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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,002,583,076
Number of Records: 6,975
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$82,898,016,192264
JPMorgan Chase$36,127,193,625218
Citigroup$25,540,645,217156
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
UBS$16,879,318,334102
Goldman Sachs$16,399,485,79387
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,148,363,95019
Credit Suisse$10,732,400,12649

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
SunTrust Mortgage, Inc.Truist Financialmortgage abuses2016CA-DFPI$50,000
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2019CA-DFPI$349,015
Bank of LouisvilleTruist Financialinvestor protection violation2002KY-INS$27,000,000
Branch Banking and Trust CompanyTruist Financialinvestor protection violation2016SC-SEC$97,500
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2016FINRA$1,500,000
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2011FINRA$5,000,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2010FINRA$1,440,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2008FINRA$700,000
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2008FINRA$1,650,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2008FINRA$300,000
SunTrust Capital Markets, Inc.Truist Financialinvestor protection violation2005FINRA$100,000
BB&T Equipment Finance LLCTruist Financialconsumer protection violation2021CA-DFPI$75,000
Branch Banking & Trust CorporationTruist Financialcampaign finance violation2001FEC$22,000
Trustmark National BankTrustmarkbanking violation2012OCC$6,250
Trustmark National BankTrustmarkdiscriminatory practices (non-employment)2021CFPB(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
Trustmark National BankTrustmarkbanking violation2021OCC$4,000,000
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
U.S. Bank National AssociationU.S. Bancorpbanking violation2006OCC$125,000
U.S. Bank National AssociationU.S. Bancorpdiscriminatory practices (non-employment)2014HUD$11,489
U.S. Bank National AssociationU.S. Bancorpdiscriminatory practices (non-employment)2013HUD$12,000
U.S. Bank, National AssociationU.S. Bancorpmortgage abuses2011HUD$1,200,000
U.S. BankU.S. Bancorpwage and hour violation2008WHD$140,787
U.S. BancorpU.S. Bancorpwage and hour violation2006WHD$140,788
U.S. Bank National AssociationU.S. Bancorpbanking violation2017OCC$15,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2017OCC$183,920
U.S. BancorpU.S. Bancorpmortgage abuses2018FED$4,400,000
U.S. Bank Municipal Securities GroupU.S. Bancorpinvestor protection violation2015SEC$60,000
US BancorpU.S. Bancorpbanking violation2018FED$15,000,000
U.S. BancorpU.S. Bancorpanti-money-laundering deficiencies2018USAO$453,000,000
U.S. Bank National AssociationU.S. Bancorpanti-money-laundering deficiencies2018OCC$75,000,000
U.S. Bank National AssociationU.S. Bancorpanti-money-laundering deficiencies2018FINCEN$70,000,000
US BANKU.S. Bancorpwage and hour violation2014IL-DOL$131,922
U.S. BancorpU.S. Bancorpwage and hour violation2017private lawsuit-federal$7,000,000
U.S. BancorpU.S. Bancorpwage and hour violation2017private lawsuit-federal$1,150,000
U.S. BankU.S. Bancorpwage and hour violation2015private lawsuit-federal$3,031,075
U.S. BancorpU.S. Bancorpwage and hour violation2014private lawsuit-federal$6,450,000
U.S. Bank National AssociationU.S. Bancorpinvestor protection violation2005SEC$500,000
U.S. Bank Pension PlanU.S. Bancorpbenefit plan administrator violation2012private lawsuit-federal$9,600,000
U.S. BancorpU.S. Bancorpconsumer protection violation2005CA-AG$2,600,000
US BankU.S. Bancorpprivacy violation2000MULTI-AG$2,000,000
US Bank NAU.S. Bancorpconsumer protection violation2003NY-AG$33,500
US BankU.S. Bancorphousing code violation2016CA-LACA$13,500,000
