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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $380,111,147,460
Number of Records: 7,452
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$87,232,669,824317
JPMorgan Chase$38,995,648,319267
UBS$31,045,549,125177
Wells Fargo$27,517,918,911260
Citigroup$26,917,736,792179
Deutsche Bank$19,968,467,56396
Goldman Sachs$17,475,327,552105
NatWest Group PLC$14,349,701,61842
Morgan Stanley$10,535,931,900197
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 icon . YearAgencyPenalty Amount
Oppenheimer and Co., Inc.Oppenheimer Holdingsanti-money-laundering deficiencies2013FINRA$1,425,000
ScottradeCharles Schwab Corp.anti-money-laundering deficiencies2009FINRA$600,000
E-Trade Securities LLC and E-Trade Clearing LLCMorgan Stanleyanti-money-laundering deficiencies2009FINRA$1,000,000
Banc of America Investment Services Inc.Bank of Americaanti-money-laundering deficiencies2007FINRA$3,000,000
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022OCC$60,000,000
Wells Fargo AdvisorsWells Fargoanti-money-laundering deficiencies2022SEC$7,000,000
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022FINCEN$80,000,000
Danske Bank A/SDanske Bankanti-money-laundering deficiencies2022DOJ_CRIMINAL$2,000,000,000
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
Coinbase Inc.Coinbase Global Inc.anti-money-laundering deficiencies2023NY-DFS$100,000,000
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2023FED$186,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americaanti-money-laundering deficiencies2023FINRA$6,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaanti-money-laundering deficiencies2023SEC$6,000,000
Wells Fargo & CompanyWells FargoAmericans with Disabilities Act2011DOJ_RIGHTS$16,055,000
Bank of America, N.A.Bank of AmericaAmericans with Disabilities Act2020DOJ_RIGHTS$300,000
Wells FargoWells FargoAmericans with Disabilities Act2023USAO$10,000
Fifth Third BancorpFifth Third Bancorpaccounting fraud or deficiencies2013SEC$6,500,000
JPMorgan & Co.JPMorgan Chaseaccounting fraud or deficiencies2013SEC$200,000,000
Capital One Financial CorporationCapital One Financialaccounting fraud or deficiencies2013SEC$3,500,000
Deutsche Bank SecuritiesDeutsche Bankaccounting fraud or deficiencies2014CFTC$3,000,000
JPMorgan Chase BankJPMorgan Chaseaccounting fraud or deficiencies2012CFTC$20,000,000
INTL FCStoneStoneX Groupaccounting fraud or deficiencies2016SEC$150,000
KeyBanc Capital Markets Inc.KeyCorpaccounting fraud or deficiencies2016SEC$175,000
Ocwen Financial Corp.Ocwen Financialaccounting fraud or deficiencies2016SEC$2,000,000
First BancorpFirst Bancorp (North Carolina)accounting fraud or deficiencies2015SEC$275,000
Hampton Roads BanksharesAtlantic Union Banksharesaccounting fraud or deficiencies2014SEC$200,000
Wilmington TrustM&T Bankaccounting fraud or deficiencies2014SEC$18,500,000
Assurant Inc.Assurantaccounting fraud or deficiencies2010SEC$3,500,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2006DOJ_CRIMINAL$25,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2004DOJ_CRIMINAL$80,000,000
PNC ICLC Corp.PNC Financial Servicesaccounting fraud or deficiencies2003DOJ_CRIMINAL$115,000,000
Zurich Financial ServicesZurich Insuranceaccounting fraud or deficiencies2008SEC$25,000,000
First BanCorpFirst Bancorp (Puerto Rico)accounting fraud or deficiencies2007SEC$8,500,000
The BISYS GroupCitigroupaccounting fraud or deficiencies2007SEC$25,000,000
RenaissanceRe Holdings Ltd.RenaissanceRe Holdingsaccounting fraud or deficiencies2007SEC$15,000,000
MBIA Inc.MBIAaccounting fraud or deficiencies2007SEC$50,000,000
Federal National Mortgage Association (Fannie Mae)Fannie Maeaccounting fraud or deficiencies2006SEC$400,000,000
Huntington Bancshares, Inc.Huntington Bancsharesaccounting fraud or deficiencies2005SEC$7,500,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceaccounting fraud or deficiencies2003SEC$80,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2003SEC$10,000,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003SEC$101,000,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003SEC$19,000,000
J.P. Morgan Chase & Co.JPMorgan Chaseaccounting fraud or deficiencies2003SEC$135,000,000
Merrill Lynch & Co. Inc.Bank of Americaaccounting fraud or deficiencies2003SEC$80,000,000
Park National CorporationPark National Corp.accounting fraud or deficiencies2016SEC$500,000
Credit Suisse AGUBSaccounting fraud or deficiencies2016SEC$90,000,000
HomeStreet IncHomeStreet Inc.accounting fraud or deficiencies2017SEC$500,000
CitigroupCitigroupaccounting fraud or deficiencies2018SEC$10,500,000
MercerMarsh & McLennanaccounting fraud or deficiencies2010AK-AG$500,000,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003NY-MANDA$25,000,000
J.P. Morgan Chase & Co.JPMorgan Chaseaccounting fraud or deficiencies2003NY-MANDA$25,000,000
TIAA-CREF Individual & Institutional Services LLCTIAAaccounting fraud or deficiencies2021SEC$97,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.