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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$39,340,688,209275
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
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2007SEC$200,000
Citigroup, Inc.Citigroupbenefit plan administrator violation2019private lawsuit-federal$6,900,000
Citigroup Inc.Citigroupbenefit plan administrator violation2014private lawsuit-federal$8,500,000
Citibank N.A.Citigroupbankruptcy professional violation2018DOJ_UTP$5,000,000
Citibank, N.A.Citigroupbanking violation2019OCC$25,000,000
Ameriquest MortgageCitigroupconsumer protection violation2006MULTI-AG$325,000,000
CitibankCitigroupconsumer protection violation2002MULTI-AG$1,600,000
CitibankCitigroupprice-fixing or anti-competitive practices2018MULTI-AG$100,000,000
CitibankCitigroupconsumer protection violation2008CA-AG$3,500,000
CitibankCitigroupconsumer protection violation2002CA-AG$1,600,000
CitibankCitigroupconsumer protection violation2014HI-AG$2,825,000
CitibankCitigroupconsumer protection violation2007NY-AG$2,000,000
CitibankCitigroupgambling violation2002NY-AG$100,000
Citibank N.A.Citigroupprivacy violation2013CT-AG$55,000
Citibank/Citigroup Inc.Citigroupconsumer protection violation2013WV-AG$1,950,000
CitigroupCitigroupmortgage 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. $413,041,577
CitigroupCitigroupmortgage abuses2015MA-AG$675,000
CitigroupCitigrouptoxic securities abuses2008MA-AG$20,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009DE-AG$309,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009NJ-AG$3,300,932
Citigroup Global Markets Inc.Citigrouptoxic securities abuses2016VA-AG$4,750,000
Citigroup Global Markets, Inc.Citigroupconsumer protection violation2014NY-AG$16,000,000
Citigroup Global Markets, Inc.Citigroupconsumer protection violation2015NY-AG$4,500,000
Citigroup Global Markets, Inc. and Citi Smith BarneyCitigroupinvestor protection violation2008MULTI-AG$7,100,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2017NY-AG$23,500,000
Citigroup Inc.Citigrouptoxic securities abuses2014MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $291,750,000
Citibank, N.A.Citigroupbanking violation2019OCC$30,000,000
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.