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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $287,268,054,805
Number of Penalty Records: 11,008
Note: The totals here are adjusted to account for the fact that each current 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$41,332,842,096155
UBS$27,709,494,893134
JPMorgan Chase$27,007,359,167119
Citigroup$19,742,743,935103
Deutsche Bank$15,634,467,27866
Goldman Sachs$13,126,412,84157
NatWest Group PLC$12,235,546,85725
Wells Fargo$10,735,220,989127
Morgan Stanley$9,877,862,956163
BNP Paribas$9,164,773,00010

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the current parent name to reach the summary page for that parent company.

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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount sort icon
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. investor protection violation2016CFTC$490,246,741
GTV Media Group, Inc. and Saraca Media Group, Inc. investor protection violation2021NY-AG$479,900,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2009OH-AG$475,000,000
J.P. Morgan Chase Bank, N.A.JPMorgan Chasefinancial servicesanti-money-laundering deficiencies2014FINCEN$461,000,000
Waste Management, Inc.Waste Management Inc.waste management and environmental servicesinvestor protection violation2001CT-AG$457,000,000
KPMG LLPKPMGbusiness servicestax violations2005DOJ_TAX$456,000,000
TD Ameritrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2009MULTI-AG$456,000,000
U.S. BancorpU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018USAO$453,000,000
UBSUBSfinancial servicestoxic securities abuses2017NCUA$445,000,000
HealthSouthEncompass Healthhealthcare servicesaccounting fraud or deficiencies2006NM-AG$445,000,000
Moody's CorporationMoody'sinformation technologytoxic securities abuses2017MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $426,500,000
Deutsche Bank AGDeutsche Bankfinancial servicesanti-money-laundering deficiencies2017NY-DFS$425,000,000
Societe Generale SASociete Generalefinancial serviceseconomic sanction violation2018NY-DFS$420,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016SEC$415,000,000
UniCredit GroupUniCreditfinancial serviceseconomic sanction violation2019DOJ_CRIMINAL$413,536,632
Danske Bank A/SDanske Bankfinancial servicesanti-money-laundering deficiencies2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,000,000
UniCredit GroupUniCreditfinancial serviceseconomic sanction violation2019NY-DFS$405,000,000
Bank of AmericaBank of Americafinancial servicestoxic securities abuses2013FHFA$404,000,000
Federal National Mortgage Association (Fannie Mae)Fannie Maefinancial servicesaccounting fraud or deficiencies2006SEC$400,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.Citigroupfinancial servicesinvestor protection violation2003SEC$400,000,000
Marsh and McLennanMarsh & McLennanfinancial servicesinvestor protection violation2009MULTI-AG$400,000,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesinvestor 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. $400,000,000
Citibank, National AssociationCitigroupfinancial servicesbanking violation2020OCC$400,000,000
Citimortgage Inc. and Citibank N.A.Citigroupfinancial servicestoxic securities abuses2013FHFA$395,000,000
Credit AgricoleCredit Agricolefinancial serviceseconomic sanction violation2015NY-DFS$385,000,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2016SEC$382,400,000
HSBC HoldingsHSBCfinancial serviceseconomic sanction violation2012OFAC$375,000,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2005SEC$375,000,000
Banc of America Capital Management LLC et al.Bank of Americafinancial servicesinvestor 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. $375,000,000
Bank of America N.A.Bank of Americafinancial servicesbanking violation2012DOJ_RIGHTS$370,000,000
Rabobank National AssociationRabobankfinancial servicesanti-money-laundering deficiencies2018DOJ_CRIMINAL$368,701,259
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2022SEC$361,000,000
Citibank, National AssociationCitigroupfinancial servicesbanking violation2014OCC$350,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2014OCC$350,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2014OCC$350,000,000
Massachusetts Financial Services Co.Sun Life Financialfinancial servicesinvestor protection violation2004NY-AG$350,000,000
UBS AGUBSfinancial servicesbanking violation2015FED$342,000,000
CITIGROUP INC.Citigroupfinancial servicesbanking violation2015FED$342,000,000
JPMORGAN CHASE & CO.JPMorgan Chasefinancial servicesbanking violation2015FED$342,000,000
Standard Chartered BankStandard Charteredfinancial servicesanti-money-laundering deficiencies2012NY-DFS$340,000,000
SprintT-Mobile UStelecommunicationstax violations2018NY-AG$330,000,000
Credit Agricole Corporate and Investment BankCredit Agricolefinancial serviceseconomic sanction violation2015OFAC$329,593,585
Barclays Capital Inc.Barclaysfinancial servicestoxic securities abuses2015NCUA$325,000,000
Invesco Funds Group, Inc.Invescofinancial servicesinvestor protection violation2004SEC$325,000,000
Invesco Funds GroupInvescofinancial servicesinvestor 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. $325,000,000
UniCredit Bank AGUniCreditfinancial serviceseconomic sanction violation2019NY-MANDA$316,000,000
MCIVerizon Communicationstelecommunicationstax violations2005MULTI-AG$315,000,000
