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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 TypeYearAgencyPenalty Amount sort icon
Standard Chartered BankStandard Charteredeconomic sanction violation2019NY-DFS$180,000,000
PNC Bank N.A.PNC Financial Servicesbanking violation2013OCC$180,526,382
JPMorgan ChaseJPMorgan Chaseconsumer protection violation2015CFPB$186,000,000
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2023FED$186,000,000
Union Bancaire PriveeUnion Bancaire Priveetax violations2016DOJ_TAX$187,000,000
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.investor protection violation2022SEC$187,000,000
HSBC Holdings plcHSBCeconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $187,500,000
Bank of America N.A.Bank of Americaprice-fixing or anti-competitive practices2018private lawsuit-federal$187,500,000
Aon CorporationAonprice-fixing or anti-competitive practices2005MULTI-AG$190,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2018private lawsuit-federal$190,000,000
Regions BankRegions Financialconsumer protection violation2022CFPB$191,000,000
HSBC Private Bank (Suisse) SAHSBCtax violations2019USAO$192,350,000
Transamerica Life Insurance CompanyAegonconsumer protection violation2019private lawsuit-federal$195,000,000
Credit Suisse Group AGUBSinvestor protection violation2014SEC$196,000,000
Navient Solutions LLCNavientconsumer protection violation2023private lawsuit-federal$198,400,000
Och-Ziff Capital Management GroupSculptor Capital ManagementForeign Corrupt Practices Act2016SEC$199,045,167
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2015private lawsuit-federal$199,407,884
COMMERZBANK AGCommerzbankbanking violation2015FED$200,000,000
JPMORGAN CHASE & CO.JPMorgan Chasebanking violation2013FED$200,000,000
U.S. BankU.S. BancorpFalse Claims Act and related2014DOJ_CIVIL$200,000,000
JPMorgan & Co.JPMorgan Chaseaccounting fraud or deficiencies2013SEC$200,000,000
Morgan Keegan & CompanyRaymond James Financialtoxic securities abuses2011SEC$200,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2012CFTC$200,000,000
UBS AGUBStax violations2009SEC$200,000,000
Credit Suisse First Boston LLCUBSinvestor protection violation2003SEC$200,000,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2003SEC$200,000,000
Associated Bank, N.A.Associated Banc-Corpdiscriminatory practices (non-employment)2015HUD$200,000,000
Credit Suisse First Boston Corp.UBSinvestor 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. $200,000,000
Deutsche BankDeutsche Bankeconomic sanction violation2015NY-DFS$200,000,000
Deutsche Bank AGDeutsche Banktoxic securities abuses2012USAO$202,300,000
UBS AGUBSprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$203,000,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2016private lawsuit-federal$203,000,000
BANK OF AMERICA CORPORATIONBank of Americabanking violation2015FED$205,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2018NY-DFS$205,000,000
Ally Financial Inc.Ally Financialbanking violation2012FED$207,000,000
Citigroup, Inc.Citigroupinvestor protection violation2005SEC$208,000,000
Deutsche Bank AGDeutsche Bankinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $208,000,000
U.S. BankU.S. Bancorpbanking violation2013OCC$208,156,501
MetLife Insurance CompanyMetLifeinsurance violation2019NY-DFS$208,750,000
First Tennessee Bank N.A.First Horizon NationalFalse Claims Act and related2015DOJ_CIVIL$212,500,000
Och-Ziff Capital Management Group LLCSculptor Capital ManagementForeign Corrupt Practices Act2016DOJ_CRIMINAL$213,000,000
Discover BankDiscover Financial Servicesconsumer protection violation2012CFPB$214,000,000
American General Life InsuranceAmerican International Groupdiscriminatory practices (non-employment)2000private lawsuit-federal$214,000,000
Citigroup Inc.Citigroupconsumer protection violation2002FTC$215,000,000
Agricultural Bank of ChinaAgricultural Bank of Chinaanti-money-laundering deficiencies2016NY-DFS$215,000,000
Goldman SachsGoldman Sachsemployment discrimination2023private lawsuit-federal$215,000,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2014private lawsuit-federal$218,000,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2017MULTI-AG$220,000,000
Bank Hapoalim B.M.Bank Hapoalimtax violations2020NY-DFS$220,000,000
GE Capital Retail Bank, now known as Synchrony BankSynchrony Financialconsumer protection violation2014CFPB$225,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2015NCUA$225,000,000
