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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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
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
JPMorgan ChaseJPMorgan Chasesexual exploitation of minors2023private lawsuit-federal$290,000,000
Citigroup Inc.Citigrouptoxic securities 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. $291,750,000
Standard Chartered BankStandard Charteredeconomic sanction violation2019NY-MANDA$292,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2019DOJ_CRIMINAL$292,210,160
Allied Home MortgageAmericus Mortgagefraud2017USAO$296,298,325
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2012SEC$296,900,000
Barclays Bank PLCBarclayseconomic sanction violation2010DOJ_CRIMINAL$298,000,000
J.P. Morgan Chase & Co.JPMorgan Chasetoxic securities abuses2013CA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $298,973,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2013OCC$300,000,000
FleetBoston Financial Corp.Bank of Americainvestor 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. $300,000,000
State Street Bank & Trust Co.State Street Corp.investor protection violation2010MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000
Standard Chartered BankStandard Charteredanti-money-laundering deficiencies2014NY-DFS$300,000,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2014private lawsuit-federal$300,000,000
Providian Financial Corp.JPMorgan Chaseconsumer protection violation2000CA-AG$305,500,000
ING Bank, NVINGeconomic 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. $309,500,000
Ally Financial Inc. (formerly GMAC)Ally Financialmortgage abuses2012DOJ$309,600,000
CitibankCitigroupprice-fixing or anti-competitive practices2014CFTC$310,000,000
JPMorgan Chase BankJPMorgan Chaseprice-fixing or anti-competitive practices2014CFTC$310,000,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2010SEC$313,300,000
Bank of Tokyo Mitsubishi UFJMitsubishi UFJ Financial Groupeconomic sanction violation2014NY-DFS$315,000,000
UniCredit Bank AGUniCrediteconomic sanction violation2019NY-MANDA$316,000,000
SunTrust Mortgage Inc.Truist Financialmortgage abuses2014DOJ_CIVIL$320,000,000
RabobankRabobankprice-fixing or anti-competitive practices2013DOJ_CRIMINAL$325,000,000
Barclays Capital Inc.Barclaystoxic securities abuses2015NCUA$325,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2013CFTC$325,000,000
Invesco Funds Group, Inc.Invescoinvestor protection violation2004SEC$325,000,000
Ameriquest MortgageCitigroupconsumer protection violation2006MULTI-AG$325,000,000
Invesco Funds GroupInvescoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $325,000,000
State Farm Life Insurance CompanyState Farm Insuranceconsumer protection violation2023private lawsuit-federal$325,000,000
Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A.JPMorgan Chaseconsumer protection violation2013CFPB$329,000,000
Credit Agricole Corporate and Investment BankCredit Agricoleeconomic sanction violation2015OFAC$329,593,585
Goldman SachsGoldman Sachsmortgage abuses2013FED$330,000,000
Countrywide Financial CorporationBank of Americamortgage abuses2011DOJ_RIGHTS$335,000,000
Citibank, N.A.Citigroupconsumer protection violation2018CFPB$335,000,000
Bank of New York Mellon CorporationBank of New York Mellonbenefit plan administrator violation2015private lawsuit-federal$335,000,000
Standard Chartered BankStandard Charteredanti-money-laundering deficiencies2012NY-DFS$340,000,000
UBS AGUBSbanking violation2015FED$342,000,000
BARCLAYS BANK PLCBarclaysprice-fixing or anti-competitive practices2015FED$342,000,000
CITIGROUP INC.Citigroupbanking violation2015FED$342,000,000
JPMORGAN CHASE & CO.JPMorgan Chasebanking violation2015FED$342,000,000
Citibank, National AssociationCitigroupbanking violation2014OCC$350,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2014OCC$350,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2014OCC$350,000,000
Massachusetts Financial Services Co.Sun Life Financialinvestor protection violation2004NY-AG$350,000,000
