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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$347,398,347,522
Number of Records: 7,169
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$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
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 ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon .
Citibank N.A.Citigroupinvestor protection violation2022CFTC$75,000,000
Credit SuisseCredit Suisseinvestor protection violation2022CFTC$75,000,000
Deutsche BankDeutsche Bankinvestor protection violation2022CFTC$75,000,000
Goldman SachsGoldman Sachsinvestor protection violation2022CFTC$75,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2022CFTC$75,000,000
UBS AGUBSinvestor protection violation2022CFTC$75,000,000
Nationstar Mortgage, LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2020CFPB$74,500,000
PHH Corp.Ocwen FinancialFalse Claims Act and related2017DOJ_CIVIL$74,453,802
State FarmState Farm Insuranceconsumer protection violation2008MS-AG$74,000,000
Premera Blue CrossPremera Blue Crossprivacy violation2020private lawsuit-federal$74,000,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2018SEC$73,200,000
Bank of AmericaBank of Americawage and hour violation2013private lawsuit-federal$73,000,000
Capital OneCapital One Financialprivacy violation2015private lawsuit-federal$73,000,000
Wells Fargo Bank, N.A.Wells Fargobanking violation2021USAO$72,600,000
Federated Investors, Inc.Federated Hermesinvestor protection violation2005SEC$72,000,000
JPMorgan SecuritiesJPMorgan Chasekickbacks and bribery2016DOJ_CRIMINAL$72,000,000
Allstate Texas Lloyd'sAllstateinsurance violation2008TX-INS$71,300,000
Franklin American Mortgage CompanyCitizens Financial Groupmortgage abuses2015DOJ_CIVIL$70,000,000
Wells Fargo Bank, N.A.Wells Fargobanking violation2016OCC$70,000,000
Citigroup Inc.Citigroupbanking violation2004FED$70,000,000
Citibank N.A.Citigroupanti-money-laundering deficiencies2018OCC$70,000,000
Deutsche Bank Securities Inc.Deutsche Bankinterest rate benchmark manipulation2018CFTC$70,000,000
U.S. Bank National AssociationU.S. Bancorpanti-money-laundering deficiencies2018FINCEN$70,000,000
ACE American Insurance Company ET AL.Chubb LimitedFalse Claims Act and related2010NY-AG$70,000,000
UBSUBStoxic securities abuses2016NCUA$69,800,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2021FINRA$69,600,000
American ExpressAmerican Expressconsumer protection violation2013CFPB$69,100,000
American Skandia Investment Services, Inc.Prudential Financialinvestor protection violation2009SEC$68,000,000
UBS AGUBSinterest rate benchmark manipulation2018MULTI-AG$68,000,000
St. Paul Travelers Companies Inc.Travelersinvestor protection violation2005NM-AG$67,500,000
OppenheimerFundsInvescoinvestor protection violation2010NM-AG$67,300,000
Bank of AmericaBank of Americaprice-fixing or anti-competitive practices2010MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $67,000,000
Knight Securities, L.P.Virtu Financialinvestor protection violation2004SEC$66,500,000
SunTrust Mortgage, Inc.Truist Financialtoxic securities abuses2013FHFA$65,000,000
ServiceLink Holdings, LLCFidelity National Financialbanking violation2017FED$65,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinterest rate benchmark manipulation2018CFTC$65,000,000
Wells Fargo & CompanyWells Fargoinvestor protection violation2018NY-AG$65,000,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2020SEC$65,000,000
Legg Mason Inc.Franklin ResourcesForeign Corrupt Practices Act2018DOJ_CRIMINAL$64,200,000
M&T Bank Corp.M&T BankFalse Claims Act and related2016DOJ_CIVIL$64,000,000
Comenity Bank and Comenity Capital BankBread Financial Holdingsbanking violation2015FDIC$63,950,000
Green Tree Servicing LLCDitech Holding Corporationconsumer protection violation2015FTC$63,000,000
Morgan Stanley & Co. LLCMorgan Stanleytoxic securities abuses2016FDIC$62,950,000
Wells Fargo Bank N.A.Wells Fargobenefit plan administrator violation2014private lawsuit-federal$62,500,000
JPMorgan Chase & Co.JPMorgan Chasebanking violation2016FED$61,900,000
Bank of Nova ScotiaScotiabankprice-fixing or anti-competitive practices2020DOJ_CRIMINAL$60,400,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2013OCC$60,000,000
Sallie Mae Inc.SLM Corp.consumer protection violation2014DOJ_RIGHTS$60,000,000
State Street CorporationState Street Corp.benefit plan administrator violation2016private lawsuit-federal$60,000,000
Goldman Sachs & Co.Goldman Sachsmortgage abuses2009MA-AG$60,000,000
