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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
CITIGROUPCitigroupair pollution violation2010NJ-ENV$6,000
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsair pollution violation2009NJ-ENV$9,550
BUCKEYE PORT READING TERMINAL LLCIFM Investorsair pollution violation2009NJ-ENV$9,700
BUCKEYE PORT READING TERMINAL LLCIFM Investorsair pollution violation2009NJ-ENV$8,200
BUCKEYE PIPELINE CO LLPIFM Investorsair pollution violation2008NJ-ENV$10,000
BROADRIDGE FINANCIAL SOLUTIONS INCBroadridge Financial Solutionsair pollution violation2008NJ-ENV$6,500
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsair pollution violation2007NJ-ENV$5,700
BUCKEYE PORT READING TERMINAL LLCIFM Investorsair pollution violation2007NJ-ENV$11,760
BUCKEYE PENNSAUKEN TERMINAL LLCIFM Investorsair pollution violation2006NJ-ENV$28,200
BUCKEYE PORT READING TERMINAL LLCIFM Investorsair pollution violation2006NJ-ENV$20,005
BUCKEYE PORT READING TERMINAL LLCIFM Investorsair pollution violation2005NJ-ENV$103,600
BUCKEYE PIPELINE CO LLPIFM Investorsair pollution violation2005NJ-ENV$31,500
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieair pollution violation2001NJ-ENV$10,400
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieair pollution violation2001NJ-ENV$11,200
BUCKEYE PIPELINE CO LLPIFM Investorsair pollution violation2000NJ-ENV$14,000
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieair pollution violation2000NJ-ENV$11,600
Wheelabrator Falls Inc.Macquarieair pollution violation2005PA-ENV$106,849
IAC SPARTANBURG, INCInvescoair pollution violation2012SC-ENV$7,000
IAC Spartanburg, Inc.Invescoair pollution violation2015SC-ENV$58,000
Buckeye Terminals LLCIFM Investorsair pollution violation2013SC-ENV$15,000
Nyrstar ClarksvilleTrafiguraair pollution violation2019TN-ENV$181,482
Nyrstar ClarksvilleTrafiguraair pollution violation2019TN-ENV$622,389
Regions BankRegions Financialair pollution violation2017TN-ENV$20,750
Synagro Northeast, LLCGoldman Sachsair pollution violation2021EPA$373,660
The Gas Company, LLCMacquarieair pollution violation2021EPA$230,000
R. R. Donnelley & Sons CoChatham Asset Managementair pollution violation2017CA-SCAQMD$27,500
R. R. Donnelley & Sons Co.Chatham Asset Managementair pollution violation2013CA-SCAQMD$7,500
Wheelabrator Norwalk Energy Co. Inc.Macquarieair pollution violation2012CA-SCAQMD$8,900
Mercury Air CentersMacquarieair pollution violation2011CA-SCAQMD$5,500
Wheelabrator Norwalk Energy Co. Inc.Macquarieair pollution violation2009CA-SCAQMD$7,500
Bank of AmericaBank of Americaair pollution violation2007CA-SCAQMD$46,000
First American TitleFirst American Financialair pollution violation2006CA-SCAQMD$38,211
Mercury Air CentersMacquarieair pollution violation2006CA-SCAQMD$11,750
Wheelabrator Norwalk Energy Co. Inc.Macquarieair pollution violation2006CA-SCAQMD$9,000
Wedbush Morgan SecuritiesWedbush Securitiesair pollution violation2006CA-SCAQMD$5,000
Mercury Air CentersMacquarieair pollution violation2006CA-SCAQMD$10,000
Washington Mutual Bank, F. A.JPMorgan Chaseair pollution violation2005CA-SCAQMD$23,264
Transamerica OccidentalAegonair pollution violation2003CA-SCAQMD$5,438
First American Financial Corp.First American Financialair pollution violation2002CA-SCAQMD$6,500
Countrywide Home LoansBank of Americaair pollution violation2000CA-SCAQMD$5,000
Nyrstar Clarksville Inc.Trafiguraair pollution violation2023TN-ENV$17,500
R. R. Donnelley Seymour, Inc.Chatham Asset Managementair pollution violation2024IN-ENV$8,750
VISA U.S.A. Inc.Visaair pollution violation2024CO-DPHE$7,525
Nyrstar Clarksville Inc.Trafiguraair pollution violation2024TN-ENV$340,250
Buckeye Texas Hub LLCIFM Investorsair pollution violation2024TX-ENV$63,482
Buckeye Texas Processing LLCIFM Investorsair pollution violation2024TX-ENV$14,861
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
Royal Bank of CanadaRoyal Bank of Canadaaccounting fraud or deficiencies2023SEC$6,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.