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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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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Buckeye Terminals, LLCIFM Investorsenvironmental violation2021VA-ENV$78,045
Buckeye Pipe Line Co.IFM Investorswater pollution violation2021EPA$4,350,000
Buckeye Pipe Line Company, L.P. and West Shore Pipe Line ComanyIFM Investorsoil spill2021IL-ENV$8,700,000
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsenvironmental violation2023NJ-ENV$48,640
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2023PHMSA$441,151
Buckeye Terminals LLC-MacungieIFM Investorsrailroad safety violation2019FRA$5,000
BUCKEYE PARTNERS, LPIFM Investorsworkplace safety or health violation2014OSHA$7,000
BUCKEYE PARTNERS, L.P.IFM Investorsworkplace safety or health violation2017OSHA$7,000
BUCKEYE PARTNERS, L.P.IFM Investorsworkplace safety or health violation2019OSHA$13,500
BUCKEYE TEXAS PROCESSING, LLCIFM Investorsworkplace safety or health violation2022OSHA$14,502
BUCKEYE PIPELINE COMPANY LPIFM Investorswater pollution violation2015EPA$78,780
BUCKEYE PIPELINEIFM Investorsair pollution violation2000EPA$15,000
BUCKEYE PARTNERSIFM Investorsair pollution violation2012EPA$463,745
Buckeye Caribbean Terminals, LLCIFM Investorswater pollution violation2016EPA$9,600
BUCKEYE TERMINALS, LLCIFM Investorswater pollution violation2021EPA$67,856
BUCKEYE PIPE LINE COMPANY LP AND WEST SHORE PIPE LINE COMPANYIFM Investorsoil spill2018EPA$400,000
Carl OstachIFM Investorswater pollution violation2021EPA$153,637
BUCKEYE PIPELINE CO LP-BREINIGSVILLE, PAIFM Investorswater pollution violation2021EPA$153,637
BUCKEYE TEXAS PROCESSING LLC (BTXPP)IFM Investorswater pollution violation2017EPA$18,247
Buckeye Pipe Line Company, L.P.IFM Investorsair pollution violation2012EPA$8,397
Buckeye Terminals, LLCIFM Investorsair pollution violation2012EPA$6,766
Buckeye Pipe Line Company LP,IFM Investorsair pollution violation2014EPA$5,813
INDEPENDENT BANKIndependent Bank Corp. (Michigan)banking violation2015FED$56,205
Independent BankIndependent Bank Corp. (Michigan)benefit plan administrator violation2011EBSA$95,700
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinainvestor protection violation2015SEC$4,200,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinainvestor protection violation2018SEC$1,250,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinainvestor protection violation2018SEC$860,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinaprice-fixing or anti-competitive practices2019DOJ_ANTITRUST$3,000,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinainvestor protection violation2019SEC$42,700,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinaanti-money-laundering deficiencies2018FINRA$5,300,000
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinabanking violation2024FED$2,400,000
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinabanking violation2024NY-DFS$30,000,000
Industrial Bank of KoreaIndustrial Bank of Koreaanti-money-laundering deficiencies2020USAO$51,000,000
Industrial Bank of KoreaIndustrial Bank of Koreaanti-money-laundering deficiencies2020NY-DFS$35,000,000
ING Bank N.V.INGeconomic sanction violation2012DOJ_CRIMINAL$619,000,000
ING Bank N.V.INGeconomic sanction violation2012OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $619,000,000
ING Bank, NVINGeconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $309,500,000
ING Bank N.V.INGprice-fixing or anti-competitive practices2022private lawsuit-federal$10,490,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2014SEC$56,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2013CFTC$225,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2012CFTC$700,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2007CFTC$175,000
Interactive Brokers, LLCInteractive Brokers Groupinvestor protection violation2019NJ-AG$100,000
Interactive Brokers, LLCInteractive Brokers Groupinvestor protection violation2013AR-SEC$6,000
Interactive Brokers LLCInteractive Brokers Groupanti-money-laundering deficiencies2020CFTC$12,206,214
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2020SEC$11,500,000
Interactive Brokers LLCInteractive Brokers Groupanti-money-laundering deficiencies2020FINRA$15,000,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2018FINRA$5,500,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2017FINRA$450,000
