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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,660,984,318
Number of Records: 7,055
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$83,124,221,356268
JPMorgan Chase$36,129,269,434222
Citigroup$25,540,655,365157
Wells Fargo$22,081,446,244228
Deutsche Bank$18,341,457,30276
UBS$16,880,243,334103
Goldman Sachs$16,399,475,84887
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,154,369,73321
Credit Suisse$10,732,400,12649

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
RBS PLC and RBS Securities JapanNatWest Group PLCinterest rate benchmark manipulation2014DOJ_ANTITRUST$150,000,000
Bank of AmericaBank of Americainvestor protection violation2010SEC$150,000,000
DB Group Services (UK) LimitedDeutsche Bankinterest rate benchmark manipulation2017DOJ_ANTITRUST$150,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasebenefit plan administrator violation2012private lawsuit-federal$150,000,000
Countrywide Financial CorporationBank of Americamortgage abuses2009PA-AG$150,000,000
JPMorgan ChaseJPMorgan Chaseinvestor protection violation2015MULTI-AG$150,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2019CA-AG$150,000,000
Barclays Bank PLCBarclaysforeign exchange market manipulation2015NY-DFS$150,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000
Deutsche Bank AG and Deutsche Bank Trust Co. AmericaDeutsche Bankbanking violation2020NY-DFS$150,000,000
Goldman Sachs GroupGoldman Sachsinvestor protection violation2020NY-DFS$150,000,000
Barclays plcBarclayseconomic sanction violation2010NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $149,000,000
Wachovia Bank N.A.Wells Fargoprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$148,000,000
American International GroupAmerican International Groupinsurance violation2010MULTI-FIN$146,500,000
Deutsche Bank SecuritiesDeutsche Banktoxic securities abuses2011NCUA$145,000,000
Wells Fargo and CompanyWells Fargobenefit plan administrator violation2022EBSA$145,000,000
Banamex USACitigroupbanking violation2015FDIC$140,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc.Ameriprise Financialinvestor protection violation2005SEC$140,000,000
FleetBoston Financial CorporationBank of Americainvestor protection violation2004SEC$140,000,000
Nationwide Life InsuranceNationwidebenefit plan administrator violation2015private lawsuit-federal$140,000,000
Bank of AmericaBank of Americaprice-fixing or anti-competitive practices2010DOJ_ANTITRUST$137,300,000
JPMorgan Chase Bank N.A.JPMorgan Chaseinvestor protection violation2018SEC$135,100,000
J.P. Morgan Chase & Co.JPMorgan Chaseaccounting fraud or deficiencies2003SEC$135,000,000
State FarmState Farm Insurancewage and hour violation2005private lawsuit-state$135,000,000
Credit Suisse AGCredit Suisseforeign exchange market manipulation2017NY-DFS$135,000,000
Vitol Inc.VitolForeign Corrupt Practices Act2020DOJ_CRIMINAL$135,000,000
Flagstar BankFlagstar Bancorpmortgage abuses2012USAO$132,800,000
Standard Chartered BankStandard Charteredeconomic sanction violation2012OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $132,000,000
Merrill LynchBank of Americatoxic securities abuses2013SEC$131,800,000
HSBC North America Holdings, Inc.HSBCbanking violation2016FED$131,000,000
JPMorgan Chase & Co.JPMorgan ChaseForeign Corrupt Practices Act2016SEC$130,000,000
Bank LeumiBank Leumitax violations2014NY-DFS$130,000,000
Royal Bank of Scotland plcNatWest Group PLCtoxic securities abuses2015NCUA$129,600,000
Mizuho Financial GroupMizuho Financialinvestor protection violation2012SEC$127,500,000
Ocwen Financial ServicesOcwen Financialmortgage abuses2013MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $127,300,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceinvestor protection violation2005SEC$125,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2003SEC$125,000,000
MoneyGram International Inc.MoneyGram Internationalanti-money-laundering deficiencies2018DOJ_CRIMINAL$125,000,000
AIM AdvisorsInvescoinvestor 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. $125,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceinvestor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
H&R Block, Inc.H&R Blockdiscriminatory practices (non-employment)2011MA-AG$125,000,000
Morgan StanleyMorgan 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. $125,000,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2017CA-AG$125,000,000
Merrill LynchBank of Americainvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2021SEC$125,000,000
Bank of America NABank of Americabanking violation2022OCC$125,000,000
MetLife Home Loans LLCMetLifeFalse Claims Act and related2015DOJ_CIVIL$123,500,000
