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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
JPMorgan ChaseJPMorgan Chaseinvestor protection violation2013CFTC$100,000,000
JPMorgan Chase BankJPMorgan Chaseinvestor protection violation2012CFTC$600,000
JPMorgan Chase BankJPMorgan Chaseaccounting fraud or deficiencies2012CFTC$20,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2012CFTC$140,000
JP Morgan Ventures Energy CorporationJPMorgan Chaseprice-fixing or anti-competitive practices2013FERC$410,000,000
JPMorgan Chase BankJPMorgan Chaseanti-money-laundering deficiencies2014USAO$1,700,000,000
JPMorgan Chase BankJPMorgan Chaseeconomic sanction violation2011OFAC$88,300,000
J.P. Morgan Investment Management Inc.JPMorgan Chaseinvestor protection violation2015SEC$1,084,210
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2015SEC$500,000
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2014SEC$54,000
J.P. Morgan Futures, Inc.JPMorgan Chasedata submission deficiencies2009CFTC$300,000
El Paso Electric CorporationJPMorgan Chaseenergy market violation2003FERC$15,500,000
Bear Stearns Companies, LLCJPMorgan Chasemortgage abuses2008FTC$28,000,000
Williams Power Company Inc.JPMorgan Chasedata submission deficiencies2006DOJ_CRIMINAL$50,000,000
Bank OneJPMorgan Chaseeconomic sanction violation2004OFAC$5,500
Bank OneJPMorgan Chaseeconomic sanction violation2004OFAC$6,682
JP Morgan ChaseJPMorgan Chaseeconomic sanction violation2004OFAC$26,980
JP Morgan Chase & Co.JPMorgan Chaseeconomic sanction violation2004OFAC$17,303
JP Morgan Chase & Co.JPMorgan Chaseeconomic sanction violation2004OFAC$73,281
JP Morgan Chase BankJPMorgan Chaseeconomic sanction violation2004OFAC$9,748
JP Morgan Chase BankJPMorgan Chaseeconomic sanction violation2004OFAC$18,094
J.P. Morgan Securities Inc.JPMorgan Chasekickbacks and bribery2009SEC$75,000,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2006SEC$1,500,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2006SEC$1,500,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2006SEC$250,000,000
Banc One Investment Advisors CorporationJPMorgan Chaseinvestor protection violation2004SEC$50,000,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2003SEC$25,000,000
J.P. Morgan Chase & Co.JPMorgan Chaseaccounting fraud or deficiencies2003SEC$135,000,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2003SEC$80,000,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2003SEC$80,000,000
JPMorgan Chase & Co.JPMorgan Chasebanking violation2016FED$61,900,000
JPMorgan SecuritiesJPMorgan ChaseForeign Corrupt Practices Act2016DOJ_CRIMINAL$72,000,000
JPMorgan Chase & Co.JPMorgan ChaseForeign Corrupt Practices Act2016SEC$130,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2017CFTC$900,000
JPMorgan ChaseJPMorgan Chaseemployment discrimination2014EEOC$1,450,000
JPMorgan ChaseJPMorgan Chasediscriminatory practices (non-employment)2017USAO$53,000,000
JPMorgan Chase & Co.JPMorgan Chaseemployment discrimination2006EEOC$2,200,000
First Republic BankJPMorgan Chasewage and hour violation2012WHD$1,009,644
JPMorgan Chase Bank, NAJPMorgan Chasewage and hour violation2009WHD$6,996
JPMorgan Chase Bank, N.A.JPMorgan Chasewage and hour violation2008WHD$9,622
J P Morgan ChaseJPMorgan ChaseFamily and Medical Leave Act2007WHD$5,008
J P Morgan Chase BankJPMorgan Chasewage and hour violation2005WHD$6,688
Washington Mutual, Inc.JPMorgan Chasewage and hour violation2005WHD$404,982
JPMorgan Chase BankJPMorgan Chasewage and hour violation2004WHD$19,373
Bear Stearns Companies Inc.JPMorgan Chasewage and hour violation2003WHD$358,974
El Paso Electric CompanyJPMorgan Chaselabor relations violation2012NLRB$79,692
El Paso Electric CompanyJPMorgan Chaselabor relations violation2009NLRB$11,500
J.P. Morgan Chase & Co. and Forum Temporary ServicesJPMorgan Chaselabor relations violation2006NLRB$60,760
JPMorgan Chase Bank, N.A.JPMorgan Chaseconsumer protection violation2017CFPB$4,600,000
JP Morgan Chase Bank, NAJPMorgan Chaseexport control violation2010BIS$19,125
JPMorgan ChaseJPMorgan Chasewage and hour violation2018private lawsuit-federal$3,000,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2018private lawsuit-federal$8,333,333
JPMorgan ChaseJPMorgan Chasewage and hour violation2017private lawsuit-federal$16,666,667
JPMorgan ChaseJPMorgan Chasewage and hour violation2017private lawsuit-federal$5,707,279
