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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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
E*TRADE SecuritiesMorgan Stanleyinvestor protection violation2014SEC$2,500,000
E*Trade Group, Inc.Morgan Stanleybenefit plan administrator violation2008EBSA$50,001
E*Trade Clearing LLCMorgan Stanleyinvestor protection violation2008SEC$500,000
E*TradeMorgan Stanleyprice-fixing or anti-competitive practices2012MULTI-AG$100,000
DWS Investment Management Americas Inc.Deutsche Bankinvestor protection violation2023SEC$25,000,000
Durango Midstream, LLCMorgan Stanleyenvironmental violation2023NM-ENV$34,320
Dreyfus CorporationBank of New York Melloninvestor protection violation2000SEC$950,000
Dreyfus CorporationBank of New York Melloninvestor protection violation2000NY-AG$2,000,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSinvestor protection violation2004SEC$1,000,000
DITECH INCDitech Holding Corporationworkplace safety or health violation2014OSHA$5,880
Ditech Financial, LLCDitech Holding Corporationconsumer protection violation2016MA-AG$1,400,000
Ditech Financial LLCDitech Holding Corporationwage and hour violation2017private lawsuit-federal$1,383,000
DitechDitech Holding Corporationwage and hour violation2002private lawsuit-federal$6,150,000
Discover Financial Services, Inc./Millenium Teleservices, Inc.Discover Financial Servicesprivacy violation2002KY-AG$5,000
Discover Financial ServicesDiscover Financial Servicesconsumer protection violation2014HI-AG$2,825,000
Discover Financial ServicesDiscover Financial Servicesconsumer protection violation2015MO-AG$760,000
Discover Financial ServicesDiscover Financial Servicesconsumer protection violation2013WV-AG$1,950,000
Discover Financial ServicesDiscover Financial Serviceseconomic sanction violation2010OFAC$8,720
Discover Bank et al.Discover Financial Servicesconsumer protection violation2020CFPB$35,000,000
Discover BankDiscover Financial Servicesconsumer protection violation2015CFPB$18,500,000
Discover BankDiscover Financial Servicesconsumer protection violation2012CFPB$214,000,000
Discover BankDiscover Financial Servicesconsumer protection violation2011MN-AG$2,000,000
Deutsche Investment Management Americas, Inc. et al.Deutsche Bankinvestor protection violation2006SEC$19,329,729
Deutsche BankAGDeutsche Bankprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
DEUTSCHE BANK USADeutsche Bankworkplace safety or health violation2013OSHA$5,250
Deutsche Bank Trust Company AmericasDeutsche Bankinvestor protection violation2007SEC$750,000
Deutsche Bank Trust Company AmericasDeutsche Bankinvestor protection violation2019SEC$500,000
Deutsche Bank Trust Company AmericasDeutsche Bankeconomic sanction violation2013OFAC$19,800
Deutsche Bank Trust Company AmericasDeutsche Bankeconomic sanction violation2020OFAC$583,100
Deutsche Bank Trust Company AmericasDeutsche Bankbanking violation2022FED$105,500
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2018SEC$73,200,000
Deutsche Bank Securities, Inc.,Deutsche Bankinvestor protection violation2008FINRA$150,000
Deutsche Bank Securities, Inc. and Deutsche Bank AGDeutsche Bankinvestor protection violation2008MULTI-AG$3,348,333,333
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2006SEC$442,954
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2009NJ-AG$1,057,350
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2016NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,000,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2013FINRA$6,500,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2004FINRA$15,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2004FINRA$5,000,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2004FINRA$5,290,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2004SEC$87,500,000
Deutsche Bank Securities Inc.Deutsche Bankdata submission deficiencies2002SEC$1,650,000
Deutsche Bank Securities Inc.Deutsche Bankprice-fixing or anti-competitive practices2018CFTC$70,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2018SEC$4,450,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2019SEC$2,971,462
Deutsche Bank Securities Inc.Deutsche Banktoxic securities abuses2016VA-AG$5,621,897
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2013MA-SEC$17,500,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2010NC-SEC$7,800,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor 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. $15,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2005MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $28,750,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2020CFTC$1,250,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2017FINRA$2,500,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2016FINRA$3,250,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2016FINRA$12,500,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2016FINRA$6,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2015FINRA$1,400,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2014FINRA$4,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2010FINRA$7,500,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2022SEC$125,000,000
Deutsche Bank Securities Inc.Deutsche Bankprice-fixing or anti-competitive practices2021private lawsuit-federal$48,500,000
Deutsche Bank Securities Inc.Deutsche Bankconsumer protection violation2015private lawsuit-federal$10,571,428
Deutsche Bank SecuritiesDeutsche Banktoxic securities abuses2011NCUA$145,000,000
Deutsche Bank SecuritiesDeutsche Bankaccounting fraud or deficiencies2014CFTC$3,000,000
Deutsche Bank SecuritiesDeutsche Bankinvestor protection violation2016SEC$9,500,000
Deutsche Bank SecuritiesDeutsche Bankinvestor protection violation2010FINRA$575,000
Deutsche Bank Energy Trading LLDeutsche Bankprice-fixing or anti-competitive practices2013FERC$1,670,000
Deutsche Bank Americas Holding Corp.Deutsche Bankbenefit plan administrator violation2019private lawsuit-federal$21,900,000
Deutsche Bank AG and Deutsche Bank Trust Co. AmericaDeutsche Bankbanking violation2020NY-DFS$150,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2018CFTC$30,000,000
Deutsche Bank AGDeutsche Bankeconomic sanction violation2015FED$58,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$775,000,000
Deutsche Bank AGDeutsche Bankinvestor protection violation2015SEC$55,000,000
Deutsche Bank AGDeutsche Banktoxic securities abuses2013FHFA$1,925,000,000
Deutsche Bank AGDeutsche Bankdata submission deficiencies2015CFTC$2,500,000
Deutsche Bank AGDeutsche Banktoxic securities abuses2012USAO$202,300,000
Deutsche Bank AGDeutsche Banktax violations2010USAO$553,633,153
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2017FED$41,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2017FED$156,600,000
Deutsche Bank AGDeutsche BankForeign Corrupt Practices Act2019SEC$16,178,850
Deutsche Bank AGDeutsche Bankinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $208,000,000
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2017NY-DFS$425,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2018NY-DFS$205,000,000
Deutsche Bank AGDeutsche Bankinvestor protection violation2020CFTC$9,000,000
Deutsche Bank AGDeutsche BankForeign Corrupt Practices Act2021SEC$43,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2017private lawsuit-federal$77,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2018private lawsuit-federal$170,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2018private lawsuit-federal$190,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2021private lawsuit-federal$38,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2022private lawsuit-federal$11,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2022private lawsuit-federal$8,000,000
Deutsche Bank AGDeutsche Bankconsumer protection violation2019private lawsuit-federal$55,000,000
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2023FED$186,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2023private lawsuit-federal$13,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2023private lawsuit-federal$5,000,000
Deutsche Bank A.G.Deutsche Bankeconomic sanction violation2003OFAC$5,500
Deutsche Bank (Suisse) SADeutsche Banktax violations2015DOJ_TAX$31,026,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2015CFTC$800,000,000
Deutsche BankDeutsche Bankeconomic sanction violation2004OFAC$5,500
Deutsche BankDeutsche Bankinvestor protection violation2016SEC$18,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.