Societe GeneraleSociete Generaletoxic securities abuses2014FHFA$122,000,000
TD Bank, N.A.Toronto-Dominion Bankconsumer protection violation2020CFPB$122,000,000
Credit Suisse Securities (USA)Credit Suissetoxic securities abuses2012SEC$120,000,000
Goldman SachsGoldman Sachsforeign exchange market manipulation2016CFTC$120,000,000
Allstate InsuranceAllstatewage and hour violation2005private lawsuit-state$120,000,000
RBS Securities, Inc.NatWest Group PLCtoxic securities abuses2016CT-AG$120,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2011SEC$118,000,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2016TX-INS$117,500,000
UBSUBSinvestor protection violation2010MI-AG$117,000,000
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$116,400,000
BarclaysBarclaysinterest rate benchmark manipulation2015CFTC$115,000,000
PNC ICLC Corp.PNC Financial Servicesaccounting fraud or deficiencies2003DOJ_CRIMINAL$115,000,000
Hartford Financial Services Group, Inc.Hartford Financial Servicesprice-fixing or anti-competitive practices2007MULTI-AG$115,000,000
Strong Capital Management Co.Wells Fargoinvestor 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. $115,000,000
State Street CorporationState Street Corp.fraud2021USAO$115,000,000
CompuCredit CorporationAtlanticus Holdingsconsumer protection violation2008FTC$114,000,000
Standard Chartered BankStandard Charteredeconomic 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. $113,500,000
Freedom Mortgage CorporationFreedom MortgageFalse Claims Act and related2016DOJ_CIVIL$113,000,000
Student Loan Xpress, Inc.First Citizens BancSharesconsumer protection violation2009MULTI-AG$112,825,000
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.investor protection violation2010SEC$112,600,000
Wachovia BankWells Fargoanti-money-laundering deficiencies2010FINCEN$110,000,000
First Horizon National CorporationFirst Horizon Nationaltoxic securities abuses2014FHFA$110,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2003SEC$110,000,000
Goldman SachsGoldman Sachsinvestor 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. $110,000,000
Ally FinancialAlly Financialmortgage 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. $109,628,425
Countrywide Home Loans, Inc. and BAC Home Loans Servicing LPBank of Americaconsumer protection violation2010FTC$108,000,000
ConvergEx GroupCowen Inc.investor protection violation2013SEC$107,424,429
Chase Bank USA N.A.JPMorgan Chaseconsumer protection violation2015MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $106,000,000
Lloyds Banking Group plcLloyds Banking Groupinterest rate benchmark manipulation2014CFTC$105,000,000
Barclays Bank PLCBarclaysenergy market manipulation2017FERC$105,000,000
Morgan Stanley & Co.Morgan Stanleytoxic securities abuses2010MA-AG$102,000,000
Ambac Financial Group et al.Ambac Financialtoxic securities abuses2013USAO$101,900,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003SEC$101,000,000
Credit Suisse AGCredit Suissebanking violation2014FED$100,000,000
STANDARD CHARTERED PLCStandard Charteredbanking violation2012FED$100,000,000
MoneyGram International Inc.MoneyGram Internationalanti-money-laundering deficiencies2012DOJ_CRIMINAL$100,000,000
JPMorgan Chase BankJPMorgan Chasedata submission deficiencies2015CFTC$100,000,000
JPMorgan ChaseJPMorgan Chaseinvestor protection violation2013CFTC$100,000,000
Wells Fargo BankWells Fargobanking violation2016CFPB$100,000,000
UBS AGUBSeconomic sanction violation2004FED$100,000,000
Janus Capital Management LLCJanus Hendersoninvestor protection violation2004SEC$100,000,000
Credit Suisse First Boston CorporationCredit Suisseinvestor protection violation2002SEC$100,000,000
Credit LyonnaisCredit Agricolefraud2003USAO$100,000,000
HSBC Holdings plcHSBCfraud2018DOJ_CRIMINAL$100,000,000
Capital One Bank (USA), National AssociationCapital One Financialanti-money-laundering deficiencies2018OCC$100,000,000
Barclays Bank PLCBarclaysinterest rate benchmark manipulation2016MULTI-AG$100,000,000
CitibankCitigroupinterest rate benchmark manipulation2018MULTI-AG$100,000,000
Federated Investors, Inc.Federated Hermesinvestor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Merrill LynchBank of Americainvestor protection violation2002NY-AG$100,000,000
Merrill Lynch & Co. Inc.Bank of Americainvestor 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. $100,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2010MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Morgan Keegan & CompanyRaymond James Financialtoxic securities abuses2013MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Bank of AmericaBank of Americabanking violation2022CFPB$100,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.