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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 CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
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$14,370,701,61843
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 TypeYear sort iconAgencyPenalty Amount
Deutsche Bank AG and Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2018CFTC$30,000,000
US BancorpU.S. Bancorpbanking violation2018FED$15,000,000
BNP Paribas USA Inc.BNP Paribasprice-fixing or anti-competitive practices2018DOJ_ANTITRUST$90,000,000
Rabobank National AssociationRabobankanti-money-laundering deficiencies2018DOJ_CRIMINAL$368,701,259
U.S. BancorpU.S. Bancorpanti-money-laundering deficiencies2018USAO$453,000,000
Rabobank, National AssociationRabobankanti-money-laundering deficiencies2018OCC$50,000,000
U.S. Bank National AssociationU.S. Bancorpanti-money-laundering deficiencies2018OCC$75,000,000
Voya Holdings Inc.Voya Financialinvestor protection violation2018SEC$3,600,000
Merrill Lynch, Pierce, Fenner & Smith IncBank of Americainvestor protection violation2018SEC$1,404,000
New York Stock ExchangeIntercontinentalExchange Groupinvestor protection violation2018SEC$14,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2018SEC$4,450,000
Ameriprise Financial ServicesAmeriprise Financialinvestor protection violation2018SEC$230,000
U.S. Bank National AssociationU.S. Bancorpanti-money-laundering deficiencies2018FINCEN$70,000,000
PNC Investments LLCPNC Financial Servicesinvestor protection violation2018SEC$7,307,770
Barclays Capital, Inc.Barclaystoxic securities abuses2018USAO$2,000,000,000
Wells Fargo Bank N.A.Wells Fargobanking violation2018OCC$500,000,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2018CFPB$500,000,000
Goldman Sachs Group, Inc.Goldman Sachsinvestor protection violation2018FED$54,750,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2018private lawsuit-federal$3,000,000
Wells FargoWells Fargowage and hour violation2018private lawsuit-state$27,500,000
JPMorgan ChaseJPMorgan Chasewage and hour violation2018private lawsuit-federal$8,333,333
BB&TTruist Financialwage and hour violation2018private lawsuit-federal$72,336
BNP Paribas Securities Corp.BNP Paribasprice-fixing or anti-competitive practices2018CFTC$90,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseprice-fixing or anti-competitive practices2018CFTC$65,000,000
Societe Generale S.A.Societe Generaleprice-fixing or anti-competitive practices2018CFTC$475,000,000
TCF National BankHuntington Bancsharesconsumer protection violation2018CFPB$28,000,000
Citibank, N.A.Citigroupconsumer protection violation2018CFPB$335,000,000
CitigroupCitigroupbanking violation2018FED$8,600,000
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
Credit Suisse (Hong Kong) LimitedUBSForeign Corrupt Practices Act2018DOJ_CRIMINAL$47,029,916
Societe Generale S.A.Societe GeneraleForeign Corrupt Practices Act2018DOJ_CRIMINAL$860,000,000
Legg Mason Inc.Franklin ResourcesForeign Corrupt Practices Act2018DOJ_CRIMINAL$64,200,000
Rabobank N.A.Rabobankanti-money-laundering deficiencies2018USAO$500,000
UBS Financial Services Inc.UBSwage and hour violation2018WHD$6,246
TCF National BankHuntington Bancsharesbanking violation2018OCC$3,000,000
PNC Bank, National AssociationPNC Financial Servicesbanking violation2018OCC$207,245
PNC Bank, National AssociationPNC Financial Servicesbanking violation2018OCC$15,000,000
Bank of ChinaBank of Chinabanking violation2018OCC$12,500,000
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2018PHMSA$36,600
Legg Mason Inc.Franklin ResourcesForeign Corrupt Practices Act2018SEC$34,500,000
AEGON USA Investment Management LLC et al.Aegoninvestor protection violation2018SEC$97,600,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2018SEC$8,900,000
CitigroupCitigroupaccounting fraud or deficiencies2018SEC$10,500,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2018SEC$4,500,000
Mizuho Securities USA LLCMizuho Financialinvestor protection violation2018SEC$1,250,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2018SEC$73,200,000
Credit Suisse Group AGUBSForeign Corrupt Practices Act2018SEC$29,700,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2018SEC$3,600,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2018SEC$5,108,441