BNP Paribas S.A.BNP Paribasprice-fixing or anti-competitive practices2017NY-DFS$350,000,000
State Farm LloydsState Farm Insuranceinsurance violation2015TX-INS$352,500,000
Barclays Bank PLCBarclaysinvestor protection violation2022SEC$361,000,000
Rabobank National AssociationRabobankanti-money-laundering deficiencies2018DOJ_CRIMINAL$368,701,259
Bank of America N.A.Bank of Americabanking violation2012DOJ_RIGHTS$370,000,000
HSBC HoldingsHSBCeconomic sanction violation2012OFAC$375,000,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLCBank of Americainvestor protection violation2005SEC$375,000,000
Banc of America Capital Management LLC et al.Bank of Americainvestor 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. $375,000,000
Western Union Co.Western Unionconsumer protection violation2000private lawsuit-federal$375,000,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2016SEC$382,400,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2018private lawsuit-federal$384,000,000
Credit AgricoleCredit Agricoleeconomic sanction violation2015NY-DFS$385,000,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2019private lawsuit-federal$386,000,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2015private lawsuit-federal$388,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$395,000,000
Citimortgage Inc. and Citibank N.A.Citigrouptoxic securities abuses2013FHFA$395,000,000
BarclaysBarclaysprice-fixing or anti-competitive practices2015CFTC$400,000,000
Federal National Mortgage Association (Fannie Mae)Fannie Maeaccounting fraud or deficiencies2006SEC$400,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.Citigroupinvestor protection violation2003SEC$400,000,000
Marsh and McLennanMarsh & McLennaninvestor protection violation2009MULTI-AG$400,000,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor 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. $400,000,000
Citibank, National AssociationCitigroupbanking violation2020OCC$400,000,000
Citigroup Inc.Citigroupprice-fixing or anti-competitive practices2018private lawsuit-federal$402,000,000
Bank of AmericaBank of Americatoxic securities abuses2013FHFA$404,000,000
UniCredit GroupUniCrediteconomic sanction violation2019NY-DFS$405,000,000
JP Morgan Ventures Energy CorporationJPMorgan Chaseprice-fixing or anti-competitive practices2013FERC$410,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2011private lawsuit-federal$410,000,000
Danske Bank A/SDanske Bankanti-money-laundering deficiencies2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,000,000
CitigroupCitigroupmortgage 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. $413,041,577
UniCredit GroupUniCrediteconomic sanction violation2019DOJ_CRIMINAL$413,536,632
Merrill LynchBank of Americainvestor protection violation2016SEC$415,000,000
SunTrust Mortgage Inc.Truist FinancialFalse Claims Act and related2014DOJ_CIVIL$418,000,000
Societe Generale SASociete Generaleeconomic sanction violation2018NY-DFS$420,000,000
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2017NY-DFS$425,000,000
UBSUBStoxic securities abuses2017NCUA$445,000,000
U.S. BancorpU.S. Bancorpanti-money-laundering deficiencies2018USAO$453,000,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2009MULTI-AG$456,000,000
J.P. Morgan Chase Bank, N.A.JPMorgan Chaseanti-money-laundering deficiencies2014FINCEN$461,000,000
HSBC Bank USA NAHSBCmortgage abuses2016DOJ$470,000,000
RabobankRabobankprice-fixing or anti-competitive practices2013CFTC$475,000,000
Societe Generale S.A.Societe Generaleprice-fixing or anti-competitive practices2018CFTC$475,000,000
Merrill LynchBank of Americainvestor protection violation2009OH-AG$475,000,000
Household Finance Corp.HSBCmortgage abuses2002MULTI-AG$484,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2015NY-DFS$485,000,000
Credit Suisse Securities (USA) LLC et al.UBSinvestor protection violation2022NJ-AG$495,000,000
UBS Securities Japan Co. Ltd.UBSprice-fixing or anti-competitive practices2012DOJ_ANTITRUST$500,000,000
HSBC Bank USA, N.A.HSBCbanking violation2012OCC$500,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.