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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $385,467,775,190
Number of Records: 7,525
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$87,248,751,230324
JPMorgan Chase$39,322,669,157272
UBS$31,059,299,125178
Wells Fargo$27,517,928,133261
Citigroup$26,945,611,792181
Deutsche Bank$20,006,467,56398
Goldman Sachs$17,729,327,552109
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,542,431,900198
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 icon . Primary Offense TypeYearAgencyPenalty Amount
Citigroup Inc.Citigroupeconomic sanction violation2014OFAC$217,841
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003NY-MANDA$25,000,000
Citibank, N.A.Citigroupbanking violation2020OCC$17,998,510
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010AK-DBS$150,507
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2015AK-DBS$35,000
CitiMortgage, Inc.Citigroupconsumer protection violation2014AR-SEC$20,000
CitiMortgage, Inc.Citigroupconsumer protection violation2019CA-DFPI$7,800,000
Citigroup Global Markets Inc.Citigroupconsumer protection violation2009CT-BKG$75,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015CT-SEC$35,000
CitiFinancial, Inc.Citigroupconsumer protection violation2003FL-OFR$8,199
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010IN-SEC$692,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2012MA-SEC$2,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2013MA-SEC$30,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010MO-SEC$277,500
CitiFinancial, Inc.Citigroupconsumer protection violation2007NE-DBF$81,500
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015NH-BSR$35,000
CitigroupCitigroupdiscriminatory practices (non-employment)2001NY-DFS$1,000,000
Citicorp Insurance Agency, Inc., Citicorp Investment Services, and SBHU Life Agency, Inc.Citigroupinsurance violation2010NY-DFS$2,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2010TX-SEC$130,000
CITIGROUP GLOBAL MARKETS INCCitigroupinvestor protection violation2004VA-SEC$72,486
CITIGROUP GLOBAL MARKETSCitigroupinvestor protection violation2008VA-SEC$22,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2014VA-SEC$9,500
CitifinancialCitigrouphousing program violation2010MULTI-FIN$1,250,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2010MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Citigroup Global Markets Inc.Citigroupinvestor 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. $150,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015MULTI-FIN$1,965,000
Citibank N.A.Citigroupinvestor protection violation2020CFTC$4,500,000
Citibank, National AssociationCitigroupbanking violation2020OCC$400,000,000
CitibankCitigroupconsumer protection violation2021MULTI-AG$4,200,000
CITIGROUPCitigroupenvironmental violation2010NJ-ENV$6,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2019FINRA$280,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2019FINRA$1,250,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2017FINRA$11,500,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2017FINRA$1,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2014FINRA$5,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2014FINRA$15,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2014FINRA$2,488,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2014FINRA$1,097,000
CitigroupCitigroupinvestor protection violation2012FINRA$1,279,106
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2012FINRA$3,500,000
Citigroup Global Markets, IncCitigroupinvestor protection violation2012FINRA$2,741,489
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2012FINRA$725,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2011FINRA$500,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2010FINRA$1,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010FINRA$650,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009FINRA$600,000
Citigroup Global MarketsCitigroupinvestor protection violation2009FINRA$425,000
