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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
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
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2015private lawsuit-federal$199,407,884
Och-Ziff Capital Management GroupSculptor Capital ManagementForeign Corrupt Practices Act2016SEC$199,045,167
Navient Solutions LLCNavientconsumer protection violation2023private lawsuit-federal$198,400,000
Credit Suisse Group AGUBSinvestor protection violation2014SEC$196,000,000
Transamerica Life Insurance CompanyAegonconsumer protection violation2019private lawsuit-federal$195,000,000
HSBC Private Bank (Suisse) SAHSBCtax violations2019USAO$192,350,000
Regions BankRegions Financialconsumer protection violation2022CFPB$191,000,000
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
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
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
JPMorgan ChaseJPMorgan Chaseconsumer protection violation2015CFPB$186,000,000
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2023FED$186,000,000
PNC Bank N.A.PNC Financial Servicesbanking violation2013OCC$180,526,382
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLCCitigroupinvestor protection violation2015SEC$180,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2019NY-DFS$180,000,000
Bank of America CorporationBank of Americabanking violation2012FED$175,500,000
Credit Suisse Group AGUBSfraud2021DOJ_CRIMINAL$175,500,000
CitigroupCitigroupprice-fixing or anti-competitive practices2016CFTC$175,000,000
Lloyds TSB Bank PLCLloyds Banking Groupeconomic sanction violation2009DOJ_CRIMINAL$175,000,000
HSBC HoldingsHSBCbanking violation2017FED$175,000,000
Lloyds TSB Bank plcLloyds Banking Groupeconomic sanction violation2009NY-MANDA$175,000,000
Zurich American Insurance CompanyZurich Insuranceprice-fixing or anti-competitive practices2006MULTI-AG$171,700,000
Commerzbank AGCommerzbankeconomic sanction violation2015NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $171,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2018private lawsuit-federal$170,000,000
Wachovia Bank, National AssociationWells Fargobanking violation2008OCC$168,900,000
Bank of New York MellonBank of New York Mellonbanking violation2015NY-AG$167,500,000
Capital One Bank (U.S.A.), N.A.Capital One Financialconsumer protection violation2012CFPB$165,000,000
HSBC HOLDINGS PLCHSBCbanking violation2012FED$165,000,000
Bank of AmericaBank of Americatoxic securities abuses2013NCUA$165,000,000
Standard Chartered plcStandard Charteredbanking violation2019FED$164,000,000
Societe GeneraleSociete Generaleeconomic sanction violation2018NY-MANDA$162,800,000
UBS AGUBSprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$160,000,000
SunTrust Banks, Inc.Truist Financialbanking violation2014FED$160,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2012DOJ_CRIMINAL$160,000,000
Merrill LynchBank of Americaemployment discrimination2013private lawsuit-federal$160,000,000
MetLifeMetLifediscriminatory practices (non-employment)2002NY-DFS$160,000,000
Citimortgage Inc.Citigroupmortgage abuses2012USAO$158,300,000
UniCredit, S.p.A.UniCreditbanking violation2019FED$158,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2017FED$156,600,000
Credit Agricole Corporate and Investment Bank (CACIB)Credit Agricoleeconomic sanction violation2015USAO$156,000,000
Credit Agricole Corporate and Investment BankCredit Agricoleeconomic sanction violation2015NY-MANDA$156,000,000
Bank of AmericaCorp.Bank of Americaprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
BarclaysPLCBarclaysprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
BNP ParibasSABNP Paribasprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
CitigroupInc.Citigroupprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Credit Suisse GroupAGUBSprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Deutsche BankAGDeutsche Bankprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Goldman Sachs GroupInc.Goldman Sachsprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
HSBC HoldingsPLCHSBCprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
J.P. Morgan Chase& Co.JPMorgan Chaseprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Morgan StanleyMorgan Stanleyprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Royal Bank of Scotland GroupPLCNatWest Group PLCprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
UBS Group AGUBSprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Goldman Sachs Group, Inc.Goldman Sachsbanking violation2020FED$154,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2013SEC$153,700,000
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2011SEC$153,600,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2024USAO$153,431,223
Clearstream Banking SADeutsche Borseeconomic sanction violation2014OFAC$152,000,000
RBS PLC and RBS Securities JapanNatWest Group PLCprice-fixing or anti-competitive practices2014DOJ_ANTITRUST$150,000,000
Bank of AmericaBank of Americainvestor protection violation2010SEC$150,000,000
DB Group Services (UK) LimitedDeutsche Bankprice-fixing or anti-competitive practices2017DOJ_ANTITRUST$150,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasebenefit plan administrator violation2012private lawsuit-federal$150,000,000
Countrywide Financial CorporationBank of Americamortgage abuses2009PA-AG$150,000,000
JPMorgan ChaseJPMorgan Chaseinvestor protection violation2015MULTI-AG$150,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2019CA-AG$150,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2015NY-DFS$150,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000
Deutsche Bank AG and Deutsche Bank Trust Co. AmericaDeutsche Bankbanking violation2020NY-DFS$150,000,000
Goldman Sachs GroupGoldman Sachsinvestor protection violation2020NY-DFS$150,000,000
Barclays plcBarclayseconomic sanction violation2010NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $149,000,000
Wachovia Bank N.A.Wells Fargoprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$148,000,000
American International GroupAmerican International Groupinsurance violation2010MULTI-FIN$146,500,000
Deutsche Bank SecuritiesDeutsche Banktoxic securities abuses2011NCUA$145,000,000
Wells Fargo and CompanyWells Fargobenefit plan administrator violation2022EBSA$145,000,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2018private lawsuit-federal$142,000,000
UBS AGUBSprice-fixing or anti-competitive practices2018private lawsuit-federal$141,075,000
Assurant Inc.Assurantconsumer protection violation2014private lawsuit-federal$140,500,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2014private lawsuit-federal$140,500,000
Banamex USACitigroupbanking violation2015FDIC$140,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc.Ameriprise Financialinvestor protection violation2005SEC$140,000,000
FleetBoston Financial CorporationBank of Americainvestor protection violation2004SEC$140,000,000
Nationwide Life InsuranceNationwidebenefit plan administrator violation2015private lawsuit-federal$140,000,000
Citizens FinancialCitizens Financial Groupconsumer protection violation2013private lawsuit-federal$137,500,000
Bank of AmericaBank of Americaprice-fixing or anti-competitive practices2010DOJ_ANTITRUST$137,300,000
JPMorgan Chase Bank N.A.JPMorgan Chaseinvestor protection violation2018SEC$135,100,000
J.P. Morgan Chase & Co.JPMorgan Chaseaccounting fraud or deficiencies2003SEC$135,000,000
State FarmState Farm Insurancewage and hour violation2005private lawsuit-state$135,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2017NY-DFS$135,000,000
Vitol Inc.VitolForeign Corrupt Practices Act2020DOJ_CRIMINAL$135,000,000
Goldman Sachs Group Inc.Goldman Sachsprice-fixing or anti-competitive practices2018private lawsuit-federal$135,000,000
Western Union Co.Western Unionconsumer protection violation2016private lawsuit-federal$133,000,000
Flagstar BankNew York Community Bancorpmortgage abuses2012USAO$132,800,000
Standard Chartered BankStandard Charteredeconomic 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. $132,000,000
Merrill LynchBank of Americatoxic securities abuses2013SEC$131,800,000
HSBC North America Holdings, Inc.HSBCbanking violation2016FED$131,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.