Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
Standard Chartered BankStandard Charteredeconomic sanction violation2012OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $132,000,000
Merrill LynchBank of Americatoxic securities abuses2013SEC$131,800,000
HSBC North America Holdings, Inc.HSBCbanking violation2016FED$131,000,000
JPMorgan Chase & Co.JPMorgan ChaseForeign Corrupt Practices Act2016SEC$130,000,000
Bank LeumiBank Leumitax violations2014NY-DFS$130,000,000
Citibank N.A.Citigroupprice-fixing or anti-competitive practices2018private lawsuit-federal$130,000,000
Royal Bank of Scotland plcNatWest Group PLCtoxic securities abuses2015NCUA$129,600,000
Mizuho Financial GroupMizuho Financialinvestor protection violation2012SEC$127,500,000
Ocwen Financial ServicesOcwen Financialmortgage abuses2013MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $127,300,000
Trafigura Beheer B.V. TrafiguraForeign Corrupt Practices Act2024DOJ_CRIMINAL$126,998,297
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceinvestor protection violation2005SEC$125,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2003SEC$125,000,000
AIM AdvisorsInvescoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceinvestor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
H&R Block, Inc.H&R Blockdiscriminatory practices (non-employment)2011MA-AG$125,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2017CA-AG$125,000,000
Merrill LynchBank of Americainvestor 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. $125,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2021SEC$125,000,000
Bank of America NABank of Americabanking violation2022OCC$125,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2022SEC$125,000,000
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2022SEC$125,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2022SEC$125,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2022SEC$125,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2022SEC$125,000,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2022SEC$125,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2022SEC$125,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor protection violation2022SEC$125,000,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2011private lawsuit-federal$125,000,000
Wells Fargo Securities, LLC et al.Wells Fargoinvestor protection violation2023SEC$125,000,000
MetLife Home Loans LLCMetLifeFalse Claims Act and related2015DOJ_CIVIL$123,500,000
John Hancock Life Insurance CompanyManulife Financialconsumer protection violation2022private lawsuit-federal$123,074,128
Societe GeneraleSociete Generaletoxic securities abuses2014FHFA$122,000,000
TD Bank, N.A.Toronto-Dominion Bankconsumer protection violation2020CFPB$122,000,000
Credit Suisse Securities (USA)UBStoxic securities abuses2012SEC$120,000,000
Goldman SachsGoldman Sachsprice-fixing or anti-competitive practices2016CFTC$120,000,000
Allstate InsuranceAllstatewage and hour violation2005private lawsuit-state$120,000,000
RBS Securities, Inc.NatWest Group PLCtoxic securities abuses2016CT-AG$120,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2018private lawsuit-federal$120,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.investor protection violation2011SEC$118,000,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2016TX-INS$117,500,000
UBSUBSinvestor protection violation2010MI-AG$117,000,000
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$116,400,000
BarclaysBarclaysprice-fixing or anti-competitive practices2015CFTC$115,000,000
PNC ICLC Corp.PNC Financial Servicesaccounting fraud or deficiencies2003DOJ_CRIMINAL$115,000,000
Hartford Financial Services Group, Inc.Hartford Financial Servicesprice-fixing or anti-competitive practices2007MULTI-AG$115,000,000
Strong Capital Management Co.Wells Fargoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $115,000,000
State Street CorporationState Street Corp.fraud2021USAO$115,000,000
BNP Paribas GroupBNP Paribasprice-fixing or anti-competitive practices2018private lawsuit-federal$115,000,000
CompuCredit CorporationAtlanticus Holdingsconsumer protection violation2008FTC$114,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $113,500,000
Freedom Mortgage CorporationFreedom MortgageFalse Claims Act and related2016DOJ_CIVIL$113,000,000
Student Loan Xpress, Inc.First Citizens BancSharesconsumer protection violation2009MULTI-AG$112,825,000
