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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 ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2012PHMSA$11,800
Carolina Coastal Railway3i Infrastructure PLCrailroad safety violation2012FRA$5,000
Noble Americas Corp.Vitolrailroad safety violation2012FRA$15,000
Xstrata CopperGlencorerailroad safety violation2012FRA$12,000
Louisiana Generating (NRG Energy)Macquarieenvironmental violation2012EPA$264,000,000
UBS Securities Japan Co. Ltd.UBSprice-fixing or anti-competitive practices2012DOJ_ANTITRUST$500,000,000
Asset Acceptance LLCEncore Capital Groupconsumer protection violation2012FTC$2,500,000
American ExpressAmerican Expressconsumer protection violation2012CFPB$99,100,000
Discover BankDiscover Financial Servicesconsumer protection violation2012CFPB$214,000,000
Capital One Bank (U.S.A.), N.A.Capital One Financialconsumer protection violation2012CFPB$165,000,000
American Express Centurion BankAmerican Expressbanking violation2012FDIC$3,900,000
HSBC Bank USA, N.A.HSBCbanking violation2012OCC$500,000,000
American Express Bank, FSBAmerican Expressbanking violation2012OCC$6,500,000
Capital One Bank (USA), National AssociationCapital One Financialbanking violation2012OCC$35,000,000
Trustmark National BankTrustmarkbanking violation2012OCC$6,250
HSBC HOLDINGS PLCHSBCbanking violation2012FED$165,000,000
STANDARD CHARTERED PLCStandard Charteredbanking violation2012FED$100,000,000
AMERICAN EXPRESS COMPANYAmerican Expressbanking violation2012FED$9,000,000
METLIFE, INCMetLifebanking violation2012FED$3,200,000
THE BANK OF NEW YORK MELLONBank of New York Mellonbanking violation2012FED$6,000,000
Citigroup Inc.Citigroupbanking violation2012FED$22,000,000
Ally Financial Inc.Ally Financialbanking violation2012FED$207,000,000
Bank of America CorporationBank of Americabanking violation2012FED$175,500,000
JPMorgan Chase & Co., and EMC Mortgage CorporationJPMorgan Chasebanking violation2012FED$275,000,000
Wells Fargo & CompanyWells Fargobanking violation2012FED$87,000,000
Bank of America CorporationBank of Americamortgage abuses2012DOJ$10,956,600,000
JPMorgan Chase & Co.JPMorgan Chasemortgage abuses2012DOJ$5,333,600,000
Wells Fargo & CompanyWells Fargomortgage abuses2012DOJ$5,342,200,000
Citigroup Inc.Citigroupmortgage abuses2012DOJ$2,202,000,000
Ally Financial Inc. (formerly GMAC)Ally Financialmortgage abuses2012DOJ$309,600,000
HSBC Holdings plc HSBC Bank USA N.A.HSBCanti-money-laundering deficiencies2012DOJ_CRIMINAL$1,256,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2012DOJ_CRIMINAL$227,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2012DOJ_CRIMINAL$160,000,000
ING Bank N.V.INGeconomic sanction violation2012DOJ_CRIMINAL$619,000,000
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2012SEC$296,900,000
Credit Suisse Securities (USA)UBStoxic securities abuses2012SEC$120,000,000
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insuranceinvestor protection violation2012SEC$1,625,000
Goldman Sachs & Co.Goldman Sachsillicit political contributions2012SEC$12,000,000
Wells FargoWells Fargotoxic securities abuses2012SEC$6,500,000
Mizuho Financial GroupMizuho Financialinvestor protection violation2012SEC$127,500,000
OppenheimerFunds Inc.Invescoinvestor protection violation2012SEC$35,000,000
UBS Financial Services Inc. of Puerto RicoUBSinvestor protection violation2012SEC$26,600,000
Option One Mortgage CorporationOcwen Financialtoxic securities abuses2012SEC$28,200,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2012SEC$22,000,000
UBS Global Asset ManagementUBSinvestor protection violation2012SEC$300,000
Allianz SEAllianzForeign Corrupt Practices Act2012SEC$12,396,423
HSBCHSBCtoxic securities abuses2012NCUA$5,250,000
UBS AGUBSprice-fixing or anti-competitive practices2012CFTC$700,000,000
Goldman SachsGoldman Sachsinvestor protection violation2012CFTC$1,500,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2012CFTC$200,000
JPMorgan Chase BankJPMorgan Chaseinvestor protection violation2012CFTC$600,000
