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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
Cleco PowerMacquarieutility administrative violation2004LA-PSC$18,000,000
Cleco CorporationMacquarieenergy market violation2003FERC$2,850,000
Cleco CorporationMacquariewage and hour violation2017WHD$12,190
CLECO CORPORATIONMacquarieworkplace safety or health violation2017OSHA$8,626
CLECO CORPORATIONMacquarieworkplace safety or health violation2017OSHA$5,545
Cleco CorpMacquarieworkplace safety or health violation2012MSHA$9,310
Clearstream Banking SADeutsche Borseeconomic sanction violation2014OFAC$152,000,000
Claritas Investments Ltd.Principal Financialinvestor protection violation2013SEC$144,819
City National BankRoyal Bank of Canadabanking violation2010OCC$5,250
City National BankRoyal Bank of Canadabanking violation2005OCC$750,000
City National BankRoyal Bank of Canadadiscriminatory practices (non-employment)2023DOJ_RIGHTS$31,000,000
City National BankRoyal Bank of Canadabanking violation2024OCC$65,000,000
Citizens Republic Bancorp Inc.Huntington Bancsharesbanking violation2011DOJ_RIGHTS$3,600,000
CITIZENS FINANCIAL GROUP, INC.Citizens Financial Groupworkplace safety or health violation2017OSHA$6,338
Citizens Financial GroupCitizens Financial Groupwage and hour violation2014private lawsuit-federal$11,501,500
Citizens FinancialCitizens Financial Groupconsumer protection violation2013private lawsuit-federal$137,500,000
CITIZENS BUSINESS BANKCVB Financialbanking violation2009FDIC$16,200
Citizens Bank, National AssociationCitizens Financial Groupbanking violation2015OCC$2,000,000
Citizens Bank, N.A.Citizens Financial Groupconsumer protection violation2015CFPB$18,500,000
Citizens Bank of Rhode IslandCitizens Financial Groupenvironmental violation2007RI-ENV$7,510
Citizens Bank of PennsylvaniaCitizens Financial Groupdiscriminatory practices (non-employment)2016HUD$115,000
Citizens BankCitizens Financial Groupbanking violation2015FDIC$8,800,000
Citizens BankCitizens Financial Groupbanking violation2013FDIC$6,400,000
Citizens BankCitizens Financial Groupwage and hour violation2014private lawsuit-federal$3,000,000
Citizens BankCitizens Financial Groupconsumer protection violation2023CFPB$9,000,000
Citizens BankCitizens Financial Groupwage and hour violation2017MI-LEO$5,719
Citizens BankCitizens Financial Groupwage and hour violation2011MI-LEO$8,169
Citizens BankCitizens Financial Groupemployment discrimination2023EEOC$100,000
CitiMortgage, Inc.Citigroupconsumer protection violation2006HUD$650,000
CitiMortgage, Inc.Citigroupconsumer protection violation2014AR-SEC$20,000
CitiMortgage, Inc.Citigroupconsumer protection violation2019CA-DFPI$7,800,000
CITIMORTGAGE, INC.Citigroupworkplace safety or health violation2007OSHA$5,097
Citimortgage Inc. and Citibank N.A.Citigrouptoxic securities abuses2013FHFA$395,000,000
Citimortgage Inc.Citigroupmortgage abuses2012USAO$158,300,000
Citimortgage Inc.Citigroupconsumer protection violation2015private lawsuit-federal$2,200,000
CitigroupInc.Citigroupprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Citigroup, N. A.Citigroupeconomic sanction violation2008OFAC$16,250
Citigroup, Inc.Citigroupinvestor protection violation2005SEC$208,000,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003SEC$101,000,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003SEC$19,000,000
Citigroup, Inc.Citigroupbenefit plan administrator violation2019private lawsuit-federal$6,900,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003NY-MANDA$25,000,000
Citigroup Technology IncCitigroupwage and hour violation2016WHD$1,967,689
Citigroup Private Bank GP, Inc.Citigroupdata submission deficiencies2009CFTC$100,000
Citigroup Mortgage Loan Trust Inc.Citigroupconsumer protection violation2012private lawsuit-federal$24,975,000
CITIGROUP INC.Citigroupbanking violation2015FED$342,000,000
Citigroup Inc.Citigroupbanking violation2012FED$22,000,000
Citigroup Inc.Citigrouptoxic securities abuses2014DOJ$7,000,000,000
Citigroup Inc.Citigroupmortgage abuses2012DOJ$2,202,000,000
Citigroup Inc.Citigrouptoxic securities abuses2010SEC$75,000,000
Citigroup Inc.Citigroupbanking violation2004FED$70,000,000
Citigroup Inc.Citigroupconsumer protection violation2002FTC$215,000,000
Citigroup Inc.Citigroupbenefit plan administrator violation2014private lawsuit-federal$8,500,000
Citigroup Inc.Citigrouptoxic securities abuses2014MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $291,750,000
Citigroup Inc.Citigroupeconomic sanction violation2014OFAC$217,841
Citigroup Inc.Citigroupprice-fixing or anti-competitive practices2016private lawsuit-federal$23,000,000
Citigroup Inc.Citigroupprice-fixing or anti-competitive practices2018private lawsuit-federal$402,000,000
Citigroup Inc.Citigroupprice-fixing or anti-competitive practices2018private lawsuit-federal$42,000,000
Citigroup Inc.Citigroupprice-fixing or anti-competitive practices2020private lawsuit-federal$9,950,000
Citigroup Inc.Citigroupconsumer protection violation2016private lawsuit-federal$13,500,000
Citigroup Global Markets, Inc. and Citi Smith BarneyCitigroupinvestor protection violation2008MULTI-AG$7,100,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2006SEC$1,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2005SEC$20,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2007SEC$200,000
Citigroup Global Markets, Inc.Citigroupconsumer protection violation2014NY-AG$16,000,000
Citigroup Global Markets, Inc.Citigroupconsumer protection violation2015NY-AG$4,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2017NY-AG$23,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010AK-DBS$150,507
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2015AK-DBS$35,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010IN-SEC$692,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010MO-SEC$277,500
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2014FINRA$15,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2012FINRA$3,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2012FINRA$725,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2011FINRA$500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010FINRA$650,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2008FINRA$300,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2007FINRA$15,200,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2006FINRA$350,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2005FINRA$6,250,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$275,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$250,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$250,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2023SEC$1,975,000
Citigroup Global Markets, IncCitigroupinvestor protection violation2012FINRA$2,741,489
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.Citigroupinvestor protection violation2003SEC$400,000,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLCCitigroupinvestor protection violation2015SEC$180,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015SEC$500,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2017CFTC$25,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2018SEC$12,937,475
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009DE-AG$309,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009NJ-AG$3,300,932
Citigroup Global Markets Inc.Citigrouptoxic securities abuses2016VA-AG$4,750,000
Citigroup Global Markets Inc.Citigroupconsumer protection violation2009CT-BKG$75,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015CT-SEC$35,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2012MA-SEC$2,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2013MA-SEC$30,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015NH-BSR$35,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2010TX-SEC$130,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2014VA-SEC$9,500
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.