Wachovia SecuritiesWells Fargoinvestor protection violation2008MULTI-AG$60,000,000
Western UnionWestern Unionanti-money-laundering deficiencies2018NY-DFS$60,000,000
American-Amicable Life Insurance CompanyAmerican-Amicable Groupinsurance violation2006MULTI-FIN$60,000,000
Morgan Stanley Bank, N.A.Morgan Stanleybanking violation2020OCC$60,000,000
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022OCC$60,000,000
BNP Paribas (Suisse) SABNP Paribastax violations2015DOJ_TAX$59,783,000
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
Wachovia Bank N.A.Wells Fargoprice-fixing or anti-competitive practices2011MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $58,750,000
American International GroupAmerican International GroupFalse Claims Act and related2007MA-AG$58,500,000
Deutsche Bank AGDeutsche Bankeconomic sanction violation2015FED$58,000,000
Edward D. Jones & Co.Jones Financialemployment discrimination2021private lawsuit-federal$58,000,000
Deutsche Bank AGDeutsche Bankinvestor protection violation2015SEC$55,000,000
American Express Bank InternationalAmerican Expressanti-money-laundering deficiencies2007DOJ_CRIMINAL$55,000,000
Hartford Financial Services Group, Inc.Hartford Financial Servicesinvestor protection violation2006SEC$55,000,000
Countrywide Financial CorporationBank of Americabenefit plan administrator violation2009private lawsuit-federal$55,000,000
Goldman Sachs Group, Inc.Goldman Sachsinvestor protection violation2018FED$54,750,000
Goldman Sachs Group Inc.Goldman Sachsforeign exchange market manipulation2018NY-DFS$54,750,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2016SEC$54,300,000
Morgan StanleyMorgan Stanleyemployment discrimination2004EEOC$54,000,000
Bank of New York MellonBank of New York Melloninvestor protection violation2018SEC$54,000,000
Societe Generale S.A.Societe Generaleeconomic sanction violation2018OFAC$53,966,916
State Street Corp.State Street Corp.consumer protection violation2019MA-AG$53,500,000
U.S. BankU.S. Bancorpconsumer protection violation2014CFPB$53,000,000
WachoviaWells Fargotoxic securities abuses2015NCUA$53,000,000
JPMorgan ChaseJPMorgan Chasediscriminatory practices (non-employment)2017USAO$53,000,000
Regions BankRegions FinancialFalse Claims Act and related2016DOJ_CIVIL$52,400,000
Lincoln Financial GroupLincoln Nationalinsurance violation2017NY-DFS$52,200,000
Encore Capital GroupEncore Capital Groupconsumer protection violation2015CFPB$52,000,000
Ally Financial Inc.Ally Financialtoxic securities abuses2016USAO$52,000,000
RBS Financial Products Inc.NatWest Group PLCtoxic securities abuses2011MA-AG$52,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2014OCC$51,900,000
Industrial Bank of KoreaIndustrial Bank of Koreaanti-money-laundering deficiencies2020USAO$51,000,000
Credit SuisseCredit Suissetoxic securities abuses2016NCUA$50,300,000
Wachovia Bank N.A.Wells Fargobanking violation2010OCC$50,000,000
THE ROYAL BANK OF SCOTLAND GROUP PLCNatWest Group PLCbanking violation2013FED$50,000,000
JPMorgan Chase Bank N.A.JPMorgan Chasebankruptcy professional violation2015DOJ_UTP$50,000,000
UBS SecuritiesUBStoxic securities abuses2013SEC$50,000,000
Williams Power Company Inc.JPMorgan Chasedata submission deficiencies2006DOJ_CRIMINAL$50,000,000
Federal Home Loan Mortgage Corporation (Freddie Mac)Freddie Mac (Federal Home Loan Mortgage Corporation)investor protection violation2007SEC$50,000,000
MBIA Inc.MBIAaccounting fraud or deficiencies2007SEC$50,000,000
AIM Advisors, Inc. and AIM Distributors, Inc.Invescoinvestor protection violation2004SEC$50,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzinvestor protection violation2004SEC$50,000,000
Franklin Advisers, Inc.Franklin Resourcesinvestor protection violation2004SEC$50,000,000
Banc One Investment Advisors CorporationJPMorgan Chaseinvestor protection violation2004SEC$50,000,000
Massachusetts Financial Services CompanySun Life Financialinvestor protection violation2004SEC$50,000,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2003SEC$50,000,000
Societe Generale S.A.Societe Generaletoxic securities abuses2017USAO$50,000,000
Wachovia Bank N.A.Wells Fargoanti-money-laundering deficiencies2010USAO$50,000,000
Rabobank, National AssociationRabobankanti-money-laundering deficiencies2018OCC$50,000,000
Morgan StanleyMorgan Stanleywage and hour violation2009private lawsuit-federal$50,000,000
ICAP Capital Markets LLCCME Groupinterest rate benchmark manipulation2018CFTC$50,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.