Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$388,802,802,308
Number of Records: 7,734
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$87,294,650,890329
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$14,264,317,61841
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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
UniCredit Bank Austria AGUniCrediteconomic sanction violation2019NY-MANDA$20,000,000
UniCredit GroupUniCrediteconomic sanction violation2019NY-DFS$405,000,000
UMPQUA BANKUmpqua Holdingsbanking violation2008FDIC$90,240
Umpqua BankUmpqua Holdingswage and hour violation2015WA-DLI$15,350
Sterling Financial CorporationUmpqua Holdingsbenefit plan administrator violation2013private lawsuit-federal$3,025,000
Umpqua BankUmpqua Holdingsemployment screening violation2019private lawsuit-federal$325,000
Umpqua BankUmpqua Holdingsbanking violation2021FDIC$1,800,000
UMB Bank, NAUMB Financial Corp.banking violation2017OCC$1,500,000
UMB Bank N.A. Investment Banking DivisionUMB Financial Corp.investor protection violation2015SEC$420,000
UBS Securities Japan Co. Ltd.UBSprice-fixing or anti-competitive practices2012DOJ_ANTITRUST$500,000,000
UBS AGUBSprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$160,000,000
UBS AGUBSbanking violation2015FED$342,000,000
Credit Suisse AGUBSbanking violation2014FED$100,000,000
UBS AGUBSprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$203,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2016SEC$54,300,000
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
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2015SEC$4,250,000
UBS Securities LLCUBSinvestor protection violation2015SEC$14,400,000
Credit Suisse Group AGUBSinvestor protection violation2014SEC$196,000,000
UBS SecuritiesUBStoxic securities abuses2013SEC$50,000,000
Credit Suisse Securities (USA)UBStoxic securities abuses2012SEC$120,000,000
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
Credit SuisseUBStoxic securities abuses2014FHFA$885,000,000
UBS Americas Inc.UBStoxic securities abuses2013FHFA$885,000,000
UBSUBStoxic securities abuses2016NCUA$69,800,000
Credit SuisseUBStoxic securities abuses2016NCUA$50,300,000
Credit SuisseUBSinvestor protection violation2016CFTC$665,000
UBS AGUBSprice-fixing or anti-competitive practices2014CFTC$290,000,000
UBS AGUBSprice-fixing or anti-competitive practices2012CFTC$700,000,000
UBS SecuritiesUBSinvestor protection violation2010CFTC$200,000
Credit Suisse AGUBStax violations2014DOJ_TAX$1,800,000,000
UBS AGUBSeconomic sanction violation2015OFAC$1,700,100
UBS Financial ServicesUBSinvestor protection violation2014SEC$56,400
UBS AGUBSinvestor protection violation2010CFTC$130,000
UBS Fund Advisor, LLCUBSinvestor protection violation2009CFTC$50,000
UBS AGUBSeconomic sanction violation2004FED$100,000,000
Credit Suisse AGUBSeconomic sanction violation2009DOJ_CRIMINAL$268,000,000
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
Credit Suisse First Boston LLCUBSinvestor protection violation2003SEC$200,000,000
UBS Warburg LLCUBSinvestor protection violation2003SEC$80,000,000
Credit Suisse First Boston CorporationUBSinvestor protection violation2002SEC$100,000,000
PaineWebber IncorporatedUBSinvestor protection violation2000SEC$26,200,000
Warburg Dillon Read LLCUBSinvestor protection violation2000SEC$6,680,000
UBS Financial ServicesUBSinvestor protection violation2016SEC$15,025,882
Credit Suisse AGUBSaccounting fraud or deficiencies2016SEC$90,000,000
Credit SuisseUBStoxic securities abuses2017DOJ_CIVIL$5,280,000,000
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
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2017SEC$5,754,714
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
UBS O'Connor, LLCUBSinvestor protection violation2013SEC$5,297,716
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCUBSinvestor protection violation2011SEC$2,500,000
Credit Suisse (Hong Kong) LimitedUBSForeign Corrupt Practices Act2018DOJ_CRIMINAL$47,029,916
UBS Financial Services Inc.UBSwage and hour violation2018WHD$6,246
Credit Suisse Group AGUBSForeign Corrupt Practices Act2018SEC$29,700,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2018SEC$5,000,000
UBS Securities LLCUBSinvestor protection violation2005SEC$700,000
Credit Suisse First Boston, LLCUBSinvestor protection violation2005SEC$200,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSinvestor protection violation2004SEC$1,000,000
UBS Global Asset ManagementUBSbenefit plan administrator violation2006private lawsuit-federal$5,493,000
UBS Financial Services Inc.UBSinvestor protection violation2018SEC$5,000,000
UBS Financial Services Inc.UBSanti-money-laundering deficiencies2018FINCEN$5,000,000
Credit Suisse First Boston Corp.UBSinvestor 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. $200,000,000
Credit Suisse SecuritiesUBSinvestor protection violation2016NY-AG$30,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2011NJ-AG$1,057,996
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2018NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $10,000,000
Credit Suisse Securities (USA) LLCUBStoxic securities abuses2016VA-AG$1,200,000
UBSUBSinvestor protection violation2010MI-AG$117,000,000
UBS AGUBSprice-fixing or anti-competitive practices2018MULTI-AG$68,000,000
UBS AGUBSprice-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. $90,800,000
UBS Financial Services Inc.UBSinvestor protection violation2006NJ-AG$24,750,000
UBS Financial Services, IncUBSinvestor protection violation2013MULTI-AG$4,580,000
UBS Financial Services, Inc.UBSinvestor protection violation2013DE-AG$70,077
UBS Financial Services, Inc.UBSinvestor protection violation2007NY-AG$23,300,000
UBS Financial Services, Inc. and UBS Securities LLCUBStoxic securities abuses2008MA-AG$35,000,000
UBS Securities LLCUBStoxic securities abuses2018NY-AG$230,000,000
UBS Securities LLCUBStoxic securities abuses2016VA-AG$850,000
UBS Securities LLC and UBS Financial Services, IncUBSinvestor protection violation2011NJ-AG$3,790,487
UBS Securities LLC and UBS Financial Services, Inc.UBSinvestor protection violation2008MULTI-AG$11,150,000,000
UBS Warburg LLCUBSinvestor 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
UBS AGUBSprice-fixing or anti-competitive practices2016WV-AG$325,000
Credit Suisse AGUBSeconomic sanction violation2009NY-MANDA$268,000,000
UBS Securities LLCUBSinvestor protection violation2010AK-DBS$733,465
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.