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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 .
BNP ParibasBNP ParibasFalse Claims Act and related2014DOJ_CIVIL$80,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2004DOJ_CRIMINAL$80,000,000
Strong Capital Management, Inc.Wells Fargoinvestor protection violation2004SEC$80,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceaccounting fraud or deficiencies2003SEC$80,000,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2003SEC$80,000,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2003SEC$80,000,000
UBS Warburg LLCUBSinvestor protection violation2003SEC$80,000,000
Merrill Lynch & Co. Inc.Bank of Americaaccounting fraud or deficiencies2003SEC$80,000,000
ACE, LtdChubb Limitedprice-fixing or anti-competitive practices2006MULTI-AG$80,000,000
Bear Stearns & Co. LLCJPMorgan Chaseinvestor 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. $80,000,000
Deutsche BankDeutsche Bankinvestor protection violation2002MULTI-AG$80,000,000
J.P. Morgan Chase & Co.JPMorgan Chaseinvestor 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. $80,000,000
UBS Warburg LLCUBSinvestor 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. $80,000,000
Capital One Bank (USA), National AssociationCapital One Financialbanking violation2020OCC$80,000,000
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022FINCEN$80,000,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2020private lawsuit-federal$80,000,000
Wells Fargo & CompanyWells Fargobenefit plan administrator violation2020private lawsuit-federal$79,000,000
Bank Julius Baer & Co. Ltd.Julius Baer Groupmoney laundering2021DOJ_CRIMINAL$79,000,000
MetLife BankMetLifebanking violation2013OCC$78,536,455
Coutts & Co LtdNatWest Group PLCtax violations2015DOJ_TAX$78,484,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$77,400,000
Swiss Life Holding AG et al.Swiss Life Grouptax violations2021DOJ_TAX$77,374,337
OppenheimerFunds, Inc.Invescoinvestor protection violation2009IL-AG$77,230,000
St. Paul TravelersTravelersprice-fixing or anti-competitive practices2006MULTI-AG$77,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2017private lawsuit-federal$77,000,000
General American Life Insurance Company, Inc.MetLifeFalse Claims Act and related2002DOJ_CIVIL$76,000,000
State Street Bank and Trust Co.State Street Corp.investor protection violation2016MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,500,000
Citigroup Inc.Citigrouptoxic securities abuses2010SEC$75,000,000
J.P. Morgan Securities Inc.JPMorgan Chasekickbacks and bribery2009SEC$75,000,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2004SEC$75,000,000
U.S. Bank National AssociationU.S. Bancorpanti-money-laundering deficiencies2018OCC$75,000,000
Merrill Lynch & Co., Inc.Bank of Americabenefit plan administrator violation2009private lawsuit-federal$75,000,000
JPMorgan ChaseJPMorgan Chaseprice-fixing or anti-competitive practices2011MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000
Credit Suisse First Boston LLCCredit Suisseinvestor 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. $75,000,000
JPMorgan ChaseJPMorgan Chasebenefit plan administrator violation2019private lawsuit-federal$75,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2021CFTC$75,000,000
Barclays Bank PLCBarclaysinvestor protection violation2022CFTC$75,000,000
Citibank N.A.Citigroupinvestor protection violation2022CFTC$75,000,000
Credit SuisseCredit Suisseinvestor protection violation2022CFTC$75,000,000
Deutsche BankDeutsche Bankinvestor protection violation2022CFTC$75,000,000
Goldman SachsGoldman Sachsinvestor protection violation2022CFTC$75,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2022CFTC$75,000,000
UBS AGUBSinvestor protection violation2022CFTC$75,000,000
Nationstar Mortgage, LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2020CFPB$74,500,000
PHH Corp.Ocwen FinancialFalse Claims Act and related2017DOJ_CIVIL$74,453,802
State FarmState Farm Insuranceconsumer protection violation2008MS-AG$74,000,000
Premera Blue CrossPremera Blue Crossprivacy violation2020private lawsuit-federal$74,000,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2018SEC$73,200,000
Bank of AmericaBank of Americawage and hour violation2013private lawsuit-federal$73,000,000
Capital OneCapital One Financialprivacy violation2015private lawsuit-federal$73,000,000
