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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
Morgan StanleyMorgan Stanleyprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
National Westminster Bank plcNatWest Group PLCprice-fixing or anti-competitive practices2016private lawsuit-federal$3,500,000
Piper Jaffray & Co.Piper Sandlerprice-fixing or anti-competitive practices2016private lawsuit-federal$9,750,000
Royal Bank of Scotland GroupPLCNatWest Group PLCprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Societe Generale, S.A.Societe Generaleprice-fixing or anti-competitive practices2016private lawsuit-federal$25,412,500
UBS AGUBSprice-fixing or anti-competitive practices2016private lawsuit-federal$32,000,000
UBS Group AGUBSprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
GMAC Mortgage LLCAlly Financialconsumer protection violation2016private lawsuit-federal$13,000,000
American Express Bank FSBAmerican Expressconsumer protection violation2016private lawsuit-federal$4,000,000
Assurant Inc.Assurantconsumer protection violation2016private lawsuit-federal$14,050,000
Bank of America N.A.Bank of Americaconsumer protection violation2016private lawsuit-federal$3,000,000
Bank of America, N.A.Bank of Americaconsumer protection violation2016private lawsuit-federal$27,500,000
BancorpSouth BankCadence Bankconsumer protection violation2016private lawsuit-federal$24,000,000
Citigroup Inc.Citigroupconsumer protection violation2016private lawsuit-federal$13,500,000
Credit SuisseUBSconsumer protection violation2016private lawsuit-federal$110,000,000
Goldman SachsGoldman Sachsconsumer protection violation2016private lawsuit-federal$272,000,000
Goldman Sachs Group Inc.Goldman Sachsconsumer protection violation2016private lawsuit-federal$27,500,000
HSBC Bank U.S.A. N.A.HSBCconsumer protection violation2016private lawsuit-state$32,000,000
Litton Loan Servicing LPOcwen Financialconsumer protection violation2016private lawsuit-federal$4,121,000
PNC Bank N.A.PNC Financial Servicesconsumer protection violation2016private lawsuit-federal$24,000,000
PNC Bank N.A.PNC Financial Servicesconsumer protection violation2016private lawsuit-federal$32,300,000
Sentry InsuranceSentry Insuranceconsumer protection violation2016private lawsuit-federal$5,718,825
U.S. Bank NAU.S. Bancorpconsumer protection violation2016private lawsuit-federal$14,050,000
Unum Life Insurance Company of AmericaUnumconsumer protection violation2016private lawsuit-federal$45,998,014
Wells Fargo & Co.Wells Fargoconsumer protection violation2016private lawsuit-federal$25,750,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2016private lawsuit-federal$203,000,000
Western Union Co.Western Unionconsumer protection violation2016private lawsuit-federal$133,000,000
Bank Of AmericaBank of Americawage and hour violation2016MI-LEO$23,500
Bank Of AmericaBank of Americawage and hour violation2016MI-LEO$23,500
Northwestern MutualNorthwestern Mutualwage and hour violation2016MI-LEO$34,371
Northwestern MutualNorthwestern Mutualwage and hour violation2016MI-LEO$68,815
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2016OSHA$6,000
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2016OSHA$15,400
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2016OSHA$12,934
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2016OSHA$10,000
CASH AMERICAFirstCashworkplace safety or health violation2016OSHA$8,500
NEOVIA LOGISTICS DISTRIBUTION, LLCGoldman Sachsworkplace safety or health violation2016OSHA$5,000
THE KANSAS CITY STARChatham Asset Managementworkplace safety or health violation2016OSHA$23,696
Buckeye Caribbean Terminals, LLCIFM Investorsenvironmental violation2016EPA$9,600
CHEMOIL CORPORATIONGlencoreenvironmental violation2016EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $27,000,000
Vitol, Inc.Vitolenvironmental violation2016EPA$17,934
Vitol Inc.Vitolenvironmental violation2016EPA$9,814
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2017FERC$105,000,000
HSBC Bank USA, National AssociationHSBCbanking violation2017OCC$32,500,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2017CFTC$900,000
Deutsche BankDeutsche Banktoxic securities abuses2017DOJ_CIVIL$7,200,000,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2017SEC$13,000,000
BNY MellonBank of New York Melloninvestor protection violation2017SEC$6,600,000
