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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$388,802,802,308
Number of Records: 7,734
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$87,294,650,890329
JPMorgan Chase$39,688,888,209277
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,780,502,443203
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
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
Buckeye TerminalsIFM Investorsair pollution violation2019CA-ARB$6,000
Vitol, Inc.Vitolair pollution violation2014CA-ARB$70,000
Trafigura Beheer B.V. AmsterdamTrafiguraair pollution violation2012CA-ARB$10,000
VitolVitolair pollution violation2007CA-ARB$150,000
GlencoreGlencoreair pollution violation2006CA-ARB$10,000
VitolVitolair pollution violation2005CA-ARB$20,000
Vitol S.A.Vitolair pollution violation2002CA-ARB$25,000
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusair pollution violation2010FL-DEP$14,600
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersair pollution violation2008FL-DEP$15,000
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusair pollution violation2006FL-DEP$7,200
WHEELABRATOR SOUTH BROWARD, INC.Macquarieair pollution violation2005FL-DEP$14,450
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusair pollution violation2005FL-DEP$8,500
Imperial-Savannah, L.P.Louis Dreyfusair pollution violation2012GA-ENV$6,000
RR DONNELLEY & SONSChatham Asset Managementair pollution violation2013IL-ENV$5,000
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusair pollution violation2016IN-ENV$8,750
BUCKEYE TERMINALS LLCIFM Investorsair pollution violation2016IN-ENV$49,750
BUCKEYE TERMINALS LLC - HAMMONDIFM Investorsair pollution violation2015IN-ENV$158,000
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusair pollution violation2013IN-ENV$7,750
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusair pollution violation2011IN-ENV$103,750
THE HENNEGAN COMPANYChatham Asset Managementair pollution violation2004KY-ENV$70,000
WHEELABRATOR BALTIMOREMacquarieair pollution violation2011MD-ENV$77,500
SYNAGRO-PATAPSCO PELLETIZERGoldman Sachsair pollution violation2008MD-ENV$27,000
WHEELABRATOR BALTIMOREMacquarieair pollution violation2003MD-ENV$17,500
BUCKEYE PIPE LINE COIFM Investorsair pollution violation2021NJ-ENV$16,000
WHEELABRATOR GLOUCESTER COMPANY L PMacquarieair pollution violation2017NJ-ENV$6,000
WHEELABRATOR GLOUCESTER COMPANY L PMacquarieair pollution violation2016NJ-ENV$12,900
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsair pollution violation2015NJ-ENV$13,000
BUCKEYE PIPE LINE CO LINDEN STATIONIFM Investorsair pollution violation2014NJ-ENV$5,000
BUCKEYE RARITAN BAY TERMINALIFM Investorsair pollution violation2013NJ-ENV$10,000
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsair pollution violation2012NJ-ENV$231,875
BUCKEYE PENNSAUKEN TERMINAL LLCIFM Investorsair pollution violation2012NJ-ENV$5,250
BUCKEYE PORT READING TERMINAL LLCIFM Investorsair pollution violation2012NJ-ENV$425,000
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.