Wells Fargo Bank, N.A.Wells Fargobanking violation2021USAO$72,600,000
MasterCard Inc.MasterCardprice-fixing or anti-competitive practices2009private lawsuit-federal$72,480,000
Federated Investors, Inc.Federated Hermesinvestor protection violation2005SEC$72,000,000
JPMorgan SecuritiesJPMorgan Chasekickbacks and bribery2016DOJ_CRIMINAL$72,000,000
Allstate Texas Lloyd'sAllstateinsurance violation2008TX-INS$71,300,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2017private lawsuit-federal$71,000,000
Franklin American Mortgage CompanyCitizens Financial Groupmortgage abuses2015DOJ_CIVIL$70,000,000
Wells Fargo Bank, N.A.Wells Fargobanking violation2016OCC$70,000,000
Citigroup Inc.Citigroupbanking violation2004FED$70,000,000
Citibank N.A.Citigroupanti-money-laundering deficiencies2018OCC$70,000,000
Deutsche Bank Securities Inc.Deutsche Bankprice-fixing or anti-competitive practices2018CFTC$70,000,000
U.S. Bank National AssociationU.S. Bancorpanti-money-laundering deficiencies2018FINCEN$70,000,000
ACE American Insurance Company ET AL.Chubb LimitedFalse Claims Act and related2010NY-AG$70,000,000
UBSUBStoxic securities abuses2016NCUA$69,800,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2021FINRA$69,600,000
American ExpressAmerican Expressconsumer protection violation2013CFPB$69,100,000
Marsh & McLennan Companies Inc.Marsh & McLennanprice-fixing or anti-competitive practices2009private lawsuit-federal$69,000,000
American Skandia Investment Services, Inc.Prudential Financialinvestor protection violation2009SEC$68,000,000
UBS AGUBSprice-fixing or anti-competitive practices2018MULTI-AG$68,000,000
Wells Fargo & Co.Wells Fargobanking violation2023FED$67,762,500
St. Paul Travelers Companies Inc.Travelersinvestor protection violation2005NM-AG$67,500,000
OppenheimerFundsInvescoinvestor protection violation2010NM-AG$67,300,000
Bank of AmericaBank of Americaprice-fixing or anti-competitive practices2010MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $67,000,000
Goldman SachsGoldman Sachsprice-fixing or anti-competitive practices2015private lawsuit-federal$67,000,000
Knight Securities, L.P.Virtu Financialinvestor protection violation2004SEC$66,500,000
SunTrust Mortgage, Inc.Truist Financialtoxic securities abuses2013FHFA$65,000,000
ServiceLink Holdings, LLCFidelity National Financialbanking violation2017FED$65,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseprice-fixing or anti-competitive practices2018CFTC$65,000,000
Wells Fargo & CompanyWells Fargoinvestor protection violation2018NY-AG$65,000,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2020SEC$65,000,000
Legg Mason Inc.Franklin ResourcesForeign Corrupt Practices Act2018DOJ_CRIMINAL$64,200,000
M&T Bank Corp.M&T BankFalse Claims Act and related2016DOJ_CIVIL$64,000,000
Comenity Bank and Comenity Capital BankBread Financial Holdingsbanking violation2015FDIC$63,950,000
Green Tree Servicing LLCDitech Holding Corporationconsumer protection violation2015FTC$63,000,000
Morgan Stanley & Co. LLCMorgan Stanleytoxic securities abuses2016FDIC$62,950,000
Wells Fargo Bank N.A.Wells Fargobenefit plan administrator violation2014private lawsuit-federal$62,500,000
JPMorgan Chase & Co.JPMorgan Chasebanking violation2016FED$61,900,000
Bank of Nova ScotiaScotiabankprice-fixing or anti-competitive practices2020DOJ_CRIMINAL$60,400,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2013OCC$60,000,000
Sallie Mae Inc.SLM Corp.consumer protection violation2014DOJ_RIGHTS$60,000,000
State Street CorporationState Street Corp.benefit plan administrator violation2016private lawsuit-federal$60,000,000
Goldman Sachs & Co.Goldman Sachsmortgage abuses2009MA-AG$60,000,000
Wachovia SecuritiesWells Fargoinvestor protection violation2008MULTI-AG$60,000,000
Western UnionWestern Unionanti-money-laundering deficiencies2018NY-DFS$60,000,000
American-Amicable Life Insurance CompanyAmerican-Amicable Groupinsurance violation2006MULTI-FIN$60,000,000
Morgan Stanley Bank, N.A.Morgan Stanleybanking violation2020OCC$60,000,000
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022OCC$60,000,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2022private lawsuit-federal$60,000,000
BNP Paribas (Suisse) SABNP Paribastax violations2015DOJ_TAX$59,783,000
HSBCHSBCmortgage abuses2016MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $59,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.