Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
CitigroupCitigroupprice-fixing or anti-competitive practices2016CFTC$175,000,000
CitibankCitigroupprice-fixing or anti-competitive practices2016CFTC$250,000,000
JPMorgan ChaseJPMorgan Chasedata submission deficiencies2016CFTC$225,000
Credit SuisseUBSinvestor protection violation2016CFTC$665,000
Bank Julius Baer & Co. Ltd.Julius Baer Grouptax violations2016DOJ_TAX$547,000,000
Union Bancaire PriveeUnion Bancaire Priveetax violations2016DOJ_TAX$187,000,000
Barclays Bank PLCBarclayseconomic sanction violation2016OFAC$2,485,890
State Street Bank and Trust CompanyState Street Corp.investor protection violation2016SEC$382,400,000
Citigroup Global MarketsCitigroupdata submission deficiencies2016SEC$7,000,000
Merrill LynchBank of Americainvestor protection violation2016SEC$10,000,000
Merrill LynchBank of Americainvestor protection violation2016SEC$415,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2016SEC$1,000,000
INTL FCStoneStoneX Groupaccounting fraud or deficiencies2016SEC$150,000
KeyBanc Capital Markets Inc.KeyCorpaccounting fraud or deficiencies2016SEC$175,000
Ocwen Financial Corp.Ocwen Financialaccounting fraud or deficiencies2016SEC$2,000,000
State Street Bank and Trust CompanyState Street Corp.illicit political contributions2016SEC$12,000,000
Santander Bank, N.A.Banco Santanderconsumer protection violation2016CFPB$10,000,000
BancorpSouth BankCadence Bankmortgage abuses2016CFPB$10,600,000
Wells Fargo Bank, N.A.Wells Fargobanking violation2016OCC$70,000,000
Goldman Sachs GroupGoldman Sachsbanking violation2016FED$36,300,000
HSBC Finance CorporationHSBCconsumer protection violation2016DOJ_RIGHTS$434,500
Barclays Capital Inc.Barclaysinvestor protection violation2016CFTC$800,000
Barclays Bank PLCBarclaysinvestor protection violation2016CFTC$560,000
Wells Fargo BankWells Fargoconsumer protection violation2016CFPB$4,010,000
First National Bank of OmahaFirst National of Nebraskaconsumer protection violation2016CFPB$32,250,000
Wells Fargo BankWells Fargobanking violation2016CFPB$100,000,000
Wells Fargo BankWells Fargobanking violation2016OCC$35,000,000
Barclays Bank PLCBarclaysdata submission deficiencies2016CFTC$500,000
Wells Fargo Bank, N.A.Wells Fargodata submission deficiencies2016CFTC$400,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2016CFTC$750,000
Societe GeneraleSociete Generaledata submission deficiencies2016CFTC$450,000
Goldman SachsGoldman Sachsprice-fixing or anti-competitive practices2016CFTC$120,000,000
TMX Finance LLCTMX Financeconsumer protection violation2016CFPB$9,000,000
Navy Federal Credit UnionNavy Federal Credit Unionconsumer protection violation2016CFPB$28,500,000
Chemoil CorporationGlencoreenvironmental violation2016EPA$27,000,000
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2016FRA$6,000
JPMorgan Chase & Co.JPMorgan Chasebanking violation2016FED$61,900,000
Customers BankCustomers Bancorpbanking violation2016FED$960,000
Banco Bilbao Vizcaya Argentaria, S.A.Banco Bilbao Vizcaya Argentariabanking violation2016FED$27,000,000
Regions BankRegions FinancialFalse Claims Act and related2016DOJ_CIVIL$52,400,000
Branch Banking & Trust Company (BB&T)Truist FinancialFalse Claims Act and related2016DOJ_CIVIL$83,000,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2016DOJ_RIGHTS$4,100,000
Union Savings Bank and Guardian Savings BankUnion Savings Bankdiscriminatory practices (non-employment)2016DOJ_RIGHTS$9,000,000
Och-Ziff Capital Management Group LLCSculptor Capital ManagementForeign Corrupt Practices Act2016DOJ_CRIMINAL$213,000,000
JPMorgan SecuritiesJPMorgan ChaseForeign Corrupt Practices Act2016DOJ_CRIMINAL$72,000,000
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc.Nomuratoxic securities abuses2016NCUA$3,000,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2016SEC$2,500,000
Raymond James & AssociatesRaymond James Financialinvestor protection violation2016SEC$600,000
BOK Financial CorporationBOK Financialinvestor protection violation2016SEC$1,667,720
Park National CorporationPark National Corp.accounting fraud or deficiencies2016SEC$500,000
Merrill LynchBank of Americainvestor protection violation2016SEC$12,500,000