Western Union CompanyWestern Unionanti-money-laundering deficiencies2017DOJ_CRIMINAL$586,000,000
State Street CorporationState Street Corp.fraud2017DOJ_CRIMINAL$32,300,000
Credit SuisseUBStoxic securities abuses2017DOJ_CIVIL$5,280,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2017CFTC$25,000,000
Toronto-Dominion BankToronto-Dominion Bankeconomic sanction violation2017OFAC$516,105
HomeStreet IncHomeStreet Inc.accounting fraud or deficiencies2017SEC$500,000
E*TRADE Securities LLCMorgan Stanleyinvestor protection violation2017CFTC$280,000
CitiFinancial Servicing and CitiMortgage, Inc.Citigroupconsumer protection violation2017CFPB$28,800,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2017CFPB$3,500,000
Mastercard International Inc.MasterCardconsumer protection violation2017CFPB$13,000,000
ServiceLink Holdings, LLCFidelity National Financialbanking violation2017FED$65,000,000
Citigroup Global MarketsCitigroupinvestor protection violation2017SEC$2,963,735
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2017SEC$2,963,735
Citigroup Global MarketsCitigroupinvestor protection violation2017SEC$18,300,000
JPMorgan ChaseJPMorgan Chasediscriminatory practices (non-employment)2017USAO$53,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2017CFTC$85,000,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2017CFPB$1,750,000
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2017OCC$1,000,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2017SEC$8,000,000
Brown & BrownBrown & Brownemployment discrimination2017EEOC$100,000
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2017FED$41,000,000
SunTrust BankTruist Financialbanking violation2017FED$1,501,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2017FED$156,600,000
DB Group Services (UK) LimitedDeutsche Bankprice-fixing or anti-competitive practices2017DOJ_ANTITRUST$150,000,000
Banamex USACitigroupanti-money-laundering deficiencies2017DOJ_CRIMINAL$97,440,000
UBSUBStoxic securities abuses2017NCUA$445,000,000
Bank of AmericaBank of Americaemployment discrimination2017OFCCP$1,000,000
Barclays CapitalBarclaysinvestor protection violation2017SEC$97,037,659
Louis Dreyfus Commodities Grand Junction LLCLouis Dreyfustax violations2017ATTTB$14,000
Royal Bank of Scotland PLCNatWest Group PLCtoxic securities abuses2017FHFA$5,500,000,000
BNP Paribas S.A.BNP Paribasprice-fixing or anti-competitive practices2017FED$246,000,000
Bank of New York Mellon CorporationBank of New York Mellonbanking violation2017FED$3,000,000
Farmers Insurance ExchangeFarmers Insurance Exchangediscriminatory practices (non-employment)2017HUD$15,000
American International GroupAmerican International Groupeconomic sanction violation2017OFAC$148,698
U.S. Bank National AssociationU.S. Bancorpbanking violation2017OCC$15,000,000
Rabobank National AssociationRabobankbanking violation2017OCC$58,000
Buckeye Partners LPIFM Investorsenvironmental violation2017PHMSA$50,400
Buckeye Partners LPIFM Investorsenvironmental violation2017PHMSA$193,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupinvestor protection violation2017CFTC$600,000
American ExpressAmerican Expressconsumer protection violation2017CFPB$96,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseconsumer protection violation2017CFPB$4,600,000
PHH Corp.Ocwen FinancialFalse Claims Act and related2017DOJ_CIVIL$74,453,802
UMB Bank, NAUMB Financial Corp.banking violation2017OCC$1,500,000
Buckeye Partners, LPIFM Investorsenvironmental violation2017PHMSA$36,600
State Street Bank and Trust CompanyState Street Corp.investor protection violation2017SEC$35,300,000
Banca IMI Securities Corp.Intesa Sanpaoloinvestor protection violation2017SEC$35,300,000
INTL FCStone Financial Inc.StoneX Groupinvestor protection violation2017CFTC$280,000
Morgan StanleyMorgan Stanleydata submission deficiencies2017CFTC$350,000
Morgan StanleyMorgan Stanleyinvestor protection violation2017CFTC$500,000
Citibank N.A.Citigroupdata submission deficiencies2017CFTC$550,000
Merrill LynchBank of Americainvestor protection violation2017CFTC$2,500,000
Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer ServicesWells Fargoconsumer protection violation2017DOJ_RIGHTS$5,400,000
CitiFinancial Credit CompanyCitigroupconsumer protection violation2017DOJ_RIGHTS$907,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.