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Violation Tracker Industry Summary Page
Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Companies | Total Penalty $ | Number of Records |
| Bank of America | $87,286,650,890 | 328 |
| JPMorgan Chase | $39,340,688,209 | 275 |
| UBS | $31,069,299,125 | 179 |
| Wells Fargo | $27,616,269,231 | 266 |
| Citigroup | $26,945,611,792 | 181 |
| Deutsche Bank | $20,011,467,563 | 99 |
| Goldman Sachs | $17,729,358,987 | 111 |
| NatWest Group PLC | $14,370,701,618 | 43 |
| Morgan Stanley | $10,780,502,443 | 203 |
| BNP Paribas | $10,363,464,666 | 23 |
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.
| Company | Current Parent | Primary Offense Type  | Year | Agency | Penalty Amount |
| RenaissanceRe Holdings Ltd. | RenaissanceRe Holdings | accounting fraud or deficiencies | 2007 | SEC | $15,000,000 |
| MBIA Inc. | MBIA | accounting fraud or deficiencies | 2007 | SEC | $50,000,000 |
| Federal National Mortgage Association (Fannie Mae) | Fannie Mae | accounting fraud or deficiencies | 2006 | SEC | $400,000,000 |
| Huntington Bancshares, Inc. | Huntington Bancshares | accounting fraud or deficiencies | 2005 | SEC | $7,500,000 |
| Canadian Imperial Bank of Commerce | Canadian Imperial Bank of Commerce | accounting fraud or deficiencies | 2003 | SEC | $80,000,000 |
| American International Group, Inc. | American International Group | accounting fraud or deficiencies | 2003 | SEC | $10,000,000 |
| Citigroup, Inc. | Citigroup | accounting fraud or deficiencies | 2003 | SEC | $101,000,000 |
| Citigroup, Inc. | Citigroup | accounting fraud or deficiencies | 2003 | SEC | $19,000,000 |
| J.P. Morgan Chase & Co. | JPMorgan Chase | accounting fraud or deficiencies | 2003 | SEC | $135,000,000 |
| Merrill Lynch & Co. Inc. | Bank of America | accounting fraud or deficiencies | 2003 | SEC | $80,000,000 |
| Park National Corporation | Park National Corp. | accounting fraud or deficiencies | 2016 | SEC | $500,000 |
| Credit Suisse AG | UBS | accounting fraud or deficiencies | 2016 | SEC | $90,000,000 |
| HomeStreet Inc | HomeStreet Inc. | accounting fraud or deficiencies | 2017 | SEC | $500,000 |
| Citigroup | Citigroup | accounting fraud or deficiencies | 2018 | SEC | $10,500,000 |
| Mercer | Marsh & McLennan | accounting fraud or deficiencies | 2010 | AK-AG | $500,000,000 |
| Citigroup, Inc. | Citigroup | accounting fraud or deficiencies | 2003 | NY-MANDA | $25,000,000 |
| J.P. Morgan Chase & Co. | JPMorgan Chase | accounting fraud or deficiencies | 2003 | NY-MANDA | $25,000,000 |
| TIAA-CREF Individual & Institutional Services LLC | TIAA | accounting fraud or deficiencies | 2021 | SEC | $97,000,000 |
| Royal Bank of Canada | Royal Bank of Canada | accounting fraud or deficiencies | 2023 | SEC | $6,000,000 |
