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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
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$14,370,701,61843
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 ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
Credit Suisse Group AGUBSForeign Corrupt Practices Act2021SEC$99,000,000
Ally Financial Inc. and Ally BankAlly Financialconsumer protection violation2013CFPB$98,000,000
CitigroupCitigroupwage and hour violation2008private lawsuit-federal$98,000,000
AEGON USA Investment Management LLC et al.Aegoninvestor protection violation2018SEC$97,600,000
Banamex USACitigroupanti-money-laundering deficiencies2017DOJ_CRIMINAL$97,440,000
Barclays CapitalBarclaysinvestor protection violation2017SEC$97,037,659
TIAA-CREF Individual & Institutional Services, LLCTIAAbenefit plan administrator violation2021NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $97,000,000
TIAA-CREF Individual & Institutional Services LLCTIAAaccounting fraud or deficiencies2021SEC$97,000,000
American ExpressAmerican Expressconsumer protection violation2017CFPB$96,000,000
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
Wells Fargo Bank, N.A.Wells Fargowage and hour violation2021private lawsuit-federal$95,696,122
Deutsche BankDeutsche Banktax violations2017USAO$95,000,000
Deutsche BankDeutsche Banktoxic securities abuses2017MD-AG$95,000,000
Capital One BankCapital One Financialprivacy violation2022private lawsuit-federal$95,000,000
Morgan Stanley & Co.Morgan Stanleyconsumer protection violation2014private lawsuit-federal$95,000,000
Western Union Financial Services, Inc.Western Unionanti-money-laundering deficiencies2010MULTI-AG$94,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2018private lawsuit-federal$94,000,000
Sallie Mae BankSLM Corp.banking violation2014FDIC$93,300,000
Citibank N.A.Citigroupprice-fixing or anti-competitive practices2019private lawsuit-federal$91,250,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2019private lawsuit-federal$91,250,000
John Hancock Life Insurance CompanyManulife Financialconsumer protection violation2019private lawsuit-federal$91,250,000
UBS AGUBSprice-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. $90,800,000
Credit Agricole S.A.Credit Agricoleeconomic sanction violation2015FED$90,300,000
Farmers Insurance ExchangeFarmers Insurance Exchangewage and hour violation2001private lawsuit-state$90,009,208
Credit Suisse AGUBSaccounting fraud or deficiencies2016SEC$90,000,000
BNP Paribas USA Inc.BNP Paribasprice-fixing or anti-competitive practices2018DOJ_ANTITRUST$90,000,000
BNP Paribas Securities Corp.BNP Paribasprice-fixing or anti-competitive practices2018CFTC$90,000,000
Banc One Investment Advisors CorporationJPMorgan Chaseinvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,000,000
PNC Bank N.A.PNC Financial Servicesconsumer protection violation2013private lawsuit-federal$90,000,000
Bank of AmericaBank of Americaconsumer protection violation2023CFPB$90,000,000
State Street Bank And Trust Co.State Street Corp.benefit plan administrator violation2010private lawsuit-federal$89,750,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2019SEC$88,780,000
JPMorgan Chase BankJPMorgan Chaseeconomic sanction violation2011OFAC$88,300,000
Wilmington Trust, N.A.M&T Bankbenefit plan administrator violation2020EBSA$88,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2004SEC$87,500,000
Deutsche BankDeutsche BankForeign Corrupt Practices Act2021DOJ_CRIMINAL$87,091,424
Wells Fargo & CompanyWells Fargobanking violation2012FED$87,000,000
Barclays Capital Inc.Barclaysprice-fixing or anti-competitive practices2020private lawsuit-federal$87,000,000
Nationstar Mortgage dba Mr. CooperMr. Cooper Groupconsumer protection violation2020MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $86,300,000
Lloyds Banking Group plcLloyds Banking Groupprice-fixing or anti-competitive practices2014DOJ_CRIMINAL$86,000,000
Wells Fargo & CompanyWells Fargobanking violation2011FED$85,000,000
Fifth Third BancorpFifth Third Bancorptoxic securities abuses2015USAO$85,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2017CFTC$85,000,000
USAA Federal Savings BankUSAAbanking violation2020OCC$85,000,000
Countrywide Financial Corp.Bank of Americamortgage abuses2008HI-DCCA$84,548,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2021CFTC$84,320,000
Bank of New York MellonBank of New York Mellonbenefit plan administrator violation2015EBSA$84,000,000
Central Payment Co.Global Payments Inc.consumer protection violation2022private lawsuit-federal$84,000,000
