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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,479,735,000115
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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 TypeYearAgencyPenalty Amount sort icon .
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2017private lawsuit-federal$77,000,000
OppenheimerFunds, Inc.Invescoinvestor protection violation2009IL-AG$77,230,000
Swiss Life Holding AG et al.Swiss Life Grouptax violations2021DOJ_TAX$77,374,337
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$77,400,000
Coutts & Co LtdNatWest Group PLCtax violations2015DOJ_TAX$78,484,000
MetLife BankMetLifebanking violation2013OCC$78,536,455
Wells Fargo & CompanyWells Fargobenefit plan administrator violation2020private lawsuit-federal$79,000,000
Bank Julius Baer & Co. Ltd.Julius Baer Groupmoney laundering2021DOJ_CRIMINAL$79,000,000
BNP ParibasBNP ParibasFalse Claims Act and related2014DOJ_CIVIL$80,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2004DOJ_CRIMINAL$80,000,000
Strong Capital Management, Inc.Wells Fargoinvestor protection violation2004SEC$80,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceaccounting fraud or deficiencies2003SEC$80,000,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2003SEC$80,000,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2003SEC$80,000,000
UBS Warburg LLCUBSinvestor protection violation2003SEC$80,000,000
Merrill Lynch & Co. Inc.Bank of Americaaccounting fraud or deficiencies2003SEC$80,000,000
ACE, LtdChubb Limitedprice-fixing or anti-competitive practices2006MULTI-AG$80,000,000
Bear Stearns & Co. LLCJPMorgan Chaseinvestor 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
Deutsche BankDeutsche Bankinvestor protection violation2002MULTI-AG$80,000,000
J.P. Morgan Chase & Co.JPMorgan Chaseinvestor 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 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
Capital One Bank (USA), National AssociationCapital One Financialbanking violation2020OCC$80,000,000
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022FINCEN$80,000,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2020private lawsuit-federal$80,000,000
Assurant Inc.Assurantinsurance violation2016MULTI-FIN$80,217,000
Societe Generale S.A.Societe Generaleeconomic sanction violation2018FED$81,300,000
Wells Fargo Bank N.A.Wells Fargobankruptcy professional violation2015DOJ_UTP$81,600,000
Branch Banking & Trust Company (BB&T)Truist FinancialFalse Claims Act and related2016DOJ_CIVIL$83,000,000
FleetBoston Financial CorpBank of Americabenefit plan administrator violation2008private lawsuit-federal$83,401,000
Bank of New York MellonBank of New York Mellonbenefit plan administrator violation2015EBSA$84,000,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2021CFTC$84,320,000
Countrywide Financial Corp.Bank of Americamortgage abuses2008HI-DCCA$84,548,000
Wells Fargo & CompanyWells Fargobanking violation2011FED$85,000,000
Fifth Third BancorpFifth Third Bancorptoxic securities abuses2015USAO$85,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2017CFTC$85,000,000
USAA Federal Savings BankUSAAbanking violation2020OCC$85,000,000
Lloyds Banking Group plcLloyds Banking Groupprice-fixing or anti-competitive practices2014DOJ_CRIMINAL$86,000,000
Nationstar Mortgage dba Mr. CooperMr. Cooper Groupconsumer protection violation2020MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $86,300,000
Wells Fargo & CompanyWells Fargobanking violation2012FED$87,000,000
Barclays Capital Inc.Barclaysprice-fixing or anti-competitive practices2020private lawsuit-federal$87,000,000
Deutsche BankDeutsche BankForeign Corrupt Practices Act2021DOJ_CRIMINAL$87,091,424
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2004SEC$87,500,000
Wilmington Trust, N.A.M&T Bankbenefit plan administrator violation2020EBSA$88,000,000
JPMorgan Chase BankJPMorgan Chaseeconomic sanction violation2011OFAC$88,300,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2019SEC$88,780,000
State Street Bank And Trust Co.State Street Corp.benefit plan administrator violation2010private lawsuit-federal$89,750,000
Credit Suisse AGCredit Suisseaccounting fraud or deficiencies2016SEC$90,000,000
BNP Paribas USA Inc.BNP Paribasprice-fixing or anti-competitive practices2018DOJ_ANTITRUST$90,000,000
BNP Paribas Securities Corp.BNP Paribasprice-fixing or anti-competitive practices2018CFTC$90,000,000
Banc One Investment Advisors CorporationJPMorgan Chaseinvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,000,000
