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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
Regions BankRegions Financialconsumer protection violation2015CFPB$7,500,000
Wells FargoWells Fargoconsumer protection violation2015CFPB$34,800,000
JPMorgan ChaseJPMorgan Chaseconsumer protection violation2015CFPB$900,000
WEX Bank and Higher One, Inc.WEX Inc.banking violation2015FDIC$34,980,000
Comenity Bank and Comenity Capital BankBread Financial Holdingsbanking violation2015FDIC$63,950,000
Citizens BankCitizens Financial Groupbanking violation2015FDIC$8,800,000
Banamex USACitigroupbanking violation2015FDIC$140,000,000
Citizens Bank, National AssociationCitizens Financial Groupbanking violation2015OCC$2,000,000
First Financial Bank, National AssociationFirst Financial Bancorp.banking violation2015OCC$11,700
RBS Citizens, National AssociationCitizens Financial Groupbanking violation2015OCC$10,000,000
Citibank, N.A.Citigroupbanking violation2015OCC$35,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2015OCC$30,000,000
Bank of America, National AssociationBank of Americabanking violation2015OCC$1,104,530
First National Bank of PennsylvaniaF.N.B. Corporationbanking violation2015OCC$180,720
Wells Fargo Bank, National AssociationWells Fargobanking violation2015OCC$4,000,000
Bank of America, National AssociationBank of Americabanking violation2015OCC$30,000,000
Santander Bank, National AssociationBanco Santanderbanking violation2015OCC$6,000,000
Keybank National AssociationKeyCorpbanking violation2015OCC$5,005
Deutsche Bank AGDeutsche Bankeconomic sanction violation2015FED$58,000,000
Credit Agricole S.A.Credit Agricoleeconomic sanction violation2015FED$90,300,000
INDEPENDENT BANKIndependent Bank Corp. (Michigan)banking violation2015FED$56,205
BANK OF AMERICA CORPORATIONBank of Americabanking violation2015FED$205,000,000
ROYAL BANK OF SCOTLAND PLCNatWest Group PLCbanking violation2015FED$274,000,000
UBS AGUBSbanking violation2015FED$342,000,000
BARCLAYS BANK PLCBarclaysprice-fixing or anti-competitive practices2015FED$342,000,000
CITIGROUP INC.Citigroupbanking violation2015FED$342,000,000
JPMORGAN CHASE & CO.JPMorgan Chasebanking violation2015FED$342,000,000
COMMERZBANK AGCommerzbankbanking violation2015FED$200,000,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsanti-money-laundering deficiencies2015FINCEN$20,000,000
First Tennessee Bank N.A.First Horizon NationalFalse Claims Act and related2015DOJ_CIVIL$212,500,000
CommerceWest BankCommerceWest Bankfraud2015DOJ_CRIMINAL$4,900,000
JPMorgan Chase Bank N.A.JPMorgan Chasebankruptcy professional violation2015DOJ_UTP$50,000,000
MetLife Home Loans LLCMetLifeFalse Claims Act and related2015DOJ_CIVIL$123,500,000
CiticorpCitigroupprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$925,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$550,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$710,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$395,000,000
UBS AGUBSprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$203,000,000
BNP Paribas S.A.BNP Paribaseconomic sanction violation2015DOJ_CRIMINAL$8,973,600,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$775,000,000
Commerzbank AGCommerzbankeconomic sanction violation2015DOJ_CRIMINAL$642,000,000
Morgan Stanley Investment ManagementMorgan Stanleyinvestor protection violation2015SEC$8,800,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.JPMorgan Chaseinvestor protection violation2015SEC$267,000,000
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinainvestor protection violation2015SEC$4,200,000
UBS Willow Management LLC and UBS Fund Advisor LLCUBSinvestor protection violation2015SEC$17,500,000
UBS AGUBSinvestor protection violation2015SEC$19,500,000
UBS Financial Services Inc. of Puerto RicoUBSinvestor protection violation2015SEC$15,000,000
Credit Suisse Securities (USA) LLCUBSdata submission deficiencies2015SEC$4,250,000
Citigroup Global MarketsCitigroupinvestor protection violation2015SEC$15,000,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLCCitigroupinvestor protection violation2015SEC$180,000,000
