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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,002,583,076
Number of Records: 6,975
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$82,898,016,192264
JPMorgan Chase$36,127,193,625218
Citigroup$25,540,645,217156
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
UBS$16,879,318,334102
Goldman Sachs$16,399,485,79387
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,148,363,95019
Credit Suisse$10,732,400,12649

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
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) LLCCredit Suissetoxic 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
Cleco PowerMacquarieutility administrative violation2004LA-PSC$18,000,000
El Paso Electric CompanyJPMorgan Chaseutility administrative violation2010NM-PRC$5,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2018TX-PUC$20,000
Credit Suisse Energy LLCCredit Suisseutility service violation2017TX-PUC$7,500
El Paso Electric CompanyJPMorgan Chaseutility service violation2016TX-PUC$7,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2015TX-PUC$6,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2014TX-PUC$9,000
Morgan Stanley Capital GroupMorgan Stanleyutility service violation2014TX-PUC$18,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$18,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$18,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$27,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2010TX-PUC$38,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2010TX-PUC$50,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2009TX-PUC$100,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2006TX-PUC$27,000
Citigroup Technology IncCitigroupwage and hour violation2016WHD$1,967,689
U.S. BankU.S. Bancorpwage and hour violation2008WHD$140,787
H & R BlockH&R Blockwage and hour violation2015WHD$257,577
Transamerica Life Insurance CompanyAegonwage and hour violation2015WHD$70,143
GUARANTEED RATE, INC.Guaranteed Rate Inc.wage and hour violation2015WHD$12,548
Prospect MortgageHomebridge Financial Serviceswage and hour violation2015WHD$211,237
Bank of the WestBNP Paribaswage and hour violation2015WHD$33,750
Central Payment Co., LLCGlobal Payments Inc.wage and hour violation2014WHD$29,634
Central Payment Co., LLCGlobal Payments Inc.wage and hour violation2014WHD$13,560
BancFirst Insurance Services, Inc.BancFirstwage and hour violation2014WHD$20,229
Total System Services IncGlobal Payments Inc.wage and hour violation2014WHD$32,095
H & R BlockH&R Blockwage and hour violation2014WHD$128,872
H&R Block Eastern Enterprises IncH&R Blockwage and hour violation2014WHD$24,928
National Life Insurance CompanyNational Life Groupwage and hour violation2014WHD$32,087
TMX Finance, LLCTMX Financewage and hour violation2014WHD$10,057
Highmark, IncHighmark Inc.wage and hour violation2014WHD$120,900
The Huntington National BankHuntington Bancshareswage and hour violation2013WHD$32,553
Chemoil CorporationGlencorewage and hour violation2013WHD$16,594
UBS, Inc.UBSwage and hour violation2013WHD$90,902
MetLife, Inc.MetLifewage and hour violation2013WHD$24,296
United American Insurance CompanyGlobe Life Inc.wage and hour violation2012WHD$19,791
Ace Cash Express, Inc.ACE Cash Expresswage and hour violation2012WHD$18,852
First Republic BankFirst Republic Bankwage and hour violation2012WHD$1,009,644
SunTrust Mortgage Inc.Truist Financialwage and hour violation2012WHD$51,518
Popular Mortgage, Inc.Popular Inc.wage and hour violation2011WHD$153,736
Popular Mortgage, Inc.Popular Inc.wage and hour violation2011WHD$122,762
Branch Banking and Trust CompanyTruist Financialwage and hour violation2011WHD$12,314
BB&TTruist Financialwage and hour violation2011WHD$43,662
The Federal Home Loan Mortgage CorporationFreddie Mac (Federal Home Loan Mortgage Corporation)wage and hour violation2011WHD$24,153
Nationwide InsuranceNationwidewage and hour violation2011WHD$13,331
Wells Fargo Bank NAWells Fargowage and hour violation2011WHD$31,770
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$565,065
Prospect Mortgage LLCHomebridge Financial Serviceswage and hour violation2010WHD$13,728
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.