Citigroup Global MarketsCitigroupinvestor protection violation2009FINRA$2,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2008FINRA$300,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2007FINRA$15,200,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2006FINRA$1,115,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2006FINRA$350,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2005FINRA$60,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2005FINRA$6,250,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$275,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$250,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2004FINRA$5,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$250,000
Citibank, N.A.Citigroupinvestor protection violation2021CFTC$1,000,000
Citigroup Global Markets Inc.Citigrouptoxic securities abuses2021NM-AG$4,642,857
CitiBank, N.A.,Citigroupwage and hour violation2014CA-LCO$10,148
Citibank N.A.Citigroupinvestor protection violation2022CFTC$75,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2022SEC$125,000,000
Citibank N.A.Citigroupprice-fixing or anti-competitive practices2020private lawsuit-federal$7,025,000
Citibank N.A.Citigroupprice-fixing or anti-competitive practices2020private lawsuit-federal$33,400,000
Citibank N.A.Citigroupprice-fixing or anti-competitive practices2018private lawsuit-federal$130,000,000
Citibank N.A.Citigroupprice-fixing or anti-competitive practices2019private lawsuit-federal$91,250,000
Citibank N.A.Citigroupprice-fixing or anti-competitive practices2022private lawsuit-federal$9,990,000
Citigroup Global Markets Inc.Citigroupprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Citigroup Inc.Citigroupprice-fixing or anti-competitive practices2016private lawsuit-federal$23,000,000
Citigroup Inc.Citigroupprice-fixing or anti-competitive practices2018private lawsuit-federal$402,000,000
Citigroup Inc.Citigroupprice-fixing or anti-competitive practices2018private lawsuit-federal$42,000,000
Citigroup Inc.Citigroupprice-fixing or anti-competitive practices2020private lawsuit-federal$9,950,000
CitigroupInc.Citigroupprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Citibank N.A.Citigroupconsumer protection violation2014private lawsuit-federal$110,000,000
Citibank N.A.Citigroupconsumer protection violation2013private lawsuit-federal$2,320,000
Citibank N.A.Citigroupconsumer protection violation2013private lawsuit-federal$7,500,000
Citigroup Global Markets Inc.Citigroupconsumer protection violation2015private lawsuit-federal$78,333,333
Citigroup Global Markets Inc.Citigroupconsumer protection violation2015private lawsuit-federal$10,571,428
Citigroup Inc.Citigroupconsumer protection violation2016private lawsuit-federal$13,500,000
Citigroup Mortgage Loan Trust Inc.Citigroupconsumer protection violation2012private lawsuit-federal$24,975,000
Citimortgage Inc.Citigroupconsumer protection violation2015private lawsuit-federal$2,200,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2023SEC$2,900,000
CITIMORTGAGE, INC.Citigroupworkplace safety or health violation2007OSHA$5,097
CITIBANK, N.A.Citigroupworkplace safety or health violation2010OSHA$5,000
CITICORP CREDIT CARD SERVICES, INC. (USA)Citigroupworkplace safety or health violation2014OSHA$7,650
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2023SEC$1,975,000
Citibank N.A.Citigroupdiscriminatory practices (non-employment)2023CFPB$25,900,000
The Cincinnati Insurance CompaniesCincinnati FinancialFamily and Medical Leave Act2005WHD$15,000
Cincinnati Insurance CompanyCincinnati Financialemployment discrimination2006private lawsuit-federal$537,500
Cincinnati Insurance Co.Cincinnati Financialinsurance violation2007FL-OFR$65,000
Cincinnati Insurance CompanyCincinnati Financialinsurance violation2018TX-INS$30,000
THE CINCINNATI INSURANCE CO. ET AL.Cincinnati Financialinsurance violation2003VA-INS$30,000
CINCINNATI INSURANCE COMPANYCincinnati Financialinsurance violation2016VA-INS$54,475
Cincinnati Life Insurance CompanyCincinnati Financialinsurance violation2004MULTI-FIN$216,750
Cincinnati Insurance Co.Cincinnati Financialinsurance violation2020WA-INS$5,000
Cincinnati Life Insurance CompanyCincinnati Financialdiscriminatory practices (non-employment)2004private lawsuit-state$1,900,000
The Cincinnati Insurance CompanyCincinnati Financialinsurance violation2021MD-INS$96,980
Cincinnati Insurance Company et al.Cincinnati Financialinsurance violation2022WA-INS$5,000
Combined Insurance Company of AmericaChubb Limitedwage and hour violation2010private lawsuit-federal$6,000,000
Combined Insurance Company of AmericaChubb Limitedemployment discrimination2005private lawsuit-federal$8,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.