Edward D. Jones & Co. LPJones Financialinvestor protection violation2015SEC$20,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2015SEC$7,000,000
Merrill LynchBank of Americainvestor protection violation2015SEC$10,900,000
Deutsche Bank AGDeutsche Bankinvestor protection violation2015SEC$55,000,000
BlackRock Advisors LLCBlackRockinvestor protection violation2015SEC$12,000,000
UBS Securities LLCUBSinvestor protection violation2015SEC$14,400,000
BNY MellonBank of New York MellonForeign Corrupt Practices Act2015SEC$14,800,000
Morgan StanleyMorgan Stanleytoxic securities abuses2015NCUA$225,000,000
WachoviaWells Fargotoxic securities abuses2015NCUA$53,000,000
Barclays Capital Inc.Barclaystoxic securities abuses2015NCUA$325,000,000
Royal Bank of Scotland plcNatWest Group PLCtoxic securities abuses2015NCUA$129,600,000
JPMorgan Chase BankJPMorgan Chasedata submission deficiencies2015CFTC$100,000,000
BNP Paribas SecuritiesBNP Paribasinvestor protection violation2015CFTC$140,000
Deutsche Bank AGDeutsche Bankdata submission deficiencies2015CFTC$2,500,000
Morgan StanleyMorgan Stanleyinvestor protection violation2015CFTC$300,000
BarclaysBarclaysprice-fixing or anti-competitive practices2015CFTC$400,000,000
BarclaysBarclaysprice-fixing or anti-competitive practices2015CFTC$115,000,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2015CFTC$800,000,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2015DOJ_RIGHTS$9,350,000
Fifth Third BancorpFifth Third Bancorptoxic securities abuses2015USAO$85,000,000
Bank of New York MellonBank of New York Mellonbanking violation2015USAO$714,000,000
Coutts & Co LtdNatWest Group PLCtax violations2015DOJ_TAX$78,484,000
Credit Agricole (Suisse) SACredit Agricoletax violations2015DOJ_TAX$99,211,000
Deutsche Bank (Suisse) SADeutsche Banktax violations2015DOJ_TAX$31,026,000
BNP Paribas (Suisse) SABNP Paribastax violations2015DOJ_TAX$59,783,000
Standard Chartered Bank (Switzerland) SA, en liquidationStandard Charteredtax violations2015DOJ_TAX$6,337,000
BBVA Suiza S.A.Banco Bilbao Vizcaya Argentariatax violations2015DOJ_TAX$10,390,000
Societe Generale Private Banking (Suisse) SASociete Generaletax violations2015DOJ_TAX$17,807,000
Societe Generale Private Banking (Lugano-Svizzera)Societe Generaletax violations2015DOJ_TAX$1,363,000
Credit Agricole Corporate and Investment BankCredit Agricoleeconomic sanction violation2015OFAC$329,593,585
UBS AGUBSeconomic sanction violation2015OFAC$1,700,100
Navigators Insurance CompanyHartford Financial Serviceseconomic sanction violation2015OFAC$271,815
PayPal Inc.PayPal Holdingseconomic sanction violation2015OFAC$7,658,300
ASI SERVICESProgressiveaviation safety violation2015FAA$17,000
ASI SERVICESProgressiveaviation safety violation2015FAA$27,000
Franklin American Mortgage CompanyCitizens Financial Groupmortgage abuses2015DOJ_CIVIL$70,000,000
Walter Investment Management Corp.Ditech Holding CorporationFalse Claims Act and related2015DOJ_CIVIL$29,630,000
Fireman's Fund Insurance CompanyAllianzFalse Claims Act and related2015DOJ_CIVIL$44,000,000
J.P. Morgan Investment Management Inc.JPMorgan Chaseinvestor protection violation2015SEC$1,084,210
Omega Advisors, Inc.Omega Advisorsinvestor protection violation2015SEC$134,026
Guggenheim Partners Investment Management LLCGuggenheim Partnersinvestor protection violation2015SEC$20,000,000
OZ Management LPSculptor Capital Managementdata submission deficiencies2015SEC$4,250,000
BMO Capital Markets GKST Inc.Piper Sandlerinvestor protection violation2015SEC$250,000
BNY Mellon Capital Markets, LLCBank of New York Melloninvestor protection violation2015SEC$120,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015SEC$500,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2015SEC$500,000
Hutchinson, Shockey, Erley & Co.Huntington Bancsharesinvestor protection violation2015SEC$220,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2015SEC$500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2015SEC$500,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2015SEC$500,000
The Northern Trust CompanyNorthern Trustinvestor protection violation2015SEC$60,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.