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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,816,534,046
Number of Records: 7,081
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$83,354,221,356271
JPMorgan Chase$36,129,269,434222
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
Goldman Sachs$16,599,475,84889
NatWest Group PLC$13,515,546,85731
Credit Suisse$10,932,400,12651
Morgan Stanley$10,167,765,234190

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
Bank of New York MellonBank of New York Mellonbanking violation2015USAO$714,000,000
BNY Mellon Capital Markets, LLCBank of New York Melloninvestor protection violation2015SEC$120,000
Mellon Bank, N.A.Bank of New York MellonFalse Claims Act and related2007DOJ_CIVIL$16,500,000
The Bank of New YorkBank of New York Melloneconomic sanction violation2005OFAC$5,844
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$137,500
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$34,623
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$27,500
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$5,500
Mellon Bank N.A.Bank of New York Melloneconomic sanction violation2004OFAC$10,400
Bank of New YorkBank of New York Melloneconomic sanction violation2003OFAC$24,750
BNY MellonBank of New York Melloninvestor protection violation2017SEC$6,600,000
Bank of New York Mellon CorporationBank of New York Mellonbanking violation2017FED$3,000,000
The Bank of New YorkBank of New York Mellonanti-money-laundering deficiencies2005USAO$38,000,000
Bank of New York Mellon (Shanghai Branch)Bank of New York Mellonexport control violation2011BIS$30,000
BNY Mellon Securities LLCBank of New York Melloninvestor protection violation2011SEC$24,045,447
Bank of New York MellonBank of New York Mellonbenefit plan administrator violation2015EBSA$84,000,000
Bank of New York MellonBank of New York Mellonbanking violation2018FED$16,000
The Bank Of New YorkBank of New York Melloninvestor protection violation2007SEC$750,000
Dreyfus CorporationBank of New York Melloninvestor protection violation2000SEC$950,000
Bank of New York Mellon CorporationBank of New York Mellonbenefit plan administrator violation2015private lawsuit-federal$335,000,000
Bank of New York Mellon CorporationBank of New York Mellonbenefit plan administrator violation2009private lawsuit-federal$2,200,000
Bank of New York MellonBank of New York Melloninvestor protection violation2018SEC$54,000,000
Bank of New York MellonBank of New York Melloninvestor protection violation2013FL-AG$28,000,000
Bank of New York MellonBank of New York Mellonemployment discrimination2010NJ-AG$188,037
Bank of New York MellonBank of New York Mellonbanking violation2015NY-AG$167,500,000
Bank of New York Mellon Corp.Bank of New York Melloninvestor protection violation2011MULTI-AG$1,300,000
BNY Mellon Shareowner ServicesBank of New York Melloninvestor protection violation2010MA-AG$30,000
Dreyfus CorporationBank of New York Melloninvestor protection violation2000NY-AG$2,000,000
Bank of New York MellonBank of New York Melloninvestor protection violation2019CFTC$750,000
Mellon Bank N.A.Bank of New York MellonFalse Claims Act and related2006USAO$18,130,405
BNY Mellon Capital Markets LLCBank of New York Melloninvestor protection violation2011TX-SEC$500,000
BNY Mellon Capital Markets, LLCBank of New York Melloninvestor protection violation2008FINRA$250,000
BNY Mellon Investment Adviser, Inc.Bank of New York Melloninvestor protection violation2022SEC$1,500,000
BNY Mellon Capital Markets LLCBank of New York Melloninvestor protection violation2022SEC$956,833
BMO Harris BankBank of Montrealemployment discrimination2013EEOC$400,000
BMO Harris Bank N.A.Bank of MontrealFamily and Medical Leave Act2015WHD$11,304
BMO FinancialBank of Montrealwage and hour violation2016private lawsuit-federal$700,000
BMO FinancialBank of Montrealwage and hour violation2015private lawsuit-federal$3,900,000
Harris N.A.Bank of Montrealbenefit plan administrator violation2007EBSA$274,600
BMO Harris Bank, N.A.Bank of Montrealfraud2018USAO$10,000,000
BMO Capital Markets CorporationBank of Montrealinvestor protection violation2019SEC$3,946,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp.Bank of Montrealinvestor protection violation2019SEC$37,980,000
BMO Capital Markets Corp.Bank of Montrealinvestor protection violation2019SEC$1,950,000
BMO Capital Markets Corp.Bank of Montrealinvestor protection violation2008FINRA$150,000
Bank of HawaiiBank of Hawaiibenefit plan administrator violation2009EBSA$2,500,000
Bank of HawaiiBank of Hawaiiwage and hour violation2018WHD$7,631
