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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,816,534,046
Number of Records: 7,081
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$83,354,221,356271
JPMorgan Chase$36,129,269,434222
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
Goldman Sachs$16,599,475,84889
NatWest Group PLC$13,515,546,85731
Credit Suisse$10,932,400,12651
Morgan Stanley$10,167,765,234190

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 TypeYearAgencyPenalty Amount sort icon
Goldman Sachs & Co.Goldman Sachstoxic securities abuses2010SEC$550,000,000
HSBC North America Holdings Inc.HSBCtoxic securities abuses2014FHFA$550,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2016NY-AG$550,000,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020MULTI-AG$550,000,000
Bank Julius Baer & Co. Ltd.Julius Baer Grouptax violations2016DOJ_TAX$547,000,000
UBS Securities Japan Co. Ltd.UBSinterest rate benchmark manipulation2012DOJ_ANTITRUST$500,000,000
HSBC Bank USA, N.A.HSBCbanking violation2012OCC$500,000,000
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V.ABN AMROeconomic sanction violation2010DOJ_CRIMINAL$500,000,000
Wells Fargo Bank N.A.Wells Fargobanking violation2018OCC$500,000,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2018CFPB$500,000,000
Bank of AmericaBank of Americainvestor protection violation2013MULTI-AG$500,000,000
MercerMarsh & McLennanaccounting fraud or deficiencies2010AK-AG$500,000,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2018NY-AG$500,000,000
Wells Fargo & Co.Wells Fargoinvestor protection violation2020SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $500,000,000
Barclays Bank PLCBarclaysforeign exchange market manipulation2015NY-DFS$485,000,000
Household Finance Corp.HSBCmortgage abuses2002MULTI-AG$484,000,000
RabobankRabobankinterest rate benchmark manipulation2013CFTC$475,000,000
Societe Generale S.A.Societe Generaleinterest rate benchmark manipulation2018CFTC$475,000,000
Merrill LynchBank of Americainvestor protection violation2009OH-AG$475,000,000
HSBC Bank USA NAHSBCmortgage abuses2016DOJ$470,000,000
J.P. Morgan Chase Bank, N.A.JPMorgan Chaseanti-money-laundering deficiencies2014FINCEN$461,000,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2009MULTI-AG$456,000,000
U.S. BancorpU.S. Bancorpanti-money-laundering deficiencies2018USAO$453,000,000
UBSUBStoxic securities abuses2017NCUA$445,000,000
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2017NY-DFS$425,000,000
Societe Generale SASociete Generaleeconomic sanction violation2018NY-DFS$420,000,000
SunTrust Mortgage Inc.Truist FinancialFalse Claims Act and related2014DOJ_CIVIL$418,000,000
Merrill LynchBank of Americainvestor protection violation2016SEC$415,000,000
UniCredit GroupUniCrediteconomic sanction violation2019DOJ_CRIMINAL$413,536,632
CitigroupCitigroupmortgage abuses2012MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,041,577
JP Morgan Ventures Energy CorporationJPMorgan Chaseenergy market manipulation2013FERC$410,000,000
UniCredit GroupUniCrediteconomic sanction violation2019NY-DFS$405,000,000
Bank of AmericaBank of Americatoxic securities abuses2013FHFA$404,000,000
BarclaysBarclaysinterest rate benchmark manipulation2015CFTC$400,000,000
Federal National Mortgage Association (Fannie Mae)Fannie Maeaccounting fraud or deficiencies2006SEC$400,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.Citigroupinvestor protection violation2003SEC$400,000,000
Marsh and McLennanMarsh & McLennaninvestor protection violation2009MULTI-AG$400,000,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $400,000,000
Citibank, National AssociationCitigroupbanking violation2020OCC$400,000,000
Royal Bank of Scotland plcNatWest Group PLCforeign exchange market manipulation2015DOJ_CRIMINAL$395,000,000
Citimortgage Inc. and Citibank N.A.Citigrouptoxic securities abuses2013FHFA$395,000,000
Credit AgricoleCredit Agricoleeconomic sanction violation2015NY-DFS$385,000,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2016SEC$382,400,000
HSBC HoldingsHSBCeconomic sanction violation2012OFAC$375,000,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLCBank of Americainvestor protection violation2005SEC$375,000,000
Banc of America Capital Management LLC et al.Bank of Americainvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $375,000,000
Bank of America N.A.Bank of Americabanking violation2012DOJ_RIGHTS$370,000,000
Rabobank National AssociationRabobankanti-money-laundering deficiencies2018DOJ_CRIMINAL$368,701,259
