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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 ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
U.S. Bank NAU.S. Bancorpconsumer protection violation2015private lawsuit-federal$44,500,000
U.S. Bank NAU.S. Bancorpconsumer protection violation2015private lawsuit-federal$34,500,000
U.S. Bank National AssociationU.S. Bancorpconsumer protection violation2015private lawsuit-federal$6,000,000
UBS Securities LLCUBSconsumer protection violation2015private lawsuit-federal$78,333,333
Allstate InsuranceAllstatewage and hour violation2015MI-LEO$6,350
Quicken LoansRocket Companies Inc.wage and hour violation2015MI-LEO$8,000
EL PASO ELECTRIC COMPANYJPMorgan Chaseworkplace safety or health violation2015OSHA$7,000
RR DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2015OSHA$5,000
U.S. BANCORP DBA US BANK MT. VERNON IL OFFICEU.S. Bancorpworkplace safety or health violation2015OSHA$8,775
FIDELITY NATIONAL FINANCIAL, INC.Fidelity National Financialworkplace safety or health violation2015OSHA$5,605
GE ENERGY MANAGEMENT GRID SOLUTIONS, LLCSynchrony Financialworkplace safety or health violation2015OSHA$22,300
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2015OSHA$7,000
THE MCCLATCHY COMPANYChatham Asset Managementworkplace safety or health violation2015OSHA$13,500
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA INCInvescoworkplace safety or health violation2015OSHA$6,600
RR DONNELLEY AND SONS INC.Chatham Asset Managementworkplace safety or health violation2015OSHA$10,500
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2015OSHA$5,500
WESTERN UNIONWestern Unionworkplace safety or health violation2015OSHA$11,000
GEORGIA CASH AMERICA, INC.FirstCashworkplace safety or health violation2015OSHA$10,920
BUCKEYE PIPELINE COMPANY LPIFM Investorswater pollution violation2015EPA$78,780
TOPS PRODUCTS, A DIVISION OF R.R. DONNELLEY & SONSChatham Asset Managementenvironmental violation2015EPA$318,000
Trafigura AGTrafiguraair pollution violation2015EPA$21,450
Vitol, Inc.Vitolair pollution violation2015EPA$14,047
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2015MSHA$5,080
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2015MSHA$5,645
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2015MSHA$5,961
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2014PHMSA$271,300
Carolina Coastal Railway3i Infrastructure PLCrailroad safety violation2014FRA$5,250
Buckeye PartnersIFM Investorsrailroad safety violation2014FRA$50,000
RBS PLC and RBS Securities JapanNatWest Group PLCprice-fixing or anti-competitive practices2014DOJ_ANTITRUST$150,000,000
M&T BankM&T Bankconsumer protection violation2014CFPB$3,100,000
Flagstar BankNew York Community Bancorpconsumer protection violation2014CFPB$37,500,000
U.S. BankU.S. Bancorpconsumer protection violation2014CFPB$53,000,000
Amerisave Mortgage Corporation and Novo Appraisal Management CompanyAmeriSave Mortgageconsumer protection violation2014CFPB$19,300,000
ACE Cash ExpressACE Cash Expressconsumer protection violation2014CFPB$15,000,000
GE Capital Retail Bank, now known as Synchrony BankSynchrony Financialconsumer protection violation2014CFPB$225,000,000
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2014CFPB$550,000,000
Bank of America, N.A.Bank of Americaconsumer protection violation2014CFPB$747,000,000
Sallie Mae BankSLM Corp.banking violation2014FDIC$93,300,000
Navient Solutions, Inc.Navientbanking violation2014FDIC$33,300,000
Bank of America, National AssociationBank of Americabanking violation2014OCC$250,000,000
Citibank, National AssociationCitigroupbanking violation2014OCC$350,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2014OCC$350,000,000
Capital One, National AssociationCapital One Financialbanking violation2014OCC$4,000,000
PNC Bank, National AssociationPNC Financial Servicesbanking violation2014OCC$2,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2014OCC$51,900,000
Associated Bank, National AssociationAssociated Banc-Corpbanking violation2014OCC$500,000
Bank of America, National AssociationBank of Americabanking violation2014OCC$25,000,000