UBS Financial ServicesUBSinvestor protection violation2016SEC$15,025,882
Och-Ziff Capital Management GroupSculptor Capital ManagementForeign Corrupt Practices Act2016SEC$199,045,167
Credit Suisse AGUBSaccounting fraud or deficiencies2016SEC$90,000,000
Deutsche Bank SecuritiesDeutsche Bankinvestor protection violation2016SEC$9,500,000
Bank LeumiBank Leumiinvestor protection violation2016SEC$1,600,000
JPMorgan Chase & Co.JPMorgan ChaseForeign Corrupt Practices Act2016SEC$130,000,000
Stifel, Nicolaus & Co., Inc.Stifel Financialinvestor protection violation2016SEC$24,500,000
Deutsche BankDeutsche Bankinvestor protection violation2016SEC$18,500,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2016SEC$7,500,000
First Tennessee BankFirst Horizon Nationaldiscriminatory practices (non-employment)2016HUD$1,900,000
Ameriprise Financial, Inc.Ameriprise Financialemployment discrimination2016OFCCP$128,200
Bank of AmericaBank of Americaemployment discrimination2016EEOC$30,000
Farmers Insurance ExchangeFarmers Insurance Exchangeemployment discrimination2016EEOC$225,000
Citigroup Technology IncCitigroupwage and hour violation2016WHD$1,967,689
Univest Corporation of PennsylvaniaUnivest FinancialFamily and Medical Leave Act2016WHD$5,076
Wells Fargo Bank, N. A.Wells FargoFamily and Medical Leave Act2016WHD$11,874
Citizens Bank of PennsylvaniaCitizens Financial Groupdiscriminatory practices (non-employment)2016HUD$115,000
TIAA-CREFTIAAlabor relations violation2016NLRB$304,216
RR Donnelly & Sons CompanyChatham Asset Managementwage and hour violation2016WHD$104,981
PNC Bank N.A.PNC Financial ServicesFalse Claims Act and related2016USAO$9,500,000
Ally Financial Inc.Ally Financialtoxic securities abuses2016USAO$52,000,000
BB&T Securities, LLCTruist Financialinvestor protection violation2016SEC$200,000
WL Ross & Co. LLCInvescoinvestor protection violation2016SEC$2,300,000
Wells Fargo Bank N.A. Municipal Products GroupWells Fargoinvestor protection violation2016SEC$440,000
Mitsubishi UFJ Securities (USA), Inc.Mitsubishi UFJ Financial Groupinvestor protection violation2016SEC$20,000
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2016SEC$500,000
Hilltop Securities Inc.Hilltop Holdingsinvestor protection violation2016SEC$360,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2016SEC$500,000
Keybanc Capital Markets Inc.KeyCorpinvestor protection violation2016SEC$440,000
Barclays Capital Inc.Barclaysinvestor protection violation2016SEC$500,000
Flagstar Bank, FSBNew York Community Bancorpbanking violation2016OCC$500,000
Wells Fargo Bank, National AssociationWells Fargoconsumer protection violation2016OCC$20,000,000
First Niagara Bank, National AssociationKeyCorpbanking violation2016OCC$2,000,000
First National Bank of OmahaFirst National of Nebraskabanking violation2016OCC$3,000,000
PNC Financial ServicesPNC Financial Serviceswage and hour violation2016private lawsuit-federal$6,000,000
Hartford Fire InsuranceHartford Financial Serviceswage and hour violation2016private lawsuit-federal$2,650,000
Merrill LynchBank of Americawage and hour violation2016private lawsuit-state$2,645,000
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-state$4,000,000
HSBCHSBCwage and hour violation2016private lawsuit-federal$6,982,000
BMO FinancialBank of Montrealwage and hour violation2016private lawsuit-federal$700,000
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-federal$3,250,000
PNC BankPNC Financial Serviceswage and hour violation2016private lawsuit-federal$1,500,000
Morgan StanleyMorgan Stanleywage and hour violation2016private lawsuit-federal$5,995,000
AXA AdvisorsEquitable Holdingswage and hour violation2016private lawsuit-federal$2,300,000
Merrill LynchBank of Americawage and hour violation2016private lawsuit-federal$14,000,000
New York LifeNew York Life Insurancewage and hour violation2016private lawsuit-federal$94,818
JPMorgan ChaseJPMorgan Chasewage and hour violation2016private lawsuit-federal$950,000
Banco PopularPopular Inc.wage and hour violation2016private lawsuit-federal$50,243
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-federal$36,000,000
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-federal$2,250,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.