Barclays Bank PLCBarclaysinvestor protection violation2022SEC$361,000,000
State Farm LloydsState Farm Insuranceinsurance violation2015TX-INS$352,500,000
Citibank, National AssociationCitigroupbanking violation2014OCC$350,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2014OCC$350,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2014OCC$350,000,000
Massachusetts Financial Services Co.Sun Life Financialinvestor protection violation2004NY-AG$350,000,000
BNP Paribas S.A.BNP Paribasforeign exchange market manipulation2017NY-DFS$350,000,000
UBS AGUBSbanking violation2015FED$342,000,000
BARCLAYS BANK PLCBarclaysforeign exchange market manipulation2015FED$342,000,000
CITIGROUP INC.Citigroupbanking violation2015FED$342,000,000
JPMORGAN CHASE & CO.JPMorgan Chasebanking violation2015FED$342,000,000
Standard Chartered BankStandard Charteredanti-money-laundering deficiencies2012NY-DFS$340,000,000
Countrywide Financial CorporationBank of Americamortgage abuses2011DOJ_RIGHTS$335,000,000
Citibank, N.A.Citigroupconsumer protection violation2018CFPB$335,000,000
Bank of New York Mellon CorporationBank of New York Mellonbenefit plan administrator violation2015private lawsuit-federal$335,000,000
Goldman SachsGoldman Sachsmortgage abuses2013FED$330,000,000
Credit Agricole Corporate and Investment BankCredit Agricoleeconomic sanction violation2015OFAC$329,593,585
Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A.JPMorgan Chaseconsumer protection violation2013CFPB$329,000,000
RabobankRabobankinterest rate benchmark manipulation2013DOJ_CRIMINAL$325,000,000
Barclays Capital Inc.Barclaystoxic securities abuses2015NCUA$325,000,000
Royal Bank of Scotland plcNatWest Group PLCinterest rate benchmark manipulation2013CFTC$325,000,000
Invesco Funds Group, Inc.Invescoinvestor protection violation2004SEC$325,000,000
Ameriquest MortgageCitigroupconsumer protection violation2006MULTI-AG$325,000,000
Invesco Funds GroupInvescoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $325,000,000
SunTrust Mortgage Inc.Truist Financialmortgage abuses2014DOJ_CIVIL$320,000,000
UniCredit Bank AGUniCrediteconomic sanction violation2019NY-MANDA$316,000,000
Bank of Tokyo Mitsubishi UFJMitsubishi UFJ Financial Groupeconomic sanction violation2014NY-DFS$315,000,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2010SEC$313,300,000
CitibankCitigroupinterest rate benchmark manipulation2014CFTC$310,000,000
JPMorgan Chase BankJPMorgan Chaseinterest rate benchmark manipulation2014CFTC$310,000,000
Ally Financial Inc. (formerly GMAC)Ally Financialmortgage abuses2012DOJ$309,600,000
ING Bank, NVINGeconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $309,500,000
Providian Financial Corp.JPMorgan Chaseconsumer protection violation2000CA-AG$305,500,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2013OCC$300,000,000
FleetBoston Financial Corp.Bank of Americainvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000
State Street Bank & Trust Co.State Street Corp.investor protection violation2010MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000
Standard Chartered BankStandard Charteredanti-money-laundering deficiencies2014NY-DFS$300,000,000
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
Barclays Bank PLCBarclayseconomic sanction violation2010DOJ_CRIMINAL$298,000,000
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2012SEC$296,900,000
Allied Home MortgageAmericus Mortgagefraud2017USAO$296,298,325
Standard Chartered BankStandard Charteredeconomic sanction violation2019DOJ_CRIMINAL$292,210,160
Standard Chartered BankStandard Charteredeconomic sanction violation2019NY-MANDA$292,000,000
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
Royal Bank of Scotland plcNatWest Group PLCinterest rate benchmark manipulation2014CFTC$290,000,000
UBS AGUBSinterest rate benchmark manipulation2014CFTC$290,000,000
Capital One, National AssociationCapital One Financialanti-money-laundering deficiencies2021FINCEN$290,000,000
CitigroupCitigrouptoxic securities abuses2011SEC$285,000,000
Barclays Bank PLCBarclaystoxic securities abuses2014FHFA$280,000,000
JPMorgan Chase & Co., and EMC Mortgage CorporationJPMorgan Chasebanking violation2012FED$275,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2014SEC$275,000,000
HSBC BankHSBCinterest rate benchmark manipulation2014CFTC$275,000,000
Bear StearnsJPMorgan Chaseinvestor protection violation2012MI-AG$275,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.