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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $394,326,371,910
Number of Records: 7,908
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$27,616,269,231266
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$10,907,502,443205
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
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
UBS AGUBStoxic securities abuses2023DOJ_CIVIL$1,435,000,000
Farmers Insurance Exchange, Truck Insurance Exchange and Fire Insurance ExchangeFarmers Insurance Exchangetelecommunications violation2015MO-AG$575,000
Deutsche Bank AGDeutsche Banktax violations2010USAO$553,633,153
Bank Julius Baer & Co. Ltd.Julius Baer Grouptax violations2016DOJ_TAX$547,000,000
Union Bancaire PriveeUnion Bancaire Priveetax violations2016DOJ_TAX$187,000,000
Coutts & Co LtdUnion Bancaire Priveetax violations2015DOJ_TAX$78,484,000
Credit Agricole (Suisse) SACredit Agricoletax violations2015DOJ_TAX$99,211,000
Deutsche Bank (Suisse) SADeutsche Banktax violations2015DOJ_TAX$31,026,000
BNP Paribas (Suisse) SABNP Paribastax violations2015DOJ_TAX$59,783,000
Standard Chartered Bank (Switzerland) SA, en liquidationStandard Charteredtax violations2015DOJ_TAX$6,337,000
BBVA Suiza S.A.Banco Bilbao Vizcaya Argentariatax violations2015DOJ_TAX$10,390,000
Societe Generale Private Banking (Suisse) SASociete Generaletax violations2015DOJ_TAX$17,807,000
Societe Generale Private Banking (Lugano-Svizzera)Societe Generaletax violations2015DOJ_TAX$1,363,000
Bank Leumi GroupBank Leumitax violations2014DOJ_TAX$270,000,000
Credit Suisse AGUBStax violations2014DOJ_TAX$1,800,000,000
UBS AGUBStax violations2009DOJ_TAX$780,000,000
UBS AGUBStax violations2009SEC$200,000,000
Louis Dreyfus Commodities Grand Junction LLCLouis Dreyfustax violations2017ATTTB$14,000
Deutsche BankDeutsche Banktax violations2017USAO$95,000,000
Zurich Life Insurance Company LtdZurich Insurancetax violations2019DOJ_TAX$5,115,000
American Express Centurion BankAmerican Expresstax violations2012CT-AG$14,970
American International Group, Inc.American International Grouptax violations2006MI-AG$5,279,484
Brown & Brown Insurance of Arizona, Inc.Brown & Browntax violations2014CT-AG$37,650
John Hancock Assignment Co.Manulife Financialtax violations2014CT-AG$38,910
Pacific Resources Benefits Advisors, LLCBrown & Browntax violations2014CT-AG$5,400
Pioneer Credit Recovery, Inc.Navienttax violations2013CT-AG$12,255
HSBC Private Bank (Suisse) SAHSBCtax violations2019USAO$192,350,000
Union Bancaire Privee, UBP SAUnion Bancaire Priveetax violations2020DOJ_TAX$14,000,000
Coutts & Co Ltd.Union Bancaire Priveetax violations2019DOJ_TAX$27,900,000
Bank Hapoalim B.M,Bank Hapoalimtax violations2020FED$37,350,000
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd.Bank Hapoalimtax violations2020DOJ_TAX$616,910,000
Credit Suisse AGUBStax violations2014NY-DFS$715,000,000
Bank LeumiBank Leumitax violations2014NY-DFS$130,000,000
Bank Hapoalim B.M.Bank Hapoalimtax violations2020NY-DFS$220,000,000
Swiss Life Holding AG et al.Swiss Life Grouptax violations2021DOJ_TAX$77,374,337
THE HENNEGAN COChatham Asset Managementsolid waste violation2016KY-ENV$5,000
Courier Printing CompanyChatham Asset Managementsolid waste violation2016TN-ENV$8,555
JPMorgan ChaseJPMorgan Chasesexual exploitation of minors2023private lawsuit-federal$290,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americasecurities issuance or trading violation2018FINRA$5,990,530
Carolina Coastal Railway3i Infrastructure PLCrailroad safety violation2014FRA$5,250
Carolina Coastal Railway3i Infrastructure PLCrailroad safety violation2012FRA$5,000
East Penn Railroad3i Infrastructure PLCrailroad safety violation2010FRA$6,200
Florida Central Railroad3i Infrastructure PLCrailroad safety violation2013FRA$6,800
Indiana Eastern Railroad3i Infrastructure PLCrailroad safety violation2013FRA$5,300
Middletown & New Jersey Railroad3i Infrastructure PLCrailroad safety violation2013FRA$6,000
Buckeye PartnersIFM Investorsrailroad safety violation2011FRA$7,500
Buckeye PartnersIFM Investorsrailroad safety violation2014FRA$50,000
Noble Americas Corp.Vitolrailroad safety violation2012FRA$15,000
Nyrstar Clarksville, Inc.Trafigurarailroad safety violation2010FRA$5,000
Peter Cremer CompanyCremerrailroad safety violation2011FRA$5,000
Peter Cremer CompanyCremerrailroad safety violation2013FRA$8,000
Xstrata CopperGlencorerailroad safety violation2011FRA$7,500
Xstrata CopperGlencorerailroad safety violation2012FRA$12,000
NYRSTAR CLARKSVILLE, INC.Trafigurarailroad safety violation2009FRA$10,000
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2016FRA$6,000
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2017FRA$8,250
Buckeye PartnersIFM Investorsrailroad safety violation2017FRA$10,000
East Penn Railroad LLC3i Infrastructure PLCrailroad safety violation2017FRA$5,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$7,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.