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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,416,567,662
Number of Records: 7,172
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$83,354,221,356271
JPMorgan Chase$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
Morgan Stanley$10,167,765,234190

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 BankDeutsche Bankprice-fixing or anti-competitive practices2015CFTC$800,000,000
American International Group, Inc.American International Groupinvestor protection violation2006SEC$800,000,000
Marsh & McLennan Companies, Inc.Marsh & McLennanprice-fixing or anti-competitive practices2005MULTI-AG$850,000,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2008MULTI-AG$859,800,000
Wells Fargo Bank, National AssociationWells Fargotoxic securities abuses2013FHFA$869,000,000
Credit SuisseCredit Suissetoxic securities abuses2014FHFA$885,000,000
UBS Americas Inc.UBStoxic securities abuses2013FHFA$885,000,000
JPMorgan Chase & Co.JPMorgan Chasefraud2020DOJ_CRIMINAL(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $920,000,000
JPMorgan Chase & CompanyJPMorgan Chaseinvestor protection violation2020CFTC$920,200,000
CiticorpCitigroupprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$925,000,000
Bank of America CorporationBank of Americamortgage abuses2014MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $943,000,000
CitigroupCitigrouptoxic securities abuses2013FHFA$968,000,000
Wells FargoWells Fargomortgage abuses2012MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,005,233,716
Goldman Sachs Group Inc.Goldman SachsForeign Corrupt Practices Act2020SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,006,000,000
Allianz Global Investors U.S. LLCAllianzinvestor protection violation2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,024,200,000
JPMorgan ChaseJPMorgan Chasetoxic securities abuses2013MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,066,000,000
JPMorgan ChaseJPMorgan Chasemortgage abuses2012MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,121,188,661
Glencore International A.G. and Glencore Ltd.GlencoreForeign Corrupt Practices Act2022DOJ_CRIMINAL(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,185,000,000
Glencore International A.G.Glencoreprice-fixing or anti-competitive practices2022CFTC$1,186,000,000
Wells Fargo Bank, National AssociationWells FargoFalse Claims Act and related2016DOJ_CIVIL$1,200,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2014FHFA$1,250,000,000
HSBC Holdings plc HSBC Bank USA N.A.HSBCanti-money-laundering deficiencies2012DOJ_CRIMINAL$1,256,000,000
Bank of AmericaBank of Americatoxic securities abuses2011FHFA$1,300,000,000
Wells FargoWells Fargoinvestor protection violation2009CA-AG$1,400,000,000
Bank of AmericaBank of Americatoxic securities abuses2011FHFA$1,520,000,000
American International GroupAmerican International Groupprice-fixing or anti-competitive practices2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,619,000,000
JPMorgan Chase BankJPMorgan Chaseanti-money-laundering deficiencies2014USAO$1,700,000,000
Credit Suisse AGCredit Suissetax violations2014DOJ_TAX$1,800,000,000
NavientNavientconsumer protection violation2022MULTI-AG$1,850,000,000
Deutsche Bank AGDeutsche Banktoxic securities abuses2013FHFA$1,925,000,000
JPMorgan ChaseJPMorgan Chasebanking violation2013OCC$1,958,450,341
Wells FargoWells Fargobanking violation2013OCC$1,991,141,181
Barclays Capital, Inc.Barclaystoxic securities abuses2018USAO$2,000,000,000
Danske Bank A/SDanske Bankanti-money-laundering deficiencies2022DOJ_CRIMINAL$2,000,000,000
Wells Fargo Bank, N.A.Wells Fargotoxic securities abuses2018DOJ_CIVIL$2,090,000,000
Ocwen Financial Corporation and Ocwen Loan ServicingOcwen Financialconsumer protection violation2013CFPB$2,125,000,000
Citigroup Inc.Citigroupmortgage abuses2012DOJ$2,202,000,000
BNP ParibasBNP Paribaseconomic sanction violation2014NY-DFS(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,240,000,000
BNP Paribas S.A.BNP Paribaseconomic sanction violation2014NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,243,400,000
Bank of AmericaBank of Americamortgage abuses2012MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,382,415,075
Bank of AmericaBank of Americainvestor protection violation2012MULTI-AG$2,430,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2016DOJ$2,600,000,000
Bank of AmericaBank of Americabanking violation2013OCC$2,886,578,478
Goldman Sachs Group Inc.Goldman SachsForeign Corrupt Practices Act2020DOJ_CRIMINAL$2,921,088,000
Wells Fargo & CompanyWells Fargofraud2020DOJ_CIVIL$3,000,000,000
Countrywide Financial CorporationBank of Americamortgage abuses2010MULTI-AG$3,004,100,000
Goldman Sachs & Co.Goldman Sachstoxic securities abuses2014FHFA$3,150,000,000
Deutsche Bank Securities, Inc. and Deutsche Bank AGDeutsche Bankinvestor protection violation2008MULTI-AG$3,348,333,333
Goldman Sachs Group, Inc.Goldman Sachsinvestor protection violation2008MULTI-AG$3,355,833,333
Merrill Lynch & Co.Bank of Americainvestor protection violation2008MULTI-AG$3,458,333,333
JP Morgan Chase & Co.JPMorgan Chaseinvestor protection violation2008MULTI-AG$3,525,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2008MULTI-AG$3,535,000,000
Wells Fargo BankWells Fargoconsumer protection violation2022CFPB$3,700,000,000
Banc of America Securities LLCBank of Americainvestor protection violation2008MULTI-AG$4,550,000,000
Royal Bank of Scotland Group plcNatWest Group PLCtoxic securities abuses2018DOJ_CIVIL$4,900,000,000
Goldman SachsGoldman Sachstoxic securities abuses2016DOJ$5,060,000,000
Credit SuisseCredit Suissetoxic securities abuses2017DOJ_CIVIL$5,280,000,000
JPMorgan Chase & Co.JPMorgan Chasemortgage abuses2012DOJ$5,333,600,000
Wells Fargo & CompanyWells Fargomortgage abuses2012DOJ$5,342,200,000
Royal Bank of Scotland PLCNatWest Group PLCtoxic securities abuses2017FHFA$5,500,000,000
Allianz Global Investors U.S. LLCAllianzinvestor protection violation2022USAO$5,763,000,000
Citigroup Inc.Citigrouptoxic securities abuses2014DOJ$7,000,000,000
Citigroup Global Markets, Inc. and Citi Smith BarneyCitigroupinvestor protection violation2008MULTI-AG$7,100,000,000
Deutsche BankDeutsche Banktoxic securities abuses2017DOJ_CIVIL$7,200,000,000
Countrywide Home LoansBank of Americamortgage abuses2008MULTI-AG$8,680,000,000
BNP Paribas S.A.BNP Paribaseconomic sanction violation2015DOJ_CRIMINAL$8,973,600,000
Bank of America CorporationBank of Americatoxic securities abuses2014FHFA$9,300,000,000
Bank of AmericaBank of Americatoxic securities abuses2013FHFA$10,350,000,000
Bank of America CorporationBank of Americamortgage abuses2012DOJ$10,956,600,000
UBS Securities LLC and UBS Financial Services, Inc.UBSinvestor protection violation2008MULTI-AG$11,150,000,000
JPMorgan ChaseJPMorgan Chasetoxic securities abuses2013DOJ$13,000,000,000
Bank of America CorporationBank of Americamortgage abuses2014DOJ$16,650,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.