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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $385,467,775,190
Number of Records: 7,525
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$87,248,751,230324
JPMorgan Chase$39,322,669,157272
UBS$31,059,299,125178
Wells Fargo$27,517,928,133261
Citigroup$26,945,611,792181
Deutsche Bank$20,006,467,56398
Goldman Sachs$17,729,327,552109
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,542,431,900198
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
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2013SEC$153,700,000
UBS SecuritiesUBStoxic securities abuses2013SEC$50,000,000
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2012SEC$296,900,000
Credit Suisse Securities (USA)UBStoxic securities abuses2012SEC$120,000,000
Wells FargoWells Fargotoxic securities abuses2012SEC$6,500,000
Option One Mortgage CorporationOcwen Financialtoxic securities abuses2012SEC$28,200,000
CitigroupCitigrouptoxic securities abuses2011SEC$285,000,000
Morgan Keegan & CompanyRaymond James Financialtoxic securities abuses2011SEC$200,000,000
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2011SEC$153,600,000
Wells Fargo Securities LLCWells Fargotoxic securities abuses2011SEC$11,000,000
Citigroup Inc.Citigrouptoxic securities abuses2010SEC$75,000,000
Goldman Sachs & Co.Goldman Sachstoxic securities abuses2010SEC$550,000,000
HSBC North America Holdings Inc.HSBCtoxic securities abuses2014FHFA$550,000,000
Goldman Sachs & Co.Goldman Sachstoxic securities abuses2014FHFA$3,150,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2014FHFA$99,500,000
First Horizon National CorporationFirst Horizon Nationaltoxic securities abuses2014FHFA$110,000,000
Barclays Bank PLCBarclaystoxic securities abuses2014FHFA$280,000,000
Bank of America CorporationBank of Americatoxic securities abuses2014FHFA$9,300,000,000
Credit SuisseUBStoxic securities abuses2014FHFA$885,000,000
Societe GeneraleSociete Generaletoxic securities abuses2014FHFA$122,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2014FHFA$1,250,000,000
Deutsche Bank AGDeutsche Banktoxic securities abuses2013FHFA$1,925,000,000
UBS Americas Inc.UBStoxic securities abuses2013FHFA$885,000,000
Wells FargoWells Fargotoxic securities abuses2013FHFA$591,000,000
Bank of AmericaBank of Americatoxic securities abuses2013FHFA$404,000,000
Wells Fargo Bank, National AssociationWells Fargotoxic securities abuses2013FHFA$869,000,000
Citimortgage Inc. and Citibank N.A.Citigrouptoxic securities abuses2013FHFA$395,000,000
SunTrust Mortgage, Inc.Truist Financialtoxic securities abuses2013FHFA$65,000,000
Bank of AmericaBank of Americatoxic securities abuses2011FHFA$1,300,000,000
Bank of AmericaBank of Americatoxic securities abuses2011FHFA$1,520,000,000
Bank of AmericaBank of Americatoxic securities abuses2013FHFA$10,350,000,000
CitigroupCitigrouptoxic securities abuses2013FHFA$968,000,000
UBSUBStoxic securities abuses2016NCUA$69,800,000
Credit SuisseUBStoxic securities abuses2016NCUA$50,300,000
Morgan StanleyMorgan Stanleytoxic securities abuses2015NCUA$225,000,000
WachoviaWells Fargotoxic securities abuses2015NCUA$53,000,000
Barclays Capital Inc.Barclaystoxic securities abuses2015NCUA$325,000,000
Royal Bank of Scotland plcNatWest Group PLCtoxic securities abuses2015NCUA$129,600,000
Bank of AmericaBank of Americatoxic securities abuses2013NCUA$165,000,000
HSBCHSBCtoxic securities abuses2012NCUA$5,250,000
CitigroupCitigrouptoxic securities abuses2011NCUA$20,500,000
Deutsche Bank SecuritiesDeutsche Banktoxic securities abuses2011NCUA$145,000,000
Fifth Third BancorpFifth Third Bancorptoxic securities abuses2015USAO$85,000,000
Deutsche Bank AGDeutsche Banktoxic securities abuses2012USAO$202,300,000
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc.Nomuratoxic securities abuses2016NCUA$3,000,000
Deutsche BankDeutsche Banktoxic securities abuses2017DOJ_CIVIL$7,200,000,000
Credit SuisseUBStoxic securities abuses2017DOJ_CIVIL$5,280,000,000
UBSUBStoxic securities abuses2017NCUA$445,000,000
Royal Bank of Scotland PLCNatWest Group PLCtoxic securities abuses2017FHFA$5,500,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2017USAO$44,000,000
