Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $389,345,231,111
Number of Records: 7,795
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$87,294,669,499330
JPMorgan Chase$39,888,888,209278
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$27,081,211,792183
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,407,380112
NatWest Group PLC$14,264,317,61841
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
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd.Bank Hapoalimtax violations2020DOJ_TAX$616,910,000
JPMorgan ChaseJPMorgan ChaseFalse Claims Act and related2014DOJ_CIVIL$614,000,000
CommerzbankCommerzbankeconomic sanction violation2015NY-DFS$610,000,000
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
Wells FargoWells Fargotoxic securities abuses2013FHFA$591,000,000
Western Union CompanyWestern Unionanti-money-laundering deficiencies2017DOJ_CRIMINAL$586,000,000
Wells Fargo Bank N.A.Wells Fargobanking violation2018MULTI-AG$575,000,000
Republic New York SecuritiesHSBCfraud2001USAO$569,000,000
Deutsche Bank AGDeutsche Banktax violations2010USAO$553,633,153
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
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
Bank Julius Baer & Co. Ltd.Julius Baer Grouptax violations2016DOJ_TAX$547,000,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2015private lawsuit-federal$505,000,000
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
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
Credit Suisse Securities (USA) LLC et al.UBSinvestor protection violation2022NJ-AG$495,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2015NY-DFS$485,000,000
Household Finance Corp.HSBCmortgage abuses2002MULTI-AG$484,000,000
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
HSBC Bank USA NAHSBCmortgage abuses2016DOJ$470,000,000
J.P. Morgan Chase Bank, N.A.JPMorgan Chaseanti-money-laundering deficiencies2014FINCEN$461,000,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2009MULTI-AG$456,000,000
U.S. BancorpU.S. Bancorpanti-money-laundering deficiencies2018USAO$453,000,000
UBSUBStoxic securities abuses2017NCUA$445,000,000
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2017NY-DFS$425,000,000
Societe Generale SASociete Generaleeconomic sanction violation2018NY-DFS$420,000,000
SunTrust Mortgage Inc.Truist FinancialFalse Claims Act and related2014DOJ_CIVIL$418,000,000
Merrill LynchBank of Americainvestor protection violation2016SEC$415,000,000
UniCredit GroupUniCrediteconomic sanction violation2019DOJ_CRIMINAL$413,536,632
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
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
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
UniCredit GroupUniCrediteconomic sanction violation2019NY-DFS$405,000,000
Bank of AmericaBank of Americatoxic securities abuses2013FHFA$404,000,000
Citigroup Inc.Citigroupprice-fixing or anti-competitive practices2018private lawsuit-federal$402,000,000
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
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
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2015private lawsuit-federal$388,000,000
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2019private lawsuit-federal$386,000,000
Credit AgricoleCredit Agricoleeconomic sanction violation2015NY-DFS$385,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2018private lawsuit-federal$384,000,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2016SEC$382,400,000
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
Bank of America N.A.Bank of Americabanking violation2012DOJ_RIGHTS$370,000,000
Rabobank National AssociationRabobankanti-money-laundering deficiencies2018DOJ_CRIMINAL$368,701,259
Barclays Bank PLCBarclaysinvestor protection violation2022SEC$361,000,000
State Farm LloydsState Farm Insuranceinsurance violation2015TX-INS$352,500,000
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
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
Standard Chartered BankStandard Charteredanti-money-laundering deficiencies2012NY-DFS$340,000,000
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
Goldman SachsGoldman Sachsmortgage abuses2013FED$330,000,000
Credit Agricole Corporate and Investment BankCredit Agricoleeconomic sanction violation2015OFAC$329,593,585
Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A.JPMorgan Chaseconsumer protection violation2013CFPB$329,000,000
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
SunTrust Mortgage Inc.Truist Financialmortgage abuses2014DOJ_CIVIL$320,000,000
UniCredit Bank AGUniCrediteconomic sanction violation2019NY-MANDA$316,000,000
Bank of Tokyo Mitsubishi UFJMitsubishi UFJ Financial Groupeconomic sanction violation2014NY-DFS$315,000,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2010SEC$313,300,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.