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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $394,610,993,640
Number of Records: 7,983
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$87,299,969,499332
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,617,269,231267
Citigroup$27,081,211,792183
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,909,502,443206
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 Type sort iconYearAgencyPenalty Amount
Citigroup, N. A.Citigroupeconomic sanction violation2008OFAC$16,250
Key Bank National AssociationKeyCorpeconomic sanction violation2008OFAC$200,000
American Express Travel Related Services Co., Inc.American Expresseconomic sanction violation2007OFAC$16,625
National Australia Bank Ltd.National Australia Bankeconomic sanction violation2007OFAC$100,000
Wachovia BankWells Fargoeconomic sanction violation2007OFAC$11,000
ABN AMRO Bank, N.V.ABN AMROeconomic sanction violation2006OFAC$40,000,000
Bank of ChinaBank of Chinaeconomic sanction violation2005OFAC$11,000
Fidelity Brokerage Services, Inc. dba Fidelity InvestmentsFidelity Investmentseconomic sanction violation2005OFAC$63,853
PNC BankPNC Financial Serviceseconomic sanction violation2005OFAC$8,200
Seabury & Smith Inc.Marsh & McLennaneconomic sanction violation2005OFAC$46,341
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$40,423
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$30,800
The Bank of New YorkBank of New York Melloneconomic sanction violation2005OFAC$5,844
Union Bank of CaliforniaU.S. Bancorpeconomic sanction violation2005OFAC$5,500
Wachovia BankWells Fargoeconomic sanction violation2005OFAC$5,500
Wells Fargo BankWells Fargoeconomic sanction violation2005OFAC$42,833
ABN AMRO Bank, IncABN AMROeconomic sanction violation2004OFAC$25,847
American ExpressAmerican Expresseconomic sanction violation2004OFAC$18,391
American Express Bank Ltd.American Expresseconomic sanction violation2004OFAC$5,041
American Express CompanyAmerican Expresseconomic sanction violation2004OFAC$5,500
Arab Banking Corp.Arab Banking Corp.economic sanction violation2004OFAC$5,500
Banco de ChileBanco de Chileeconomic sanction violation2004OFAC$5,500
Banco do BrasilBanco do Brasileconomic sanction violation2004OFAC$10,162
Bank of AmericaBank of Americaeconomic sanction violation2004OFAC$13,573
Bank of ChinaBank of Chinaeconomic sanction violation2004OFAC$10,000
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$137,500
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$34,623
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$27,500
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$5,500
Bank OneJPMorgan Chaseeconomic sanction violation2004OFAC$5,500
Bank OneJPMorgan Chaseeconomic sanction violation2004OFAC$6,682
Barclays Bank PLCBarclayseconomic sanction violation2004OFAC$14,970
California United BankPacWest Bancorpeconomic sanction violation2004OFAC$7,250
CitibankCitigroupeconomic sanction violation2004OFAC$5,500
Citicorp Vendor Finance LtdCitigroupeconomic sanction violation2004OFAC$7,379
Commerzbank AGCommerzbankeconomic sanction violation2004OFAC$5,500
Deutsche BankDeutsche Bankeconomic sanction violation2004OFAC$5,500
First Union BankWells Fargoeconomic sanction violation2004OFAC$18,740
Hanmi BankHanmi Financial Corp.economic sanction violation2004OFAC$7,000
HSBC Bank USAHSBCeconomic sanction violation2004OFAC$5,500
HSBC Bank USAHSBCeconomic sanction violation2004OFAC$8,375
JP Morgan ChaseJPMorgan Chaseeconomic sanction violation2004OFAC$26,980
JP Morgan Chase & Co.JPMorgan Chaseeconomic sanction violation2004OFAC$17,303
JP Morgan Chase & Co.JPMorgan Chaseeconomic sanction violation2004OFAC$73,281
JP Morgan Chase BankJPMorgan Chaseeconomic sanction violation2004OFAC$9,748
JP Morgan Chase BankJPMorgan Chaseeconomic sanction violation2004OFAC$18,094
Mellon Bank N.A.Bank of New York Melloneconomic sanction violation2004OFAC$10,400
Merrill Lynch, Pierce, Fenner & Smith, IncBank of Americaeconomic sanction violation2004OFAC$22,904
Ruesch International, Inc.Western Unioneconomic sanction violation2004OFAC$7,811
Santander Bank & Trust (Bahamas) LtdBanco Santandereconomic sanction violation2004OFAC$20,000