Societe Generale S.A.Societe Generaletoxic securities abuses2017USAO$50,000,000
Ally Financial Inc.Ally Financialtoxic securities abuses2016USAO$52,000,000
Ambac Financial Group et al.Ambac Financialtoxic securities abuses2013USAO$101,900,000
Barclays Capital, Inc.Barclaystoxic securities abuses2018USAO$2,000,000,000
Royal Bank of Scotland Group plcNatWest Group PLCtoxic securities abuses2018DOJ_CIVIL$4,900,000,000
Wells Fargo Bank, N.A.Wells Fargotoxic securities abuses2018DOJ_CIVIL$2,090,000,000
HSBCHSBCtoxic securities abuses2018USAO$765,000,000
Barclays Bank PLCBarclaystoxic securities abuses2013MA-AG$36,100,000
Barclays Capital Inc.Barclaystoxic securities abuses2016VA-AG$9,000,000
CitigroupCitigrouptoxic securities abuses2008MA-AG$20,000,000
Citigroup Global Markets Inc.Citigrouptoxic securities abuses2016VA-AG$4,750,000
Citigroup Inc.Citigrouptoxic securities abuses2014MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $291,750,000
Comerica BankComericatoxic securities abuses2008MI-AG$110,000
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americatoxic securities abuses2016VA-AG$19,500,000
Credit Suisse Securities (USA) LLCUBStoxic securities abuses2016VA-AG$1,200,000
DB Structured Products, Inc.Deutsche Banktoxic securities abuses2013NV-AG$11,500,000
Deutsche BankDeutsche Banktoxic securities abuses2017MD-AG$95,000,000
Deutsche Bank Securities Inc.Deutsche Banktoxic securities abuses2016VA-AG$5,621,897
Goldman SachsGoldman Sachstoxic securities 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. $225,000,000
Goldman, Sachs & Co.Goldman Sachstoxic securities abuses2016VA-AG$2,900,000
HSBC Securities (USA) Inc.HSBCtoxic securities abuses2016VA-AG$2,500,000
J.P. Morgan Chase & Co.JPMorgan Chasetoxic securities abuses2013CA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $298,973,000
JPMorgan ChaseJPMorgan Chasetoxic securities 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. $1,066,000,000
Merrill LynchBank of Americatoxic securities abuses2009MA-AG$300,000
Merrill LynchBank of Americatoxic securities abuses2008MA-AG$13,700,000
Morgan StanleyMorgan Stanleytoxic securities abuses2016IL-AG$22,500,000
Morgan StanleyMorgan Stanleytoxic securities abuses2016NY-AG$550,000,000
Morgan Stanley & Co.Morgan Stanleytoxic securities abuses2010MA-AG$102,000,000
Morgan Stanley & Co.Morgan Stanleytoxic securities abuses2008MA-AG$1,500,000
Morgan Stanley & Co. LLCMorgan Stanleytoxic securities abuses2016VA-AG$6,900,000
Morgan Stanley Mortgage Capital HoldingsMorgan Stanleytoxic securities abuses2011NV-AG$28,200,000
RBS Financial ProductsNatWest Group PLCtoxic securities abuses2012NV-AG$42,000,000
RBS Financial Products Inc.NatWest Group PLCtoxic securities abuses2011MA-AG$52,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2016VA-AG$10,000,000
RBS Securities, Inc.NatWest Group PLCtoxic securities abuses2016CT-AG$120,000,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2017CA-AG$125,000,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2018IL-AG$20,000,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2018NY-AG$500,000,000
UBS Financial Services, Inc. and UBS Securities LLCUBStoxic securities abuses2008MA-AG$35,000,000
UBS Securities LLCUBStoxic securities abuses2018NY-AG$230,000,000
UBS Securities LLCUBStoxic securities abuses2016VA-AG$850,000
Wells FargoWells Fargotoxic securities abuses2018IL-AG$17,250,000
Morgan Keegan & CompanyRaymond James Financialtoxic securities abuses2013MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
RBS Financial Products, Inc.NatWest Group PLCtoxic securities abuses2020MD-AG$18,000,000
Barclays Capital Inc.Barclaystoxic securities abuses2021NM-AG$4,642,857
Citigroup Global Markets Inc.Citigrouptoxic securities abuses2021NM-AG$4,642,857
Goldman Sachs & Co. LLCGoldman Sachstoxic securities abuses2021NM-AG$4,642,857
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2021NM-AG$4,642,857
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americatoxic securities abuses2021NM-AG$4,642,857
NatWest Markets Securities Inc.NatWest Group PLCtoxic securities abuses2021NM-AG$4,642,857
Washington Mutual Mortgage Securities Corp.JPMorgan Chasetoxic securities abuses2021NM-AG$4,642,857
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.