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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,479,735,000115
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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 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 GroupAGCredit Suisseprice-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
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
UBS AGUBSprice-fixing or anti-competitive practices2018private lawsuit-federal$141,075,000
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
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 AGCredit Suisseprice-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
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
JPMorgan Chase & Co.JPMorgan ChaseForeign Corrupt Practices Act2016SEC$130,000,000
Bank LeumiBank Leumitax violations2014NY-DFS$130,000,000
Citibank N.A.Citigroupprice-fixing or anti-competitive practices2018private lawsuit-federal$130,000,000
Royal Bank of Scotland plcNatWest Group PLCtoxic securities abuses2015NCUA$129,600,000
Mizuho Financial GroupMizuho Financialinvestor protection violation2012SEC$127,500,000
Ocwen Financial ServicesOcwen Financialmortgage 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. $127,300,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceinvestor protection violation2005SEC$125,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2003SEC$125,000,000
MoneyGram International Inc.MoneyGram Internationalanti-money-laundering deficiencies2018DOJ_CRIMINAL$125,000,000
AIM AdvisorsInvescoinvestor 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. $125,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceinvestor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
H&R Block, Inc.H&R Blockdiscriminatory practices (non-employment)2011MA-AG$125,000,000
Morgan StanleyMorgan 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. $125,000,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2017CA-AG$125,000,000
Merrill LynchBank of Americainvestor 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. $125,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2021SEC$125,000,000
Bank of America NABank of Americabanking violation2022OCC$125,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2022SEC$125,000,000
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2022SEC$125,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2022SEC$125,000,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2022SEC$125,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2022SEC$125,000,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2022SEC$125,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2022SEC$125,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor protection violation2022SEC$125,000,000
MetLife Home Loans LLCMetLifeFalse Claims Act and related2015DOJ_CIVIL$123,500,000
Societe GeneraleSociete Generaletoxic securities abuses2014FHFA$122,000,000
TD Bank, N.A.Toronto-Dominion Bankconsumer protection violation2020CFPB$122,000,000
Credit Suisse Securities (USA)Credit Suissetoxic securities abuses2012SEC$120,000,000
Goldman SachsGoldman Sachsprice-fixing or anti-competitive practices2016CFTC$120,000,000
Allstate InsuranceAllstatewage and hour violation2005private lawsuit-state$120,000,000
RBS Securities, Inc.NatWest Group PLCtoxic securities abuses2016CT-AG$120,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2018private lawsuit-federal$120,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2011SEC$118,000,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2016TX-INS$117,500,000
UBSUBSinvestor protection violation2010MI-AG$117,000,000
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$116,400,000
BarclaysBarclaysprice-fixing or anti-competitive practices2015CFTC$115,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.