Massachusetts Financial Services Co.Sun Life Financialinvestor protection violation2004SEC$225,000,000
Goldman SachsGoldman Sachstoxic securities abuses2016MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $225,000,000
Janus Capital ManagementJanus Hendersoninvestor protection violation2004MULTI-AG$225,000,000
Ocwen Loan Servicing, LLCOcwen Financialmortgage abuses2017CA-DFPI$225,000,000
Morgan StanleyMorgan Stanleymortgage abuses2013FED$227,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2012DOJ_CRIMINAL$227,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$228,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2014private lawsuit-federal$228,000,000
UBS Securities LLCUBStoxic securities abuses2018NY-AG$230,000,000
Wells Fargo BankWells Fargomortgage abuses2012DOJ_RIGHTS$234,300,000
Intesa Sanpaolo S.p.A.Intesa Sanpaoloanti-money-laundering deficiencies2016NY-DFS$235,000,000
Charles Schwab Corp.Charles Schwab Corp.consumer protection violation2011private lawsuit-federal$235,000,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2018private lawsuit-federal$240,000,000
AXA RosenbergAXAinvestor protection violation2011SEC$242,000,000
BNP Paribas S.A.BNP Paribasprice-fixing or anti-competitive practices2017FED$246,000,000
HSBC Bank USA, National AssociationHSBCbanking violation2013OCC$249,000,000
Bank of America, National AssociationBank of Americabanking violation2014OCC$250,000,000
CitibankCitigroupprice-fixing or anti-competitive practices2016CFTC$250,000,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2006SEC$250,000,000
Alliance Capital Management L.P.Equitable Holdingsinvestor protection violation2003SEC$250,000,000
Bank of Tokyo Mitsubishi-UFJ, LtdMitsubishi UFJ Financial Groupeconomic sanction violation2013NY-DFS$250,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2020OCC$250,000,000
Wells Fargo Bank, National AssociationWells Fargobanking violation2021OCC$250,000,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceconsumer protection violation2018private lawsuit-federal$250,000,000
Allianz Life Insurance Company of North AmericaAllianzconsumer protection violation2015private lawsuit-federal$251,000,000
Bank of America et al.Bank of Americaconsumer protection violation2020private lawsuit-federal$252,500,000
Royal Bank of Scotland GroupNatWest Group PLCprice-fixing or anti-competitive practices2018private lawsuit-federal$255,000,000
Commerzbank AGCommerzbankeconomic sanction violation2014OFAC$258,660,796
Louisiana Generating (NRG Energy)Macquarieenvironmental violation2012EPA$264,000,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.JPMorgan Chaseinvestor protection violation2015SEC$267,000,000
Credit Suisse AGUBSeconomic sanction violation2009DOJ_CRIMINAL$268,000,000
Credit Suisse AGUBSeconomic sanction violation2009NY-MANDA$268,000,000
UBS Group AGUBSbanking violation2023FED$268,500,000
Bank Leumi GroupBank Leumitax violations2014DOJ_TAX$270,000,000
Prudential Equity GroupPrudential Financialinvestor protection violation2006MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000
Prudential Equity GroupPrudential Financialinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000
Goldman SachsGoldman Sachsconsumer protection violation2016private lawsuit-federal$272,000,000
ROYAL BANK OF SCOTLAND PLCNatWest Group PLCbanking violation2015FED$274,000,000
JPMorgan Chase & Co., and EMC Mortgage CorporationJPMorgan Chasebanking violation2012FED$275,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2014SEC$275,000,000
HSBC BankHSBCprice-fixing or anti-competitive practices2014CFTC$275,000,000
Bear StearnsJPMorgan Chaseinvestor protection violation2012MI-AG$275,000,000
Royal Bank of Scotland GroupNatWest Group PLCconsumer protection violation2014private lawsuit-federal$275,000,000
Barclays Bank PLCBarclaystoxic securities abuses2014FHFA$280,000,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2015private lawsuit-federal$280,000,000
CitigroupCitigrouptoxic securities abuses2011SEC$285,000,000
HSBC Holdings PLCHSBCprice-fixing or anti-competitive practices2018private lawsuit-federal$285,000,000
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
Capital One, National AssociationCapital One Financialanti-money-laundering deficiencies2021FINCEN$290,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.