JPMorgan ChaseJPMorgan Chasewage and hour violation2016private lawsuit-federal$950,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2015private lawsuit-federal$12,000,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2015private lawsuit-federal$2,400,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2014private lawsuit-federal$16,000,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2013private lawsuit-federal$770,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2012private lawsuit-federal$1,195,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2012private lawsuit-federal$9,000,000
Washington Mutual BankJPMorgan Chasewage and hour violation2011private lawsuit-federal$463,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2011private lawsuit-federal$42,000,000
Bear StearnsJPMorgan Chasewage and hour violation2010private lawsuit-federal$675,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2010private lawsuit-federal$2,492,729
Washington Mutual BankJPMorgan Chasewage and hour violation2009private lawsuit-federal$38,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseprice-fixing or anti-competitive practices2018CFTC$65,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseeconomic sanction violation2018OFAC$5,263,171
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2008SEC$1,998,143
JPMorgan ChaseJPMorgan Chaseemployment discrimination2018private lawsuit-federal$24,000,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2005SEC$700,000
J.P. Morgan Chase Retirement PlanJPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$604,957
Washington Mutual Inc.JPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$49,000,000
Washington Mutual Pension PlanJPMorgan Chasebenefit plan administrator violation2010private lawsuit-federal$20,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasebenefit plan administrator violation2012private lawsuit-federal$150,000,000
Bear Stearns Companies, Inc.JPMorgan Chasebenefit plan administrator violation2012private lawsuit-federal$10,000,000
Providian Financial Corp.JPMorgan Chasebenefit plan administrator violation2003private lawsuit-federal$8,600,000
JPMorgan Chase Bank N.A.JPMorgan Chaseinvestor protection violation2018SEC$135,100,000
First Republic Investment Management, Inc.JPMorgan Chaseinvestor protection violation2019SEC$1,005,194
AffinionJPMorgan Chaseconsumer protection violation2013MULTI-AG$30,000,000
Affinion Group, Inc.JPMorgan Chaseconsumer protection violation2010NY-AG$8,000,000
Banc One Investment Advisors CorporationJPMorgan Chaseinvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,000,000
Bear StearnsJPMorgan Chaseinvestor protection violation2012MI-AG$275,000,000
Bear Stearns & Co. LLCJPMorgan Chaseinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
Chase BankJPMorgan Chaseconsumer protection violation2006MULTI-AG$3,850,000
Chase Bank USA N.A.JPMorgan Chaseconsumer protection violation2015MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $106,000,000
Chase Bank USA, N.A.JPMorgan Chaseconsumer protection violation2009NY-AG$4,400,000
First USAJPMorgan Chaseconsumer protection violation2002MULTI-AG$1,300,000
J.P. Morgan Chase & Co.JPMorgan Chaseinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
J.P. Morgan Chase & Co.JPMorgan Chasetoxic securities abuses2013CA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $298,973,000
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2014DE-AG$51,400
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2010FL-AG$25,000,000
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2014NJ-AG$50,460
JP Morgan ChaseJPMorgan Chaseconsumer protection violation2014HI-AG$2,825,000
JP Morgan ChaseJPMorgan Chasemortgage abuses2015MA-AG$675,000
JP Morgan Chase & Co.JPMorgan Chaseinvestor protection violation2008MULTI-AG$3,525,000,000
JP Morgan Chase Bank N.A.JPMorgan Chasewage and hour violation2019WHD$38,336
JPMorgan ChaseJPMorgan Chaseinvestor protection violation2015MULTI-AG$150,000,000
JPMorgan ChaseJPMorgan Chasemortgage 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. $1,121,188,661
JPMorgan ChaseJPMorgan Chaseprice-fixing or anti-competitive practices2011MULTI-AG(*)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
JPMorgan ChaseJPMorgan Chasetoxic securities abuses2013MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,066,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.