Bank of ChinaBank of Chinaeconomic sanction violation2005OFAC$11,000
Bank of ChinaBank of Chinaeconomic sanction violation2004OFAC$10,000
Bank of ChinaBank of Chinabanking violation2002OCC$10,000,000
Bank of ChinaBank of Chinabanking violation2018OCC$12,500,000
Bank of China (UK) LimitedBank of Chinaeconomic sanction violation2021OFAC$2,329,991
Bank of AmericaBank of Americaprice-fixing or anti-competitive practices2010DOJ_ANTITRUST$137,300,000
Countrywide Home Loans, Inc. and BAC Home Loans Servicing LPBank of Americaconsumer protection violation2010FTC$108,000,000
Bank of America, N.A.Bank of Americaconsumer protection violation2014CFPB$747,000,000
Bank of America, National AssociationBank of Americabanking violation2015OCC$1,104,530
Bank of America, National AssociationBank of Americabanking violation2015OCC$30,000,000
Bank of America, National AssociationBank of Americabanking violation2014OCC$250,000,000
Bank of America, National AssociationBank of Americabanking violation2014OCC$25,000,000
Bank of AmericaBank of Americabanking violation2013OCC$2,886,578,478
BANK OF AMERICA CORPORATIONBank of Americabanking violation2015FED$205,000,000
Bank of America CorporationBank of Americabanking violation2012FED$175,500,000
Bank of America CorporationBank of Americamortgage abuses2014DOJ$16,650,000,000
Bank of America CorporationBank of Americamortgage abuses2012DOJ$10,956,600,000
BAC Home Loans Servicing LP fka Countrywide Home Loans Servicing LPBank of Americamortgage abuses2011DOJ_CIVIL$20,000,000
Merrill LynchBank of Americainvestor protection violation2015SEC$10,900,000
Bank of America CorporationBank of Americainvestor protection violation2014SEC$7,650,000
Merrill LynchBank of Americatoxic securities abuses2013SEC$131,800,000
Bank of AmericaBank of Americainvestor protection violation2010SEC$150,000,000
Bank of America CorporationBank of Americatoxic securities abuses2014FHFA$9,300,000,000
Bank of AmericaBank of Americatoxic securities abuses2013FHFA$404,000,000
Bank of AmericaBank of Americatoxic securities abuses2011FHFA$1,300,000,000
Bank of AmericaBank of Americatoxic securities abuses2011FHFA$1,520,000,000
Bank of AmericaBank of Americatoxic securities abuses2013FHFA$10,350,000,000
Bank of AmericaBank of Americatoxic securities abuses2013NCUA$165,000,000
Merrill LynchBank of Americainvestor protection violation2014CFTC$1,200,000
Merrill LynchBank of Americainvestor protection violation2011CFTC$350,000
Bank of America N.A.Bank of Americabanking violation2012DOJ_RIGHTS$370,000,000
Countrywide Financial CorporationBank of Americamortgage abuses2011DOJ_RIGHTS$335,000,000
Bank of America N.A.Bank of Americaeconomic sanction violation2014OFAC$16,562,700
Merrill LynchBank of Americainvestor protection violation2016SEC$10,000,000
Merrill LynchBank of Americainvestor protection violation2016SEC$415,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2015SEC$500,000
Merrill LynchBank of Americainvestor protection violation2011SEC$10,000,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLCBank of Americadata submission deficiencies2007CFTC$500,000
U.S. Trust CorporationBank of Americabanking violation2001FED$5,000,000
Bank of AmericaBank of Americaeconomic sanction violation2004OFAC$13,573
Merrill Lynch, Pierce, Fenner & Smith, IncBank of Americaeconomic sanction violation2004OFAC$22,904
Bank of AmericaBank of Americaeconomic sanction violation2003OFAC$158,038
Lasalle Bank MidWest National AssociationBank of Americabanking violation2007OCC$125,000
Lasalle Bank National AssociationBank of Americabanking violation2007OCC$79,524
Lasalle Bank MidWest National AssociationBank of Americabanking violation2005OCC$6,250,000
Bank of America CorporationBank of Americainvestor protection violation2009SEC$33,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2009SEC$7,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2009SEC$1,000,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2008SEC$9,763,634
Banc of America Securities LLCBank of Americafraud2007SEC$26,000,000
Banc of America Securities LLCBank of Americainvestor protection violation2006SEC$750,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2006SEC$1,500,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLCBank of Americainvestor protection violation2005SEC$375,000,000
FleetBoston Financial CorporationBank of Americainvestor protection violation2004SEC$140,000,000
Banc of America Securities LLCBank of Americainvestor protection violation2004SEC$10,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.