U.S. Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2020SEC$15,992,441
U.S. Bank National AssociationU.S. Bancorpwage and hour violation2020private lawsuit-federal$6,500,000
U.S. BancorpU.S. Bancorpdiscriminatory practices (non-employment)2005private lawsuit-federal$2,495,000
U.S. Bank National AssociationU.S. Bancorpmortgage abuses2020DOJ_UTP$29,000,000
U.S. BankU.S. Bancorpprivacy violation2019private lawsuit-federal$2,670,336
US Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2010FINRA$275,000
U.S. BankU.S. Bancorpconsumer protection violation2021MA-AG$230,000
U.S. BANCORP DBA US BANK MT. VERNON IL OFFICEU.S. Bancorpworkplace safety or health violation2015OSHA$8,775
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.investor protection violation2010SEC$112,600,000
UBS Securities Japan Co. Ltd.UBSinterest rate benchmark manipulation2012DOJ_ANTITRUST$500,000,000
UBS AGUBSprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$160,000,000
UBS AGUBSbanking violation2015FED$342,000,000
UBS AGUBSinterest rate benchmark manipulation2015DOJ_CRIMINAL$203,000,000
UBS Willow Management LLC and UBS Fund Advisor LLCUBSinvestor protection violation2015SEC$17,500,000
UBS AGUBSinvestor protection violation2015SEC$19,500,000
UBS Financial Services Inc. of Puerto RicoUBSinvestor protection violation2015SEC$15,000,000
UBS Securities LLCUBSinvestor protection violation2015SEC$14,400,000
UBS SecuritiesUBStoxic securities abuses2013SEC$50,000,000
UBS Financial Services Inc. of Puerto RicoUBSinvestor protection violation2012SEC$26,600,000
UBS Global Asset ManagementUBSinvestor protection violation2012SEC$300,000
UBS Securities LLCUBSinvestor protection violation2011SEC$8,000,000
UBS Americas Inc.UBStoxic securities abuses2013FHFA$885,000,000
UBSUBStoxic securities abuses2016NCUA$69,800,000
UBS AGUBSinterest rate benchmark manipulation2014CFTC$290,000,000
UBS AGUBSinterest rate benchmark manipulation2012CFTC$700,000,000
UBS SecuritiesUBSdata submission deficiencies2010CFTC$200,000
UBS AGUBSeconomic sanction violation2015OFAC$1,700,100
UBS Financial ServicesUBSinvestor protection violation2014SEC$56,400
UBS AGUBSinvestor protection violation2010CFTC$130,000
UBS Fund Advisor, LLCUBSdata submission deficiencies2009CFTC$50,000
UBS AGUBSeconomic sanction violation2004FED$100,000,000
UBS AGUBStax violations2009DOJ_TAX$780,000,000
UBS (USA) IncUBSeconomic sanction violation2003OFAC$14,750
UBS (USA) IncUBSeconomic sanction violation2003OFAC$5,000
UBS AGUBStax violations2009SEC$200,000,000
UBS Financial Services Inc.UBSinvestor protection violation2004SEC$4,621,768
UBS PaineWebber, Inc.UBSinvestor protection violation2003SEC$500,000
UBS Warburg LLCUBSinvestor protection violation2003SEC$80,000,000
PaineWebber IncorporatedUBSinvestor protection violation2000SEC$26,200,000
Warburg Dillon Read LLCUBSinvestor protection violation2000SEC$6,680,000
UBS Financial ServicesUBSinvestor protection violation2016SEC$15,025,882
UBS, Inc.UBSwage and hour violation2013WHD$90,902
UBS Financial Services, Inc.UBSwage and hour violation2007WHD$27,152
UBS Inc.UBSlabor relations violation2010NLRB$26,351
UBSUBStoxic securities abuses2017NCUA$445,000,000
UBS Financial Services, Inc.UBSinvestor protection violation2017SEC$3,500,000
UBS Financial Services Inc.UBSinvestor protection violation2015SEC$480,000
UBS AGUBSinvestor protection violation2018CFTC$15,000,000
UBSUBSwage and hour violation2015private lawsuit-federal$1,312,500
UBSUBSwage and hour violation2012private lawsuit-federal$1,400,000
UBS as successor to Piper JaffrayUBSwage and hour violation2008private lawsuit-federal$5,500,000
UBSUBSwage and hour violation2007private lawsuit-federal$44,000,000
UBSUBSwage and hour violation2007private lawsuit-federal$45,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.