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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 ParentPrimary Offense TypeYearAgency sort iconPenalty Amount
Bank of New York MellonBank of New York Melloninvestor protection violation2019CFTC$750,000
NatWest Markets PlcNatWest Group PLCinvestor protection violation2019CFTC$850,000
Northern Trust CompanyNorthern Trustinvestor protection violation2019CFTC$1,000,000
Societe Generale International LimitedSociete Generaleinvestor protection violation2019CFTC$2,500,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2019CFTC$650,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2019CFTC$5,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019CFTC$300,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2019CFTC$1,000,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$50,000,000
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$77,400,000
Interactive Brokers LLCInteractive Brokers Groupanti-money-laundering deficiencies2020CFTC$12,206,214
Deutsche Bank AGDeutsche Bankinvestor protection violation2020CFTC$9,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2020CFTC$1,250,000
Vitol Inc.Vitolfraud2020CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $95,700,000
Morgan Stanley Capital Services LLCMorgan Stanleyinvestor protection violation2020CFTC$5,000,000
Gain Capital Group, LLCStoneX Groupinvestor protection violation2020CFTC$300,000
JPMorgan Chase & CompanyJPMorgan Chaseinvestor protection violation2020CFTC$920,200,000
Citibank N.A.Citigroupinvestor protection violation2020CFTC$4,500,000
Coinbase Inc.Coinbase Global Inc.investor protection violation2021CFTC$6,500,000
Credit SuisseCredit Suisseinvestor protection violation2021CFTC$1,500,000
UBS AGUBSinvestor protection violation2021CFTC$500,000
Societe Generale S.A.Societe Generaleinvestor protection violation2021CFTC$1,500,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2021CFTC$84,320,000
Mizuho Capital Markets LLCMizuho Financialinvestor protection violation2021CFTC$1,500,000
Citibank, N.A.Citigroupinvestor protection violation2021CFTC$1,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2021CFTC$75,000,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2022CFTC$1,010,828
Glencore International A.G.Glencoreenergy market manipulation2022CFTC$1,186,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2022CFTC$850,000
BNP ParibasBNP Paribasinvestor protection violation2022CFTC$6,000,000
Bank of AmericaBank of Americainvestor protection violation2022CFTC$100,000,000
Barclays Bank PLCBarclaysinvestor protection violation2022CFTC$75,000,000
Cantor FitzgeraldCantor Fitzgeraldinvestor protection violation2022CFTC$6,000,000
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
Nomura SecuritiesNomurainvestor protection violation2022CFTC$50,000,000
UBS AGUBSinvestor protection violation2022CFTC$75,000,000
CitibankCitigroupconsumer protection violation2016CFPB$7,890,000
CitibankCitigroupconsumer protection violation2016CFPB$45,000,000
EZCORP Inc.EZCORP Inc.consumer protection violation2015CFPB$10,500,000
Fifth Third BankFifth Third Bancorpconsumer protection violation2015CFPB$21,500,000
Hudson City Savings BankM&T Bankbanking violation2015CFPB$32,750,000
Encore Capital GroupEncore Capital Groupconsumer protection violation2015CFPB$52,000,000
Springstone Financial, LLCLendingClub Corp.consumer protection violation2015CFPB$700,000
Citizens Bank, N.A.Citizens Financial Groupconsumer protection violation2015CFPB$18,500,000
Discover BankDiscover Financial Servicesconsumer protection violation2015CFPB$18,500,000
Citibank N.A.Citigroupconsumer protection violation2015CFPB$733,800,000
JPMorgan ChaseJPMorgan Chaseconsumer protection violation2015CFPB$186,000,000
Affinion Group Holdings, Inc.JPMorgan Chaseconsumer protection violation2015CFPB$8,700,000
Provident Funding AssociatesProvident Funding Associatesconsumer protection violation2015CFPB$9,000,000