CitigroupCitigroupinvestor protection violation2012CFTC$525,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2012CFTC$200,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2012CFTC$5,000,000
JPMorgan Chase BankJPMorgan Chaseaccounting fraud or deficiencies2012CFTC$20,000,000
Goldman Sachs Execution & Clearing LPGoldman Sachsinvestor protection violation2012CFTC$7,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2012CFTC$140,000
BlackRock Institutional Trust Company NABlackRockinvestor protection violation2012CFTC$250,000
Bank of America N.A.Bank of Americabanking violation2012DOJ_RIGHTS$370,000,000
Wells Fargo BankWells Fargomortgage abuses2012DOJ_RIGHTS$234,300,000
SunTrust Mortgage Inc.Truist Financialbanking violation2012DOJ_RIGHTS$21,000,000
Mortgage Guaranty Insurance Corporation (MGIC)MGIC Investment Corp.mortgage abuses2012DOJ_RIGHTS$550,000
Deutsche Bank AGDeutsche Banktoxic securities abuses2012USAO$202,300,000
Flagstar BankNew York Community Bancorpmortgage abuses2012USAO$132,800,000
Citimortgage Inc.Citigroupmortgage abuses2012USAO$158,300,000
Standard Chartered BankStandard Charteredeconomic sanction violation2012OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $132,000,000
HSBC HoldingsHSBCeconomic sanction violation2012OFAC$375,000,000
ING Bank N.V.INGeconomic sanction violation2012OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $619,000,000
Capital One N.A.Capital One Financialconsumer protection violation2012DOJ_RIGHTS$12,000,000
Louis Dreyfus Energy ServicesLouis DreyfusFalse Claims Act and related2012DOJ_CIVIL$4,084,000
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2012SEC$5,000,000
Cantor FitzgeraldCantor Fitzgeraldinvestor protection violation2012CFTC$700,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupinvestor protection violation2012CFTC$350,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2012CFTC$700,000
FCStone, LLC and Commodity Operations Inc.StoneX Groupinvestor protection violation2012CFTC$260,000
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2012HUD$161,180
Home Loan Center, Inc.LendingTreediscriminatory practices (non-employment)2012HUD$15,000
United Insurance Company of AmericaKemperemployment discrimination2012EEOC$37,500
Vitol, Inc.Vitolemployment discrimination2012EEOC$62,500
American Family Life Assurance Co., known as AflacAflacFamily and Medical Leave Act2012WHD$16,882
TMX Finance LLCTMX FinanceFamily and Medical Leave Act2012WHD$36,596
United American Insurance CompanyGlobe Life Inc.wage and hour violation2012WHD$19,791
Ace Cash Express, Inc.ACE Cash Expresswage and hour violation2012WHD$18,852
First Republic BankJPMorgan Chasewage and hour violation2012WHD$1,009,644
SunTrust Mortgage Inc.Truist Financialwage and hour violation2012WHD$51,518
El Paso Electric CompanyJPMorgan Chaselabor relations violation2012NLRB$79,692
Capital OneCapital One Financialwage and hour violation2012private lawsuit-federal$3,200,000
Union BankU.S. Bancorpwage and hour violation2012private lawsuit-federal$3,500,000
H&R BlockH&R Blockwage and hour violation2012private lawsuit-state$7,500,000
KeyCorpKeyCorpwage and hour violation2012private lawsuit-federal$6,250,000
H&R BlockH&R Blockwage and hour violation2012private lawsuit-federal$35,000,000
Wells Fargo BankWells Fargowage and hour violation2012private lawsuit-federal$280,000
E-TradeMorgan Stanleywage and hour violation2012private lawsuit-federal$1,500,000
Freedom MortgageFreedom Mortgagewage and hour violation2012private lawsuit-federal$1,600,000
UBSUBSwage and hour violation2012private lawsuit-federal$1,400,000
SunTrust MortgageTruist Financialwage and hour violation2012private lawsuit-federal$2,400,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2012private lawsuit-federal$1,195,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2012private lawsuit-federal$9,000,000
Associated Banc-CorpAssociated Banc-Corpwage and hour violation2012private lawsuit-federal$1,275,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2012SEC$100,000
Morgan Keegan and Co. Inc.Raymond James Financialbenefit plan administrator violation2012EBSA$633,715
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.