UBS AGUBSprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
UBS AGUBSprice-fixing or anti-competitive practices2022private lawsuit-federal$8,000,000
UBS AGUBSprice-fixing or anti-competitive practices2016private lawsuit-federal$32,000,000
UBS Group AGUBSprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
UBS Securities LLCUBSprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
UBSUBSbanking violation2023TX-AG$850,000
Credit SuisseUBSconsumer protection violation2016private lawsuit-federal$110,000,000
UBS Securities LLCUBSconsumer protection violation2015private lawsuit-federal$78,333,333
Credit Suisse Group AGUBSprice-fixing or anti-competitive practices2023private lawsuit-federal$550,000
UBS Group AGUBSbanking violation2023FED$268,500,000
UBS AGUBStoxic securities abuses2023DOJ_CIVIL$1,435,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2023private lawsuit-federal$13,750,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2023SEC$10,000,000
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.investor protection violation2010SEC$112,600,000
U.S. BankU.S. Bancorpconsumer protection violation2014CFPB$53,000,000
U.S. BankU.S. Bancorpbanking violation2013CFPB$3,200,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2016OCC$10,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2014OCC$51,900,000
U.S. BankU.S. Bancorpbanking violation2013OCC$208,156,501
U.S. BankU.S. BancorpFalse Claims Act and related2014DOJ_CIVIL$200,000,000
U.S. Bank National AssociationU.S. Bancorpinvestor protection violation2015CFTC$18,000,000
Union Bank of California, N.A.U.S. Bancorpanti-money-laundering deficiencies2007DOJ_CRIMINAL$21,600,000
Union Bank of CaliforniaU.S. Bancorpeconomic sanction violation2005OFAC$5,500
Union Bank of CAU.S. Bancorpeconomic sanction violation2003OFAC$14,913
Union Bank of CAU.S. Bancorpeconomic sanction violation2003OFAC$12,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2006OCC$125,000
Union Bank of California, N.A.U.S. Bancorpanti-money-laundering deficiencies2007FINCEN$10,000,000
U.S. Bank National AssociationU.S. Bancorpdiscriminatory practices (non-employment)2014HUD$11,489
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.