PayPal Inc.PayPal Holdingsconsumer protection violation2015CFPB$25,000,000
Regions BankRegions Financialconsumer protection violation2015CFPB$7,500,000
Wells FargoWells Fargoconsumer protection violation2015CFPB$34,800,000
JPMorgan ChaseJPMorgan Chaseconsumer protection violation2015CFPB$900,000
M&T BankM&T Bankconsumer protection violation2014CFPB$3,100,000
Flagstar BankFlagstar Bancorpconsumer protection violation2014CFPB$37,500,000
U.S. BankU.S. Bancorpconsumer protection violation2014CFPB$53,000,000
Amerisave Mortgage Corporation and Novo Appraisal Management CompanyAmeriSave Mortgageconsumer protection violation2014CFPB$19,300,000
ACE Cash ExpressACE Cash Expressconsumer protection violation2014CFPB$15,000,000
GE Capital Retail Bank, now known as Synchrony BankSynchrony Financialconsumer protection violation2014CFPB$225,000,000
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2014CFPB$550,000,000
Bank of America, N.A.Bank of Americaconsumer protection violation2014CFPB$747,000,000
American ExpressAmerican Expressconsumer protection violation2013CFPB$69,100,000
National City Bank and its successor PNC BankPNC Financial Servicesbanking violation2013CFPB$35,000,000
Ally Financial Inc. and Ally BankAlly Financialconsumer protection violation2013CFPB$98,000,000
Ocwen Financial Corporation and Ocwen Loan ServicingOcwen Financialconsumer protection violation2013CFPB$2,125,000,000
GE Capital Retail Bank and CareCreditSynchrony Financialconsumer protection violation2013CFPB$34,100,000
Cash America International Inc.FirstCashpayday lending violation2013CFPB$19,000,000
Republic Mortgage Insurance CorporationOld Republic Internationalconsumer protection violation2013CFPB$100,000
Washington FederalWashington Federal Inc.consumer protection violation2013CFPB$34,000
Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A.JPMorgan Chaseconsumer protection violation2013CFPB$329,000,000
U.S. BankU.S. Bancorpbanking violation2013CFPB$3,200,000
American ExpressAmerican Expressconsumer protection violation2012CFPB$99,100,000
Discover BankDiscover Financial Servicesconsumer protection violation2012CFPB$214,000,000
Capital One Bank (U.S.A.), N.A.Capital One Financialconsumer protection violation2012CFPB$165,000,000
Santander Bank, N.A.Banco Santanderconsumer protection violation2016CFPB$10,000,000
BancorpSouth BankCadence Bankmortgage abuses2016CFPB$10,600,000
Wells Fargo BankWells Fargoconsumer protection violation2016CFPB$4,010,000
First National Bank of OmahaFirst National of Nebraskaconsumer protection violation2016CFPB$32,250,000
Wells Fargo BankWells Fargobanking violation2016CFPB$100,000,000
TMX Finance LLCTMX Financeconsumer protection violation2016CFPB$9,000,000
Navy Federal Credit UnionNavy Federal Credit Unionconsumer protection violation2016CFPB$28,500,000
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
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2017CFPB$1,750,000
American ExpressAmerican Expressconsumer protection violation2017CFPB$96,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseconsumer protection violation2017CFPB$4,600,000
Citibank N.A.Citigroupconsumer protection violation2017CFPB$6,000,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2018CFPB$500,000,000
TCF National BankHuntington Bancsharesconsumer protection violation2018CFPB$28,000,000
Citibank, N.A.Citigroupconsumer protection violation2018CFPB$335,000,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2018CFPB$11,790,000
Enova International, Inc.Enova Internationalconsumer protection violation2019CFPB$3,200,000
USAA Federal Savings BankUSAAconsumer protection violation2019CFPB$15,500,000
Freedom Mortgage CorporationFreedom Mortgagemortgage abuses2019CFPB$1,750,000
TD Bank, N.A.Toronto-Dominion Bankconsumer protection violation2020CFPB$122,000,000
Nationstar Mortgage, LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2020CFPB$74,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.