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2018SEC$42,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2018SEC$15,700,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinainvestor protection violation2018SEC$860,000
Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2018SEC$2,800,000
Merrill Lynch, Pierce and Fenner & Smith IncorporatedBank of Americainvestor protection violation2018SEC$8,872,723
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2018SEC$1,250,000
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2018SEC$1,900,000
Citibank NACitigroupexport control violation2018BIS$60,000
Commerzbank AGCommerzbankinvestor protection violation2018CFTC$12,000,000
Bank of Nova ScotiaScotiabankinvestor protection violation2018CFTC$800,000
Mizuho Bank, Ltd.Mizuho Financialinvestor protection violation2018CFTC$250,000
Bank of America, N.A.Bank of Americaprice-fixing or anti-competitive practices2018CFTC$30,000,000
ICAP Capital Markets LLCCME Groupprice-fixing or anti-competitive practices2018CFTC$50,000,000
NatWest Markets PlcNatWest Group PLCinvestor protection violation2018CFTC$750,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2018CFTC$160,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2018CFPB$11,790,000
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2018EBSA$10,001
Wheelabrator Claremont Company, L.P.Macquarieenergy market violation2018FERC$357,231
Societe Generale S.A.Societe Generaleeconomic sanction violation2018FED$81,300,000
Bank of New York MellonBank of New York Mellonbanking violation2018FED$16,000
Societe Generale S.A.Societe Generaleeconomic sanction violation2018USAO$717,200,000
BMO Harris Bank, N.A.Bank of Montrealfraud2018USAO$10,000,000
HSBCHSBCtoxic securities abuses2018USAO$765,000,000
Philadelphia Indemnity Insurance CompanyTokio MarineFalse Claims Act and related2018USAO$30,508
LendingClub CorporationLendingClub Corp.banking violation2018USAO$2,000,000
Societe Generale S.A.Societe Generaleeconomic sanction violation2018OFAC$53,966,916
JPMorgan Chase Bank, N.A.JPMorgan Chaseeconomic sanction violation2018OFAC$5,263,171
Capital One Bank (USA), National AssociationCapital One Financialanti-money-laundering deficiencies2018OCC$100,000,000
Citibank N.A.Citigroupinvestor protection violation2018SEC$38,700,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2018SEC$5,000,000
LendingClub Asset Management LLCLendingClub Corp.investor protection violation2018SEC$5,000,000
Voya Financial Advisors Inc.Voya Financialinvestor protection violation2018SEC$1,000,000
SG Americas Securities LLC (Societe Generale)Societe Generaleinvestor protection violation2018SEC$800,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2018SEC$12,937,475
Convergex Execution Solutions LLCToronto-Dominion Bankdata submission deficiencies2018SEC$2,750,000
Cadaret, Grant & Co. Inc.Atria Wealth Solutionsinvestor protection violation2018SEC$513,194
Putnam Investment Management, LLCFranklin Resourcesinvestor protection violation2018SEC$1,000,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2018SEC$500,000
Heartland Payment Systems, LLCGlobal Payments Inc.investor protection violation2018SEC$2,160,000
BB&T Securities, LLCTruist Financialinvestor protection violation2018SEC$100,000
JPMorgan ChaseJPMorgan Chaseemployment discrimination2018private lawsuit-federal$24,000,000
Wells Fargo Advisors, LLCWells Fargowage and hour violation2018private lawsuit-federal$9,500,000
M&T Bank CorporationM&T Bankwage and hour violation2018private lawsuit-federal$2,490,000
Allstate Insurance CompanyAllstatewage and hour violation2018private lawsuit-state$5,500,000
SunTrust Banks, Inc.Truist Financialbenefit plan administrator violation2018private lawsuit-federal$4,750,000
Liberty Mutual Retirement Benefit PlanLiberty Mutual Insurancebenefit plan administrator violation2018private lawsuit-federal$30,000,000
Allianz Asset Management of America, L.P.Allianzbenefit plan administrator violation2018private lawsuit-federal$12,000,000
Wilmington Trust CorporationM&T Bankemployment discrimination2018EEOC$700,000
Republic Bank & Trust CompanyRepublic Bancorpbanking violation2018FDIC$300,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$7,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$6,250
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.