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.investor protection violation2010SEC$112,600,000
Wachovia BankWells Fargoanti-money-laundering deficiencies2010FINCEN$110,000,000
First Horizon National CorporationFirst Horizon Nationaltoxic securities abuses2014FHFA$110,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2003SEC$110,000,000
Goldman SachsGoldman Sachsinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $110,000,000
Citibank N.A.Citigroupconsumer protection violation2014private lawsuit-federal$110,000,000
Credit SuisseUBSconsumer protection violation2016private lawsuit-federal$110,000,000
JPMorgan Chase BankJPMorgan Chaseconsumer protection violation2012private lawsuit-federal$110,000,000
Lincoln National Corp.Lincoln Nationalconsumer protection violation2023private lawsuit-federal$109,957,440
Ally FinancialAlly Financialmortgage abuses2012MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $109,628,425
Countrywide Home Loans, Inc. and BAC Home Loans Servicing LPBank of Americaconsumer protection violation2010FTC$108,000,000
ConvergEx GroupToronto-Dominion Bankinvestor protection violation2013SEC$107,424,429
Chase Bank USA N.A.JPMorgan Chaseconsumer protection violation2015MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $106,000,000
Lloyds Banking Group plcLloyds Banking Groupprice-fixing or anti-competitive practices2014CFTC$105,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2017FERC$105,000,000
Providian Financial Corp.JPMorgan Chaseconsumer protection violation2000private lawsuit-federal$105,000,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2023private lawsuit-federal$105,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2018private lawsuit-federal$104,500,000
Morgan Stanley & Co.Morgan Stanleytoxic securities abuses2010MA-AG$102,000,000
Ambac Financial Group et al.Ambac Financialtoxic securities abuses2013USAO$101,900,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003SEC$101,000,000
Credit Suisse AGUBSbanking violation2014FED$100,000,000
STANDARD CHARTERED PLCStandard Charteredbanking violation2012FED$100,000,000
JPMorgan Chase BankJPMorgan Chaseinvestor protection violation2015CFTC$100,000,000
JPMorgan ChaseJPMorgan Chaseinvestor protection violation2013CFTC$100,000,000
Wells Fargo BankWells Fargobanking violation2016CFPB$100,000,000
UBS AGUBSeconomic sanction violation2004FED$100,000,000
Janus Capital Management LLCJanus Hendersoninvestor protection violation2004SEC$100,000,000
Credit Suisse First Boston CorporationUBSinvestor protection violation2002SEC$100,000,000
Credit LyonnaisCredit Agricolefraud2003USAO$100,000,000
HSBC Holdings plcHSBCfraud2018DOJ_CRIMINAL$100,000,000
Capital One Bank (USA), National AssociationCapital One Financialanti-money-laundering deficiencies2018OCC$100,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2016MULTI-AG$100,000,000
CitibankCitigroupprice-fixing or anti-competitive practices2018MULTI-AG$100,000,000
Federated Investors, Inc.Federated Hermesinvestor protection violation2005NY-AG(*)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
Merrill LynchBank of Americainvestor protection violation2002NY-AG$100,000,000
Merrill Lynch & Co. Inc.Bank of Americainvestor protection violation2002MULTI-AG(*)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
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
Morgan Keegan & CompanyRaymond James Financialtoxic securities abuses2013MULTI-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
Bank of AmericaBank of Americabanking violation2022CFPB$100,000,000
Bank of AmericaBank of Americainvestor protection violation2022CFTC$100,000,000
Coinbase Inc.Coinbase Global Inc.anti-money-laundering deficiencies2023NY-DFS$100,000,000
HSBC Bank PLCHSBCprice-fixing or anti-competitive practices2018private lawsuit-federal$100,000,000
Visa USAVisaprice-fixing or anti-competitive practices2009private lawsuit-federal$100,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2013private lawsuit-federal$100,000,000
Chase Bank NAJPMorgan Chaseconsumer protection violation2012private lawsuit-federal$100,000,000
State Farm Fire and Casualty Co.State Farm InsuranceFalse Claims Act and related2022private lawsuit-federal$100,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2014FHFA$99,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.