Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
HSBC Bank USA, N.A.HSBCbanking violation2012OCC$500,000,000
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V.ABN AMROeconomic sanction violation2010DOJ_CRIMINAL$500,000,000
Wells Fargo Bank N.A.Wells Fargobanking violation2018OCC$500,000,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2018CFPB$500,000,000
Bank of AmericaBank of Americainvestor protection violation2013MULTI-AG$500,000,000
MercerMarsh & McLennanaccounting fraud or deficiencies2010AK-AG$500,000,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2018NY-AG$500,000,000
Wells Fargo & Co.Wells Fargoinvestor protection violation2020SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $500,000,000
Countrywide Financial CorporationBank of Americaconsumer protection violation2013private lawsuit-federal$500,000,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2015private lawsuit-federal$505,000,000
Bank Julius Baer & Co. Ltd.Julius Baer Grouptax violations2016DOJ_TAX$547,000,000
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2014CFPB$550,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$550,000,000
Goldman Sachs & Co.Goldman Sachstoxic securities abuses2010SEC$550,000,000
HSBC North America Holdings Inc.HSBCtoxic securities abuses2014FHFA$550,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2016NY-AG$550,000,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020MULTI-AG$550,000,000
UniCredit Bank AGUniCrediteconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $553,380,759
Deutsche Bank AGDeutsche Banktax violations2010USAO$553,633,153
Republic New York SecuritiesHSBCfraud2001USAO$569,000,000
Wells Fargo Bank N.A.Wells Fargobanking violation2018MULTI-AG$575,000,000
Western Union CompanyWestern Unionanti-money-laundering deficiencies2017DOJ_CRIMINAL$586,000,000
Wells FargoWells Fargotoxic securities abuses2013FHFA$591,000,000
Prudential Equity Group LLCPrudential Financialinvestor protection violation2006DOJ_CRIMINAL$600,000,000
Alliance Capital ManagementEquitable Holdingsinvestor protection violation2003NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $600,000,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2015NY-DFS$600,000,000
CommerzbankCommerzbankeconomic sanction violation2015NY-DFS$610,000,000
JPMorgan ChaseJPMorgan ChaseFalse Claims Act and related2014DOJ_CIVIL$614,000,000
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd.Bank Hapoalimtax violations2020DOJ_TAX$616,910,000
ING Bank N.V.INGeconomic sanction violation2012DOJ_CRIMINAL$619,000,000
ING Bank N.V.INGeconomic sanction violation2012OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $619,000,000
Commerzbank AGCommerzbankeconomic sanction violation2015DOJ_CRIMINAL$642,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $657,040,033
UBS AGUBSprice-fixing or anti-competitive practices2012CFTC$700,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$710,000,000
Bank of New York MellonBank of New York Mellonbanking violation2015USAO$714,000,000
Credit Suisse AGUBStax violations2014NY-DFS$715,000,000
Societe Generale S.A.Societe Generaleeconomic sanction violation2018USAO$717,200,000
American International GroupAmerican International Groupinvestor protection violation2010OH-AG$725,000,000
Citibank N.A.Citigroupconsumer protection violation2015CFPB$733,800,000
Bank of America, N.A.Bank of Americaconsumer protection violation2014CFPB$747,000,000
HSBCHSBCtoxic securities abuses2018USAO$765,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$775,000,000
UBS AGUBStax violations2009DOJ_TAX$780,000,000
CitibankCitigroupbanking violation2013OCC$793,492,868
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
Societe Generale S.A.Societe GeneraleForeign Corrupt Practices Act2018DOJ_CRIMINAL$860,000,000
Wells Fargo Bank, National AssociationWells Fargotoxic securities abuses2013FHFA$869,000,000
Credit SuisseUBStoxic 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
Binance Holdings, LtdBinance Holdingseconomic sanction violation2023OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $968,618,825
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
Mastercard International Inc.MasterCardprice-fixing or anti-competitive practices2004private lawsuit-federal$1,025,000,000
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 America N.A.Bank of Americaconsumer protection violation2018private lawsuit-federal$1,266,600,000
Bank of AmericaBank of Americatoxic securities abuses2011FHFA$1,300,000,000
Wells FargoWells Fargoinvestor protection violation2009CA-AG$1,400,000,000
UBS AGUBStoxic securities abuses2023DOJ_CIVIL$1,435,000,000
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 AGUBStax 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
Visa USAVisaprice-fixing or anti-competitive practices2004private lawsuit-federal$2,025,000,000
Wells Fargo Bank, N.A.Wells Fargotoxic securities abuses2018DOJ_CIVIL$2,090,000,000
Mastercard International Inc.MasterCardprice-fixing or anti-competitive practices2019private lawsuit-federal$2,100,000,000
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
Binance Holdings Limited et al.Binance Holdingsinvestor protection violation2023CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,700,000,000
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.