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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 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
JPMorgan ChaseJPMorgan Chaseconsumer protection violation2015CA-AG$50,000,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2010NJ-AG$1,149,028
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2013WV-AG$1,950,000
JPMorgan Chase and Co.JPMorgan Chaseprice-fixing or anti-competitive practices2014WV-AG$400,000
JPMorgan Chase BankJPMorgan Chasemortgage abuses2015MD-AG$400,000
Providian Financial Corp.JPMorgan Chaseconsumer protection violation2000CA-AG$305,500,000
Providian Financial Corp.JPMorgan Chaseconsumer protection violation2000CT-AG$1,600,000
J.P. Morgan Chase & Co.JPMorgan Chaseaccounting fraud or deficiencies2003NY-MANDA$25,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseemployment discrimination2019private lawsuit-federal$5,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasewage and hour violation2019private lawsuit-federal$1,850,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020SEC$1,822,438
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2014AK-DBS$51,120
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2014CT-SEC$53,800
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2018DC-DISB$5,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2005IL-SEC$10,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2016IN-SEC$905,000
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2016IN-SEC$950,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020KY-FIN$325,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2017MD-SEC$100,000
J P Morgan Securities LLCJPMorgan Chaseinsurance violation2018NY-DFS$11,750
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor 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
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2014MULTI-FIN$2,800,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor 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
JPMorgan Chase & Co.JPMorgan Chaseinvestor 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. $25,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasewage and hour violation2020private lawsuit-federal$3,750,000
J.P. Morgan ChaseJPMorgan Chasediscriminatory practices (non-employment)2010private lawsuit-federal$1,950,000
Bank One, KY, N.A.JPMorgan Chasediscriminatory practices (non-employment)2005private lawsuit-federal$6,715,000
JPMorgan Chase & CompanyJPMorgan Chaseinvestor protection violation2020CFTC$920,200,000
JPMorgan Chase & Co.JPMorgan Chasefraud2020DOJ_CRIMINAL(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $920,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2020OCC$250,000,000
JPMorgan Chase & Co.JPMorgan Chaseemployment discrimination2020OFCCP$9,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020SEC$35,000,000
JPMorgan Chase BankJPMorgan Chasediscriminatory practices (non-employment)2021HUD$50,000
JP Morgan ChaseJPMorgan Chaseenvironmental violation2011TX-ENV$6,555
JPMorgan ChaseJPMorgan Chasebenefit plan administrator violation2019private lawsuit-federal$75,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2019FINRA$280,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2019FINRA$1,100,000
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2017FINRA$2,800,000
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2017FINRA$1,250,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2017FINRA$800,000
JP Morgan Securities LLCJPMorgan Chaseinvestor protection violation2014FINRA$5,000,000
JP MorganJPMorgan Chaseinvestor protection violation2012FINRA$623,376
Chase Investment Services CorporationJPMorgan Chaseinvestor protection violation2011FINRA$3,600,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2009FINRA$250,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2009FINRA$32,500
Banc One Securities CorporationJPMorgan Chaseinvestor protection violation2008FINRA$225,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2008FINRA$150,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2007FINRA$500,000
Chase Investment Services CorporationJPMorgan Chaseinvestor protection violation2006FINRA$500,000
Chase Investment ServicesJPMorgan Chaseinvestor protection violation2005FINRA$290,262
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2005FINRA$160,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2005FINRA$60,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2005FINRA$150,000
Chase Investment ServicesJPMorgan Chaseinvestor protection violation2005FINRA$2,000,000
Banc One Securities CorporationJPMorgan Chaseinvestor protection violation2005FINRA$400,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2004FINRA$250,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2004FINRA$4,950,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2004FINRA$280,469
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2003FINRA$6,000,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2001FINRA$10,000
Chase Securities, Inc.JPMorgan Chaseinvestor protection violation2001FINRA$10,000
J. P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2000FINRA$200,000
JP Morgan Chase BankJPMorgan Chaseworkplace whistleblower retaliation2016OSHA$203,323
JP Morgan Chase Bank, NAJPMorgan Chaseemployment discrimination2019CA-CRD$60,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2021CFTC$75,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2021SEC$125,000,000
Washington Mutual Bank, F. A.JPMorgan Chaseair pollution violation2005CA-SCAQMD$23,264
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2021NM-AG$4,642,857
Washington Mutual Mortgage Securities Corp.JPMorgan Chasetoxic securities abuses2021NM-AG$4,642,857
El Paso Electric CompanyJPMorgan Chaseutility administrative violation2010NM-PRC$5,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2018TX-PUC$20,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2016TX-PUC$7,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2015TX-PUC$6,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2014TX-PUC$9,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$18,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$18,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$27,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2010TX-PUC$38,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2010TX-PUC$50,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2009TX-PUC$100,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2006TX-PUC$27,000
First Republic Investment Management, Inc.JPMorgan Chaseinvestor protection violation2022SEC$1,825,953
JPMorgan Chase BankJPMorgan Chasewage and hour violation2013CA-LCO$9,111
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2022CFTC$850,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2022SEC$1,200,000
JP Morgan Chase Bank N.AJPMorgan Chaseemployment discrimination2022CA-CRD$16,698
Chase Bank USA et al.JPMorgan Chaseprice-fixing or anti-competitive practices2022private lawsuit-federal$19,500,000
J.P. Morgan Chase& Co.JPMorgan Chaseprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
J.P. Morgan Securities LLCJPMorgan Chaseprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2020private lawsuit-federal$5,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2020private lawsuit-federal$6,250,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2020private lawsuit-federal$1,500,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2017private lawsuit-federal$71,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2019private lawsuit-federal$91,250,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2018private lawsuit-federal$104,500,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2018private lawsuit-federal$52,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2022private lawsuit-federal$10,989,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2021private lawsuit-federal$15,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2012private lawsuit-federal$42,600,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.