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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
UBS FINANCIAL SERVICES, INC.UBSinvestor protection violation2010VA-SEC$625,000
UBS Financial Services Inc.UBSinvestor protection violation2019VA-SEC$288,970
UBS Financial Services Inc.UBSinvestor protection violation2014VT-FIN$325,000
UBS Financial Services Inc.UBSinvestor protection violation2013MULTI-FIN$4,600,000
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000
UBS Warburg and UBS PaineWebberUBSinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
UBS Financial Services Inc.UBSinvestor protection violation2020SEC$10,000,000
UBS AGUBSenvironmental violation2011CT-ENV$80,000
UBS Financial Services Inc.UBSinvestor protection violation2019FINRA$2,000,000
UBS Financial Services Inc. and UBS Securities LLCUBSanti-money-laundering deficiencies2018FINRA$5,000,000
UBS Financial Services Incorporated of Puerto RicoUBSinvestor protection violation2015FINRA$18,500,000
UBS Financial ServicesUBSinvestor protection violation2012FINRA$2,354,584
UBS Securities LLCUBSinvestor protection violation2011FINRA$12,000,000
UBS Financial Services, Inc.UBSinvestor protection violation2011FINRA$10,750,000
UBS SecuritiesUBSinvestor protection violation2009FINRA$268,000
UBS Financial Services, Inc.UBSinvestor protection violation2009FINRA$100,000
UBS Financial Services, Inc.UBSinvestor protection violation2008FINRA$1,000,000
UBS Securities, LLCUBSinvestor protection violation2008FINRA$200,000
UBS Financial Services, Inc.UBSinvestor protection violation2007FINRA$370,000
UBS International Inc.UBSinvestor protection violation2005FINRA$10,000
Schwab Capital Markets, L.P.UBSinvestor protection violation2004FINRA$70,000
UBS Securities, L.L.C.UBSinvestor protection violation2004FINRA$10,000
UBS Financial Services Inc.UBSinvestor protection violation2004FINRA$200,666
Schwab Capital MarketsUBSinvestor protection violation2001FINRA$12,000
UBS Financial Services Inc.UBSinvestor protection violation2021SEC$8,112,174
UBS AGUBSinvestor protection violation2021CFTC$500,000
UBS Financial Services Inc.UBSinvestor protection violation2022SEC$25,000,000
UBS Financial Services Inc.UBSinvestor protection violation2022SEC$925,000
UBS AGUBSinvestor protection violation2022CFTC$75,000,000
UBS Securities LLCUBSinvestor protection violation2022FINRA$2,500,000
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor protection violation2022SEC$125,000,000
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.investor protection violation2010SEC$112,600,000
U.S. BankU.S. Bancorpconsumer protection violation2014CFPB$53,000,000
U.S. BankU.S. Bancorpbanking violation2013CFPB$3,200,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2016OCC$10,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2014OCC$51,900,000
U.S. BankU.S. Bancorpbanking violation2013OCC$208,156,501
U.S. BankU.S. BancorpFalse Claims Act and related2014DOJ_CIVIL$200,000,000
U.S. Bank National AssociationU.S. Bancorpinvestor protection violation2015CFTC$18,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2006OCC$125,000
U.S. Bank National AssociationU.S. Bancorpdiscriminatory practices (non-employment)2014HUD$11,489
U.S. Bank National AssociationU.S. Bancorpdiscriminatory practices (non-employment)2013HUD$12,000
U.S. Bank, National AssociationU.S. Bancorpmortgage abuses2011HUD$1,200,000
U.S. BankU.S. Bancorpwage and hour violation2008WHD$140,787
U.S. BancorpU.S. Bancorpwage and hour violation2006WHD$140,788
U.S. Bank National AssociationU.S. Bancorpbanking violation2017OCC$15,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2017OCC$183,920
U.S. BancorpU.S. Bancorpmortgage abuses2018FED$4,400,000
U.S. Bank Municipal Securities GroupU.S. Bancorpinvestor protection violation2015SEC$60,000
US BancorpU.S. Bancorpbanking violation2018FED$15,000,000
U.S. BancorpU.S. Bancorpanti-money-laundering deficiencies2018USAO$453,000,000
U.S. Bank National AssociationU.S. Bancorpanti-money-laundering deficiencies2018OCC$75,000,000