Farmers Insurance ExchangeFarmers Insurance Exchangewage and hour violation2001private lawsuit-state$90,009,208
Credit Agricole S.A.Credit Agricoleeconomic sanction violation2015FED$90,300,000
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
Citibank N.A.Citigroupprice-fixing or anti-competitive practices2019private lawsuit-federal$91,250,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2019private lawsuit-federal$91,250,000
Sallie Mae BankSLM Corp.banking violation2014FDIC$93,300,000
Western Union Financial Services, Inc.Western Unionanti-money-laundering deficiencies2010MULTI-AG$94,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2018private lawsuit-federal$94,000,000
Deutsche BankDeutsche Banktax violations2017USAO$95,000,000
Deutsche BankDeutsche Banktoxic securities abuses2017MD-AG$95,000,000
Capital One BankCapital One Financialprivacy violation2022private lawsuit-federal$95,000,000
Wells Fargo Bank, N.A.Wells Fargowage and hour violation2021private lawsuit-federal$95,696,122
Vitol Inc.Vitolfraud2020CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $95,700,000
American ExpressAmerican Expressconsumer protection violation2017CFPB$96,000,000
TIAA-CREF Individual & Institutional Services, LLCTIAAbenefit plan administrator violation2021NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $97,000,000
TIAA-CREF Individual & Institutional Services LLCTIAAaccounting fraud or deficiencies2021SEC$97,000,000
Barclays CapitalBarclaysinvestor protection violation2017SEC$97,037,659
Banamex USACitigroupanti-money-laundering deficiencies2017DOJ_CRIMINAL$97,440,000
AEGON USA Investment Management LLC et al.Aegoninvestor protection violation2018SEC$97,600,000
Ally Financial Inc. and Ally BankAlly Financialconsumer protection violation2013CFPB$98,000,000
CitigroupCitigroupwage and hour violation2008private lawsuit-federal$98,000,000
Credit Suisse Group AGCredit SuisseForeign Corrupt Practices Act2021SEC$99,000,000
American ExpressAmerican Expressconsumer protection violation2012CFPB$99,100,000
Credit Agricole (Suisse) SACredit Agricoletax violations2015DOJ_TAX$99,211,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2014FHFA$99,500,000
Credit Suisse AGCredit Suissebanking violation2014FED$100,000,000
STANDARD CHARTERED PLCStandard Charteredbanking violation2012FED$100,000,000
MoneyGram International Inc.MoneyGram Internationalanti-money-laundering deficiencies2012DOJ_CRIMINAL$100,000,000
JPMorgan Chase BankJPMorgan Chasedata submission deficiencies2015CFTC$100,000,000
JPMorgan ChaseJPMorgan Chaseinvestor protection violation2013CFTC$100,000,000
Wells Fargo BankWells Fargobanking violation2016CFPB$100,000,000
UBS AGUBSeconomic sanction violation2004FED$100,000,000
Janus Capital Management LLCJanus Hendersoninvestor protection violation2004SEC$100,000,000
Credit Suisse First Boston CorporationCredit Suisseinvestor protection violation2002SEC$100,000,000
Credit LyonnaisCredit Agricolefraud2003USAO$100,000,000
HSBC Holdings plcHSBCfraud2018DOJ_CRIMINAL$100,000,000
Capital One Bank (USA), National AssociationCapital One Financialanti-money-laundering deficiencies2018OCC$100,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2016MULTI-AG$100,000,000
CitibankCitigroupprice-fixing or anti-competitive practices2018MULTI-AG$100,000,000
Federated Investors, Inc.Federated Hermesinvestor protection violation2005NY-AG(*)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
Merrill LynchBank of Americainvestor protection violation2002NY-AG$100,000,000
Merrill Lynch & Co. Inc.Bank of Americainvestor 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. $100,000,000
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
Morgan Keegan & CompanyRaymond James Financialtoxic securities abuses2013MULTI-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
Bank of AmericaBank of Americabanking violation2022CFPB$100,000,000
Bank of AmericaBank of Americainvestor protection violation2022CFTC$100,000,000
Coinbase Inc.Coinbase Global Inc.anti-money-laundering deficiencies2023NY-DFS$100,000,000
HSBC Bank PLCHSBCprice-fixing or anti-competitive practices2018private lawsuit-federal$100,000,000
Visa USAVisaprice-fixing or anti-competitive practices2009private lawsuit-federal$100,000,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003SEC$101,000,000
Ambac Financial Group et al.Ambac Financialtoxic securities abuses2013USAO$101,900,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.