FleetBoston Financial CorpBank of Americabenefit plan administrator violation2008private lawsuit-federal$83,401,000
Branch Banking & Trust Company (BB&T)Truist FinancialFalse Claims Act and related2016DOJ_CIVIL$83,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2024SEC$83,000,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2024private lawsuit-federal$81,700,000
Wells Fargo Bank N.A.Wells Fargobankruptcy professional violation2015DOJ_UTP$81,600,000
Societe Generale S.A.Societe Generaleeconomic sanction violation2018FED$81,300,000
Assurant Inc.Assurantinsurance violation2016MULTI-FIN$80,217,000
BNP ParibasBNP ParibasFalse Claims Act and related2014DOJ_CIVIL$80,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2004DOJ_CRIMINAL$80,000,000
Strong Capital Management, Inc.Wells Fargoinvestor protection violation2004SEC$80,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceaccounting fraud or deficiencies2003SEC$80,000,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2003SEC$80,000,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2003SEC$80,000,000
UBS Warburg LLCUBSinvestor protection violation2003SEC$80,000,000
Merrill Lynch & Co. Inc.Bank of Americaaccounting fraud or deficiencies2003SEC$80,000,000
ACE, LtdChubb Limitedprice-fixing or anti-competitive practices2006MULTI-AG$80,000,000
Bear Stearns & Co. LLCJPMorgan Chaseinvestor 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. $80,000,000
Deutsche BankDeutsche Bankinvestor protection violation2002MULTI-AG$80,000,000
J.P. Morgan Chase & Co.JPMorgan Chaseinvestor 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. $80,000,000
UBS Warburg LLCUBSinvestor 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. $80,000,000
Capital One Bank (USA), National AssociationCapital One Financialbanking violation2020OCC$80,000,000
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022FINCEN$80,000,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2020private lawsuit-federal$80,000,000
Wells Fargo & CompanyWells Fargobenefit plan administrator violation2020private lawsuit-federal$79,000,000
Bank Julius Baer & Co. Ltd.Julius Baer Groupmoney laundering2021DOJ_CRIMINAL$79,000,000
MetLife BankMetLifebanking violation2013OCC$78,536,455
Coutts & Co LtdNatWest Group PLCtax violations2015DOJ_TAX$78,484,000
Citigroup Global Markets Inc.Citigroupconsumer protection violation2015private lawsuit-federal$78,333,333
Goldman SachsGoldman Sachsconsumer protection violation2015private lawsuit-federal$78,333,333
UBS Securities LLCUBSconsumer protection violation2015private lawsuit-federal$78,333,333
The Bank of Nova ScotiaScotiabankinvestor protection violation2020CFTC$77,400,000
Swiss Life Holding AG et al.Swiss Life Grouptax violations2021DOJ_TAX$77,374,337
OppenheimerFunds, Inc.Invescoinvestor protection violation2009IL-AG$77,230,000
St. Paul TravelersTravelersprice-fixing or anti-competitive practices2006MULTI-AG$77,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2017private lawsuit-federal$77,000,000
General American Life Insurance Company, Inc.MetLifeFalse Claims Act and related2002DOJ_CIVIL$76,000,000
Nationstar Mortgage, LLCMr. Cooper Groupconsumer protection violation2015private lawsuit-federal$76,000,000
Sallie Mae Inc.SLM Corp.consumer protection violation2013private lawsuit-federal$76,000,000
State Street Bank and Trust Co.State Street Corp.investor protection violation2016MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,500,000
Citigroup Inc.Citigrouptoxic securities abuses2010SEC$75,000,000
J.P. Morgan Securities Inc.JPMorgan Chasekickbacks and bribery2009SEC$75,000,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2004SEC$75,000,000
U.S. Bank National AssociationU.S. Bancorpanti-money-laundering deficiencies2018OCC$75,000,000
Merrill Lynch & Co., Inc.Bank of Americabenefit plan administrator violation2009private lawsuit-federal$75,000,000
JPMorgan ChaseJPMorgan Chaseprice-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. $75,000,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000
Credit Suisse First Boston LLCUBSinvestor 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. $75,000,000
JPMorgan ChaseJPMorgan Chasebenefit plan administrator violation2019private lawsuit-federal$75,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2021CFTC$75,000,000
Barclays Bank PLCBarclaysinvestor protection violation2022CFTC$75,000,000
Citibank N.A.Citigroupinvestor protection violation2022CFTC$75,000,000
Credit SuisseUBSinvestor protection violation2022CFTC$75,000,000
Deutsche BankDeutsche Bankinvestor protection violation2022CFTC$75,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.