U.S. Bank National AssociationU.S. Bancorpanti-money-laundering deficiencies2018FINCEN$70,000,000
US BANKU.S. Bancorpwage and hour violation2014IL-DOL$131,922
U.S. BancorpU.S. Bancorpwage and hour violation2017private lawsuit-federal$7,000,000
U.S. BancorpU.S. Bancorpwage and hour violation2017private lawsuit-federal$1,150,000
U.S. BankU.S. Bancorpwage and hour violation2015private lawsuit-federal$3,031,075
U.S. BancorpU.S. Bancorpwage and hour violation2014private lawsuit-federal$6,450,000
U.S. Bank National AssociationU.S. Bancorpinvestor protection violation2005SEC$500,000
U.S. Bank Pension PlanU.S. Bancorpbenefit plan administrator violation2012private lawsuit-federal$9,600,000
U.S. BancorpU.S. Bancorpconsumer protection violation2005CA-AG$2,600,000
US BankU.S. Bancorpprivacy violation2000MULTI-AG$2,000,000
US Bank NAU.S. Bancorpconsumer protection violation2003NY-AG$33,500
US BankU.S. Bancorphousing code violation2016CA-LACA$13,500,000
U.S. Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2020SEC$15,992,441
U.S. Bank National AssociationU.S. Bancorpwage and hour violation2020private lawsuit-federal$6,500,000
U.S. BancorpU.S. Bancorpdiscriminatory practices (non-employment)2005private lawsuit-federal$2,495,000
U.S. Bank National AssociationU.S. Bancorpmortgage abuses2020DOJ_UTP$29,000,000
U.S. BankU.S. Bancorpprivacy violation2019private lawsuit-federal$2,670,336
US Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2010FINRA$275,000
U.S. BankU.S. Bancorpconsumer protection violation2021MA-AG$230,000
U.S. BankU.S. Bancorpbanking violation2022CFPB$37,500,000
U.S. BANCORP DBA US BANK MT. VERNON IL OFFICEU.S. Bancorpworkplace safety or health violation2015OSHA$8,775
Trustmark National BankTrustmarkbanking violation2012OCC$6,250
Trustmark National BankTrustmarkdiscriminatory practices (non-employment)2021CFPB(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
Trustmark National BankTrustmarkbanking violation2021OCC$4,000,000
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2014CFPB$550,000,000
SunTrust Banks, Inc.Truist Financialbanking violation2014FED$160,000,000
SunTrust Mortgage, Inc.Truist Financialtoxic securities abuses2013FHFA$65,000,000
SunTrust Mortgage Inc.Truist Financialbanking violation2012DOJ_RIGHTS$21,000,000
SunTrust Mortgage Inc.Truist Financialmortgage abuses2014DOJ_CIVIL$320,000,000
SunTrust Mortgage Inc.Truist FinancialFalse Claims Act and related2014DOJ_CIVIL$418,000,000
BANK OF KENTUCKY, INC., THETruist Financialbanking violation2009FDIC$30,415
BankAtlanticTruist Financialanti-money-laundering deficiencies2006DOJ_CRIMINAL$10,000,000
BankAtlanticTruist Financialeconomic sanction violation2008OFAC$7,500
BB&TTruist Financialeconomic sanction violation2007OFAC$10,000
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$40,423
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$30,800
SunTrust Capital Markets Inc.Truist Financialinvestor protection violation2006SEC$125,000
Branch Banking & Trust Company (BB&T)Truist FinancialFalse Claims Act and related2016DOJ_CIVIL$83,000,000
SunTrust Mortgage, Inc.Truist Financialdiscriminatory practices (non-employment)2013HUD$36,000
Branch Banking and Trust (BB&T)Truist Financialemployment discrimination2010EEOC$24,000
SunTrust BankTruist Financialemployment discrimination2014EEOC$300,000
SunTrust Mortgage Inc.Truist Financialwage and hour violation2012WHD$51,518
Branch Banking and Trust CompanyTruist Financialwage and hour violation2011WHD$12,314
BB&TTruist Financialwage and hour violation2011WHD$43,662
SunTrust Bank, Inc.Truist Financialwage and hour violation2006WHD$350,875
Grandbridge Real Estate Capital, LLCTruist Financiallabor relations violation2015NLRB$70,000
SunTrust BankTruist Financialbanking violation2017FED$1,501,000
SunTrust BanksTruist Financialinvestor protection violation2017SEC$1,100,000
BB&T Securities, LLCTruist Financialinvestor protection violation2016SEC$200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.