Old National BankOld National Bancorpbanking violation2014OCC$500,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2014OCC$350,000,000
SunTrust Banks, Inc.Truist Financialbanking violation2014FED$160,000,000
Cole Taylor BankFifth Third Bancorpbanking violation2014FED$3,510,000
Regions BankRegions Financialbanking violation2014FED$46,000,000
Credit Suisse AGUBSbanking violation2014FED$100,000,000
J.P. Morgan Chase Bank, N.A.JPMorgan Chaseanti-money-laundering deficiencies2014FINCEN$461,000,000
Citigroup Inc.Citigrouptoxic securities abuses2014DOJ$7,000,000,000
U.S. BankU.S. BancorpFalse Claims Act and related2014DOJ_CIVIL$200,000,000
Bank of America CorporationBank of Americamortgage abuses2014DOJ$16,650,000,000
JPMorgan ChaseJPMorgan ChaseFalse Claims Act and related2014DOJ_CIVIL$614,000,000
ConvergEx Group LLCToronto-Dominion Bankfraud2014DOJ_CRIMINAL$43,800,000
Lloyds Banking Group plcLloyds Banking Groupprice-fixing or anti-competitive practices2014DOJ_CRIMINAL$86,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2014SEC$4,000,000
HSBC Private Bank (Suisse)HSBCinvestor protection violation2014SEC$12,500,000
Bank of America CorporationBank of Americainvestor protection violation2014SEC$7,650,000
Barclays Capital Inc.Barclaysinvestor protection violation2014SEC$15,000,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2014SEC$5,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2014SEC$275,000,000
Credit Suisse Group AGUBSinvestor protection violation2014SEC$196,000,000
HSBC North America Holdings Inc.HSBCtoxic securities abuses2014FHFA$550,000,000
Goldman Sachs & Co.Goldman Sachstoxic securities abuses2014FHFA$3,150,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2014FHFA$99,500,000
First Horizon National CorporationFirst Horizon Nationaltoxic securities abuses2014FHFA$110,000,000
Barclays Bank PLCBarclaystoxic securities abuses2014FHFA$280,000,000
Bank of America CorporationBank of Americatoxic securities abuses2014FHFA$9,300,000,000
Credit SuisseUBStoxic securities abuses2014FHFA$885,000,000
Societe GeneraleSociete Generaletoxic securities abuses2014FHFA$122,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2014FHFA$1,250,000,000
Deutsche Bank SecuritiesDeutsche Bankaccounting fraud or deficiencies2014CFTC$3,000,000
Royal Bank of CanadaRoyal Bank of Canadainvestor protection violation2014CFTC$35,000,000
CitibankCitigroupprice-fixing or anti-competitive practices2014CFTC$310,000,000
HSBC BankHSBCprice-fixing or anti-competitive practices2014CFTC$275,000,000
JPMorgan Chase BankJPMorgan Chaseprice-fixing or anti-competitive practices2014CFTC$310,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2014CFTC$290,000,000
UBS AGUBSprice-fixing or anti-competitive practices2014CFTC$290,000,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2014CFTC$280,000
Merrill LynchBank of Americainvestor protection violation2014CFTC$1,200,000
JPMorgan SecuritiesJPMorgan Chasedata submission deficiencies2014CFTC$650,000
Lloyds Banking Group plcLloyds Banking Groupprice-fixing or anti-competitive practices2014CFTC$105,000,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2014CFTC$490,000
Morgan Stanley Capital GroupMorgan Stanleyinvestor protection violation2014CFTC$200,000
HSBCHSBCmortgage abuses2014USAO$10,000,000
JPMorgan Chase BankJPMorgan Chaseanti-money-laundering deficiencies2014USAO$1,700,000,000
Bank Leumi GroupBank Leumitax violations2014DOJ_TAX$270,000,000
Credit Suisse AGUBStax violations2014DOJ_TAX$1,800,000,000
Commerzbank AGCommerzbankeconomic sanction violation2014OFAC$258,660,796
Bank of America N.A.Bank of Americaeconomic sanction violation2014OFAC$16,562,700
Clearstream Banking SADeutsche Borseeconomic sanction violation2014OFAC$152,000,000
Sallie Mae Inc.SLM Corp.consumer protection violation2014DOJ_RIGHTS$60,000,000
SunTrust Mortgage Inc.Truist Financialmortgage abuses2014DOJ_CIVIL$320,000,000
BNP ParibasBNP ParibasFalse Claims Act and related2014DOJ_CIVIL$80,000,000
SunTrust Mortgage Inc.Truist FinancialFalse Claims Act and related2014DOJ_CIVIL$418,000,000
Torchmark CorporationGlobe Life Inc.Medicare Parts C and D Enforcement Action2014CMS$40,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.