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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$388,802,802,308
Number of Records: 7,734
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$87,294,650,890329
JPMorgan Chase$39,688,888,209277
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$14,264,317,61841
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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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Ace Cash ExpressACE Cash Expressconsumer protection violation2009OH-BKG$7,050
ACE Cash Express Inc.ACE Cash Expressconsumer protection violation2017PA-BKG$80,000
ACE CASH EXPRESS, INC.ACE Cash Expressconsumer protection violation2010VA-FIN$150,000
ACE CASH EXPRESS, INC.ACE Cash Expressconsumer protection violation2016VA-FIN$45,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2016WA-FIN$76,421
Academy Mortgage CorporationAcademy Mortgage Corp.labor relations violation2018NLRB$6,061
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2017AK-DBS$6,500
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2011ID-FIN$155,000
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2014WA-FIN$17,760
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2021PA-BKG$232,200
Academy Mortgage CorporationAcademy Mortgage Corp.False Claims Act and related2022DOJ_CIVIL$38,500,000
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V.ABN AMROeconomic sanction violation2010DOJ_CRIMINAL$500,000,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2013CFTC$1,000,000
ABN AMRO Bank, N.V.ABN AMROeconomic sanction violation2006OFAC$40,000,000
ABN AMRO Bank, IncABN AMROeconomic sanction violation2004OFAC$25,847
ABN AMRO Mortgage GroupABN AMROmortgage abuses2006HUD$41,000,000
ABN AMRO Bank, N.V.ABN AMROinvestor protection violation2013SEC$5,547,408
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2018CFTC$160,000
ABN AMRO IncorporatedABN AMROinvestor protection violation2001SEC$200,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2020SEC$586,000
ABN AMROABN AMROeconomic sanction violation2005NY-DFS$20,000,000
ABN AMRO IncorporatedABN AMROinvestor protection violation2005FINRA$220,000
Carolina Coastal Railway3i Infrastructure PLCrailroad safety violation2014FRA$5,250
Carolina Coastal Railway3i Infrastructure PLCrailroad safety violation2012FRA$5,000
East Penn Railroad3i Infrastructure PLCrailroad safety violation2010FRA$6,200
Florida Central Railroad3i Infrastructure PLCrailroad safety violation2013FRA$6,800
Indiana Eastern Railroad3i Infrastructure PLCrailroad safety violation2013FRA$5,300
Middletown & New Jersey Railroad3i Infrastructure PLCrailroad safety violation2013FRA$6,000
East Penn Railroad LLC3i Infrastructure PLCrailroad safety violation2017FRA$5,000
Carolina Coastal Railway, Inc.3i Infrastructure PLCrailroad safety violation2021FRA$8,000
Carolina Coastal Railway, Inc.3i Infrastructure PLCrailroad safety violation2021FRA$8,853
1st Financial Bank USA1st Financial Bank USAbanking violation2010FDIC$10,140,000
1ST FINANCIAL BANK USA1st Financial Bank USAbanking violation2009FDIC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $140,000
1st Financial Bank U.S.A.1st Financial Bank USAbanking violation2005WI-AG$43,142
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.