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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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$14,370,701,61843
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 Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
TCF National BankHuntington Bancsharesbanking violation2013OCC$10,000,000
Citizens Republic Bancorp Inc.Huntington Bancsharesbanking violation2011DOJ_RIGHTS$3,600,000
Hutchinson, Shockey, Erley & Co.Huntington Bancsharesinvestor protection violation2015SEC$220,000
Huntington Bancshares, Inc.Huntington Bancsharesaccounting fraud or deficiencies2005SEC$7,500,000
Huntington Bancshares IncorporatedHuntington BancsharesFamily and Medical Leave Act2015WHD$7,788
The Huntington National BankHuntington Bancshareswage and hour violation2013WHD$32,553
Huntington National BankHuntington Bancshareswage and hour violation2010WHD$10,007
Huntington National BankHuntington Bancshareswage and hour violation2005WHD$51,259
Huntington BancsharesHuntington Bancshareswage and hour violation2013private lawsuit-federal$3,100,000
TCF National BankHuntington Bancsharesconsumer protection violation2018CFPB$28,000,000
TCF National BankHuntington Bancsharesbanking violation2018OCC$3,000,000
Huntington Bancshares Inc.Huntington Bancsharesbenefit plan administrator violation2011private lawsuit-federal$1,450,000
Huntington National BankHuntington Bancshareswage and hour violation2011MI-LEO$11,434
HSBC Bank USA, National AssociationHSBCbanking violation2016OCC$35,000,000
HSBC Bank USA, National AssociationHSBCbanking violation2013OCC$249,000,000
HSBC Bank USA, N.A.HSBCbanking violation2012OCC$500,000,000
HSBC North America Holdings, Inc.HSBCbanking violation2016FED$131,000,000
HSBC HOLDINGS PLCHSBCbanking violation2012FED$165,000,000
HSBC Bank USA NAHSBCmortgage abuses2016DOJ$470,000,000
HSBC Holdings plc HSBC Bank USA N.A.HSBCanti-money-laundering deficiencies2012DOJ_CRIMINAL$1,256,000,000
HSBC Private Bank (Suisse)HSBCinvestor protection violation2014SEC$12,500,000
HSBC North America Holdings Inc.HSBCtoxic securities abuses2014FHFA$550,000,000
HSBCHSBCtoxic securities abuses2012NCUA$5,250,000
HSBC BankHSBCprice-fixing or anti-competitive practices2014CFTC$275,000,000
HSBCHSBCmortgage abuses2014USAO$10,000,000
HSBC HoldingsHSBCeconomic sanction violation2012OFAC$375,000,000
HSBC Finance CorporationHSBCconsumer protection violation2016DOJ_RIGHTS$434,500
Republic New York Securities CorporationHSBCinvestor protection violation2001CFTC$5,000,000
HSBC Bank USAHSBCeconomic sanction violation2004OFAC$5,500
HSBC Bank USAHSBCeconomic sanction violation2004OFAC$8,375
HSBC Bank USAHSBCeconomic sanction violation2003OFAC$5,500
HSBC Bank USAHSBCeconomic sanction violation2003OFAC$11,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2007SEC$10,500,000
HSBC Bank USA, National AssociationHSBCbanking violation2017OCC$32,500,000
HSBCHSBCwage and hour violation2007WHD$16,545
HSBC North America IncHSBCwage and hour violation2006WHD$5,357
HSBC North America Inc.HSBCwage and hour violation2006WHD$11,489
HSBC North America Inc.HSBCwage and hour violation2006WHD$12,685
HSBC North America Inc.HSBCwage and hour violation2006WHD$8,273
HSBC BankHSBCwage and hour violation2006WHD$7,599
Household InternationalHSBCwage and hour violation2003WHD$54,328
HSBC HoldingsHSBCbanking violation2017FED$175,000,000
HSBC Bank USA N.A.HSBCFalse Claims Act and related2017USAO$2,118,861
Republic New York SecuritiesHSBCfraud2001USAO$569,000,000
HSBC Holdings plcHSBCfraud2018DOJ_CRIMINAL$100,000,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2018CFTC$1,600,000
HSBCHSBCwage and hour violation2016private lawsuit-federal$6,982,000
HSBC BankHSBCwage and hour violation2013private lawsuit-federal$15,625,000
HSBC Auto FinanceHSBCwage and hour violation2009private lawsuit-federal$420,000
HSBCHSBCtoxic securities abuses2018USAO$765,000,000
HSBC Bank USAHSBCbenefit plan administrator violation2005private lawsuit-federal$9,350,000
Household InternationalHSBCbenefit plan administrator violation2004private lawsuit-federal$46,500,000
