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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 Companies | Total Penalty $ | Number of Records |
| Bank of America | $87,286,650,890 | 328 |
| JPMorgan Chase | $39,340,688,209 | 275 |
| UBS | $31,069,299,125 | 179 |
| Wells Fargo | $27,616,269,231 | 266 |
| Citigroup | $26,945,611,792 | 181 |
| Deutsche Bank | $20,011,467,563 | 99 |
| Goldman Sachs | $17,729,358,987 | 111 |
| NatWest Group PLC | $14,370,701,618 | 43 |
| Morgan Stanley | $10,780,502,443 | 203 |
| BNP Paribas | $10,363,464,666 | 23 |
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.
| Company | Current Parent | Primary Offense Type | Year | Agency | Penalty Amount  |
| Banc of America Securities LLC | Bank of America | investor protection violation | 2008 | MULTI-AG | $4,550,000,000 |
| Royal Bank of Scotland Group plc | NatWest Group PLC | toxic securities abuses | 2018 | DOJ_CIVIL | $4,900,000,000 |
| Goldman Sachs | Goldman Sachs | toxic securities abuses | 2016 | DOJ | $5,060,000,000 |
| Credit Suisse | UBS | toxic securities abuses | 2017 | DOJ_CIVIL | $5,280,000,000 |
| JPMorgan Chase & Co. | JPMorgan Chase | mortgage abuses | 2012 | DOJ | $5,333,600,000 |
| Wells Fargo & Company | Wells Fargo | mortgage abuses | 2012 | DOJ | $5,342,200,000 |
| Royal Bank of Scotland PLC | NatWest Group PLC | toxic securities abuses | 2017 | FHFA | $5,500,000,000 |
| Allianz Global Investors U.S. LLC | Allianz | investor protection violation | 2022 | USAO | $5,763,000,000 |
| Citigroup Inc. | Citigroup | toxic securities abuses | 2014 | DOJ | $7,000,000,000 |
| Citigroup Global Markets, Inc. and Citi Smith Barney | Citigroup | investor protection violation | 2008 | MULTI-AG | $7,100,000,000 |
| Deutsche Bank | Deutsche Bank | toxic securities abuses | 2017 | DOJ_CIVIL | $7,200,000,000 |
| Countrywide Home Loans | Bank of America | mortgage abuses | 2008 | MULTI-AG | $8,680,000,000 |
| BNP Paribas S.A. | BNP Paribas | economic sanction violation | 2015 | DOJ_CRIMINAL | $8,973,600,000 |
| Bank of America Corporation | Bank of America | toxic securities abuses | 2014 | FHFA | $9,300,000,000 |
| Bank of America | Bank of America | toxic securities abuses | 2013 | FHFA | $10,350,000,000 |
| Bank of America Corporation | Bank of America | mortgage abuses | 2012 | DOJ | $10,956,600,000 |
| UBS Securities LLC and UBS Financial Services, Inc. | UBS | investor protection violation | 2008 | MULTI-AG | $11,150,000,000 |
| JPMorgan Chase | JPMorgan Chase | toxic securities abuses | 2013 | DOJ | $13,000,000,000 |
| Bank of America Corporation | Bank of America | mortgage abuses | 2014 | DOJ | $16,650,000,000 |