Interactive Brokers, L.L.C.Interactive Brokers Groupinvestor protection violation2002FINRA$230,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2021CFTC$84,320,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2022OK-SEC$15,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2022CFTC$1,010,828
Interactive Brokers Corp. and Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2023CFTC$20,000,000
Interactive Brokers Corp.Interactive Brokers Groupinvestor protection violation2023SEC$35,000,000
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2014SEC$4,500,000
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2012SEC$5,000,000
ICE Futures U.S. Inc.IntercontinentalExchange Groupinvestor protection violation2015CFTC$3,000,000
New York Stock Exchange, Inc.IntercontinentalExchange Groupinvestor protection violation2005SEC$20,000,000
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2018SEC$14,000,000
Banca IMI Securities Corp.Intesa Sanpaoloinvestor protection violation2017SEC$35,300,000
Banca IMI Securities Corp.Intesa Sanpaoloprice-fixing or anti-competitive practices2019DOJ_ANTITRUST$2,000,000
Intesa Sanpaolo S.p.A.Intesa Sanpaoloeconomic sanction violation2013OFAC$2,949,030
Intesa Sanpaolo S.p.A.Intesa Sanpaoloanti-money-laundering deficiencies2016NY-DFS$235,000,000
OppenheimerFunds Inc.Invescoinvestor protection violation2012SEC$35,000,000
AIM Advisors, Inc. and AIM Distributors, Inc.Invescoinvestor protection violation2004SEC$50,000,000
Invesco Funds Group, Inc.Invescoinvestor protection violation2004SEC$325,000,000
IAC Springfield, LLCInvescoFamily and Medical Leave Act2015WHD$5,377
WL Ross & Co. LLCInvescoinvestor protection violation2016SEC$2,300,000
Invesco Trust CompanyInvescobenefit plan administrator violation2016EBSA$10,270,000
AIM AdvisorsInvescoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Invesco Funds GroupInvescoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $325,000,000
OppenheimerFundsInvescoinvestor protection violation2010NM-AG$67,300,000
OppenheimerFunds Inc.Invescoinvestor protection violation2009OR-AG$20,000,000
OppenheimerFunds, Inc.Invescoinvestor protection violation2009IL-AG$77,230,000
OppenheimerFunds Distributor, Inc.Invescoinvestor protection violation2007CO-SEC$494,500
OppenheimerFunds Distributor, Inc.Invescoinvestor protection violation2007WA-FIN$669,500
IAC SPARTANBURG, INCInvescoair pollution violation2012SC-ENV$7,000
IAC Spartanburg, Inc.Invescoair pollution violation2015SC-ENV$58,000
IAC Greencastle, LLCInvescoenvironmental violation2022IN-ENV$14,000
IAC Group North AmericaInvescoenvironmental violation2016NC-ENV$6,751
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INCInvescoworkplace safety or health violation2007OSHA$5,200
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2007OSHA$5,625
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INCInvescoworkplace safety or health violation2008OSHA$59,000
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2009OSHA$6,000
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2010OSHA$8,750
IACInvescoworkplace safety or health violation2013OSHA$9,025
IAC SPARTANBURGInvescoworkplace safety or health violation2011OSHA$7,277
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLCInvescoworkplace safety or health violation2011OSHA$5,850
IAC MADISONVILLE LLCInvescoworkplace safety or health violation2014OSHA$5,000
IAC DAYTON LLCInvescoworkplace safety or health violation2013OSHA$5,775
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2014OSHA$5,000
IAC SPRINGFIELD, LLCInvescoworkplace safety or health violation2014OSHA$9,100
IAC MADISONVILLE LLCInvescoworkplace safety or health violation2014OSHA$7,500
IAC HURON, LLCInvescoworkplace safety or health violation2011OSHA$20,940
IAC SPRINGFIELD LLCInvescoworkplace safety or health violation2014OSHA$6,350
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLCInvescoworkplace safety or health violation2014OSHA$6,300
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA INCInvescoworkplace safety or health violation2015OSHA$6,600
IAC ALBEMARLE, LLCInvescoworkplace safety or health violation2017OSHA$7,000
IAC WAUSEON, LLCInvescoworkplace safety or health violation2021OSHA$10,143
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2021OSHA$16,524
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.