Bank of Tokyo Mitsubishi UFJMitsubishi UFJ Financial Groupfinancial serviceseconomic sanction violation2014NY-DFS$315,000,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2010SEC$313,300,000
ING Bank, NVINGfinancial serviceseconomic 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. $309,500,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2013OCC$300,000,000
Time Warner Inc. accounting fraud or deficiencies2005SEC$300,000,000
FleetBoston Financial Corp.Bank of Americafinancial servicesinvestor 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. $300,000,000
State Street Bank & Trust Co.State Street Corp.financial servicesinvestor protection violation2010MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000
Standard Chartered BankStandard Charteredfinancial servicesanti-money-laundering deficiencies2014NY-DFS$300,000,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicestoxic securities abuses2013CA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $298,973,000
Barclays Bank PLCBarclaysfinancial serviceseconomic sanction violation2010DOJ_CRIMINAL$298,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicestoxic securities abuses2012SEC$296,900,000
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2019DOJ_CRIMINAL$292,210,160
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2019NY-MANDA$292,000,000
Citigroup Inc.Citigroupfinancial servicestoxic securities abuses2014MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $291,750,000
Capital One, National AssociationCapital One Financialfinancial servicesanti-money-laundering deficiencies2021FINCEN$290,000,000
CitigroupCitigroupfinancial servicestoxic securities abuses2011SEC$285,000,000
Barclays Bank PLCBarclaysfinancial servicestoxic securities abuses2014FHFA$280,000,000
JPMorgan Chase & Co., and EMC Mortgage CorporationJPMorgan Chasefinancial servicesbanking violation2012FED$275,000,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2014SEC$275,000,000
Bear StearnsJPMorgan Chasefinancial servicesinvestor protection violation2012MI-AG$275,000,000
ROYAL BANK OF SCOTLAND PLCNatWest Group PLCfinancial servicesbanking violation2015FED$274,000,000
Bank Leumi GroupBank Leumifinancial servicestax violations2014DOJ_TAX$270,000,000
Prudential Equity GroupPrudential Financialfinancial servicesinvestor protection violation2006MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000
Prudential Equity GroupPrudential Financialfinancial servicesinvestor 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. $270,000,000
UBS Group AGUBSfinancial servicesbanking violation2023FED$268,500,000
Credit Suisse AGUBSfinancial serviceseconomic sanction violation2009DOJ_CRIMINAL$268,000,000
Credit Suisse AGUBSfinancial serviceseconomic sanction violation2009NY-MANDA$268,000,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2015SEC$267,000,000
Easterday Ranches, Inc. investor protection violation2021CFTC$263,008,042
Commerzbank AGCommerzbankfinancial serviceseconomic sanction violation2014OFAC$258,660,796
Bank of America, National AssociationBank of Americafinancial servicesbanking violation2014OCC$250,000,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006SEC$250,000,000
Qwest Communications International Inc.Lumen Technologiestelecommunicationsaccounting fraud or deficiencies2004SEC$250,000,000
Alliance Capital Management L.P.Equitable Holdingsfinancial servicesinvestor protection violation2003SEC$250,000,000
Bank of Tokyo Mitsubishi-UFJ, LtdMitsubishi UFJ Financial Groupfinancial serviceseconomic sanction violation2013NY-DFS$250,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2020OCC$250,000,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2021OCC$250,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesbanking violation2024OCC$250,000,000
HSBC Bank USA, National AssociationHSBCfinancial servicesbanking violation2013OCC$249,000,000
Aurora Bank FSB banking violation2013OCC$242,418,293
AXA RosenbergAXAfinancial servicesinvestor protection violation2011SEC$242,000,000
Intesa Sanpaolo S.p.A.Intesa Sanpaolofinancial servicesanti-money-laundering deficiencies2016NY-DFS$235,000,000
Schlumberger Oilfield HoldingsSchlumbergeroilfield services and supplieseconomic sanction violation2015OFAC$232,708,356
UBS Securities LLCUBSfinancial servicestoxic securities abuses2018NY-AG$230,000,000
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2012DOJ_CRIMINAL$227,000,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2015NCUA$225,000,000
Computer Associates International, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2004SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $225,000,000
Massachusetts Financial Services Co.Sun Life Financialfinancial servicesinvestor protection violation2004SEC$225,000,000
Goldman SachsGoldman Sachsfinancial servicestoxic securities abuses2016MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $225,000,000
Janus Capital ManagementJanus Hendersonfinancial servicesinvestor protection violation2004MULTI-AG$225,000,000
Computer Associates International, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2004USAO$225,000,000
Habib Bank economic sanction violation2017NY-DFS$225,000,000
Bank Hapoalim B.M.Bank Hapoalimfinancial servicestax violations2020NY-DFS$220,000,000
Andersen, LLP accounting fraud or deficiencies2002AZ-AG$217,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.