Wachovia BankWells Fargoeconomic sanction violation2004OFAC$11,000
Banco Bradesco S.ABanco Bradescoeconomic sanction violation2003OFAC$9,000
Bancomer S.A.Banco Bilbao Vizcaya Argentariaeconomic sanction violation2003OFAC$5,000
Bank of AmericaBank of Americaeconomic sanction violation2003OFAC$158,038
Bank of New YorkBank of New York Melloneconomic sanction violation2003OFAC$24,750
Barclays Bank PLCBarclayseconomic sanction violation2003OFAC$10,107
Credit Lyonnais, NYCredit Agricoleeconomic sanction violation2003OFAC$5,500
Deutsche Bank A.G.Deutsche Bankeconomic sanction violation2003OFAC$5,500
Guy Carpenter & Company, IncMarsh & McLennaneconomic sanction violation2003OFAC$50,000
HSBC Bank USAHSBCeconomic sanction violation2003OFAC$5,500
HSBC Bank USAHSBCeconomic sanction violation2003OFAC$11,000
National City BankPNC Financial Serviceseconomic sanction violation2003OFAC$5,500
Northern Trust, IBCNorthern Trusteconomic sanction violation2003OFAC$18,027
Societe GeneraleSociete Generaleeconomic sanction violation2003OFAC$6,600
Societe GeneraleSociete Generaleeconomic sanction violation2003OFAC$11,000
State Bank of IndiaState Bank of Indiaeconomic sanction violation2003OFAC$5,500
State Street Bank & Trust CoState Street Corp.economic sanction violation2003OFAC$22,000
UBS (USA) IncUBSeconomic sanction violation2003OFAC$14,750
UBS (USA) IncUBSeconomic sanction violation2003OFAC$5,000
Union Bank of CAU.S. Bancorpeconomic sanction violation2003OFAC$14,913
Union Bank of CAU.S. Bancorpeconomic sanction violation2003OFAC$12,000
Wells Fargo BankWells Fargoeconomic sanction violation2003OFAC$5,500
Toronto-Dominion BankToronto-Dominion Bankeconomic sanction violation2017OFAC$516,105
American International GroupAmerican International Groupeconomic sanction violation2017OFAC$148,698
American ExpressAmerican Expresseconomic sanction violation2017OFAC$204,277
Credit Agricole Corporate and Investment Bank (CACIB)Credit Agricoleeconomic sanction violation2015USAO$156,000,000
Societe Generale S.A.Societe Generaleeconomic sanction violation2018FED$81,300,000
Societe Generale S.A.Societe Generaleeconomic sanction violation2018USAO$717,200,000
Societe Generale S.A.Societe Generaleeconomic sanction violation2018OFAC$53,966,916
JPMorgan Chase Bank, N.A.JPMorgan Chaseeconomic sanction violation2018OFAC$5,263,171
UniCredit GroupUniCrediteconomic sanction violation2019DOJ_CRIMINAL$413,536,632
Standard Chartered BankStandard Charteredeconomic sanction violation2019DOJ_CRIMINAL$292,210,160
Western Union Financial Services, Inc.Western Unioneconomic sanction violation2019OFAC$401,697
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
UniCredit Bank Austria 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. $20,326,340
UniCredit S.p.A.UniCrediteconomic 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. $37,316,322
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
Citigroup Inc.Citigroupeconomic sanction violation2014OFAC$217,841
Branch Banking & Trust Co.Truist Financialeconomic sanction violation2014OFAC$19,125
American International Group, Inc.American International Groupeconomic sanction violation2014OFAC$279,038
HSBC Bank USA, N.A.HSBCeconomic sanction violation2013OFAC$32,400
Compass BankPNC Financial Serviceseconomic sanction violation2013OFAC$19,125
Deutsche Bank Trust Company AmericasDeutsche Bankeconomic sanction violation2013OFAC$19,800
American Express Travel Related Services Company, Inc.American Expresseconomic sanction violation2013OFAC$5,226,120
Intesa Sanpaolo S.p.A.Intesa Sanpaoloeconomic sanction violation2013OFAC$2,949,030
Wells Fargo Bank, N.A.Wells Fargoeconomic sanction violation2013OFAC$23,937
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupeconomic sanction violation2012OFAC$8,571,634
Commerzbank AGCommerzbankeconomic sanction violation2011OFAC$175,500
Societe GeneraleSociete Generaleeconomic sanction violation2011OFAC$111,259
McGriff, Seibels & Williams of Texas, Inc.Truist Financialeconomic sanction violation2011OFAC$122,408
Metropolitan Life Insurance CompanyMetLifeeconomic sanction violation2011OFAC$22,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.