Household Finance Corp.HSBCmortgage abuses2002MULTI-AG$484,000,000
HSBCHSBCmortgage abuses2016MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $59,500,000
HSBCHSBCconsumer protection violation2016MA-AG$4,000,000
HSBCHSBCconsumer protection violation2015MO-AG$825,000
HSBC Bank USA, N.A.HSBCenvironmental violation2007NY-AG$918,000
HSBC Finance CorporationHSBCconsumer protection violation2013WV-AG$1,950,000
HSBC SecuritiesHSBCmortgage abuses2018MA-AG$26,800,000
HSBC Securities (USA) Inc.HSBCtoxic securities abuses2016VA-AG$2,500,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2019CFTC$650,000
HSBC Bank USA, N.A.HSBCeconomic sanction violation2013OFAC$32,400
HSBC Holdings plcHSBCeconomic 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. $187,500,000
HSBC Private Bank (Suisse) SAHSBCtax violations2019USAO$192,350,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2020SEC$725,000
Household Finance Corp. of California and Beneficial California, Inc.HSBCmortgage abuses2002CA-DFPI$8,900,000
Household Finance CorpoationHSBCconsumer protection violation2008NE-DBF$55,000
HSBC Securities USA IncHSBCinsurance violation2011WA-INS$7,000
HSBC Finance Corporation et al.HSBCdiscriminatory practices (non-employment)2010private lawsuit-federal$6,050,000
HSBCHSBCFalse Claims Act and related2020CA-AG$7,000,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2010FINRA$375,000
HSBC Securities (USA)HSBCinvestor protection violation2010FINRA$1,500,000
HSBC BrokerageHSBCinvestor protection violation2007FINRA$250,000
HSBC SECURITIES USA INCHSBCinsurance violation2021WA-INS$10,000
HSBCHSBCemployment discrimination2020NY-NYCCHR$30,000
HSBCHSBCprice-fixing or anti-competitive practices2022private lawsuit-federal$11,000,000
HSBC Bank PLCHSBCprice-fixing or anti-competitive practices2020private lawsuit-federal$4,750,000
HSBC Bank PLCHSBCprice-fixing or anti-competitive practices2020private lawsuit-federal$11,100,000
HSBC Bank PLCHSBCprice-fixing or anti-competitive practices2020private lawsuit-federal$18,500,000
HSBC Bank PLCHSBCprice-fixing or anti-competitive practices2018private lawsuit-federal$100,000,000
HSBC Bank PLCHSBCprice-fixing or anti-competitive practices2022private lawsuit-federal$42,000,000
HSBC Bank USA N.A.HSBCprice-fixing or anti-competitive practices2018private lawsuit-federal$14,000,000
HSBC Holdings PLCHSBCprice-fixing or anti-competitive practices2016private lawsuit-federal$35,000,000
HSBC Holdings PLCHSBCprice-fixing or anti-competitive practices2018private lawsuit-federal$45,000,000
HSBC Holdings PLCHSBCprice-fixing or anti-competitive practices2018private lawsuit-federal$285,000,000
HSBC HoldingsPLCHSBCprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
HSBC Securities (USA) Inc.HSBCprice-fixing or anti-competitive practices2021private lawsuit-federal$30,000,000
HSBC Securities (USA) Inc.HSBCprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
HSBC Bank USA, N.A.HSBCinvestor protection violation2023CFTC$45,000,000
HSBC Bank PLCHSBCinvestor protection violation2023CFTC$30,000,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2023SEC$15,000,000
HSBC Bank U.S.A. N.A.HSBCconsumer protection violation2016private lawsuit-state$32,000,000
HSBC Bank USA N.A.HSBCconsumer protection violation2012private lawsuit-federal$23,500,000
HSBC Bank USA, N.A.HSBCconsumer protection violation2014private lawsuit-federal$16,000,000
HSBC Mortgage Services Inc.HSBCconsumer protection violation2015private lawsuit-federal$900,000
HSBC North AmericaHSBCenvironmental violation2010EPA$36,083
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesbenefit plan administrator violation2016private lawsuit-federal$33,000,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesprivacy violation2017NJ-AG$1,100,000
Horizon Healthcare of New Jersey Inc.Horizon Healthcare Servicesinsurance violation2003NJ-DBI$200,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2010NJ-DBI$500,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2012NJ-DBI$4,233,100
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.