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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 Type sort iconYearAgencyPenalty Amount
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicestoxic securities abuses2016FDIC$62,950,000
Goldman SachsGoldman Sachsfinancial servicestoxic securities abuses2016DOJ$5,060,000,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2016DOJ$2,600,000,000
Standard & Poor's Financial Services LLCS&P Globalinformation technologytoxic securities abuses2015DOJ$1,375,000,000
Citigroup Inc.Citigroupfinancial servicestoxic securities abuses2014DOJ$7,000,000,000
JPMorgan ChaseJPMorgan Chasefinancial servicestoxic securities abuses2013DOJ$13,000,000,000
Standard & Poor's Ratings ServicesS&P Globalinformation technologytoxic securities abuses2015SEC$58,000,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2014SEC$275,000,000
Merrill LynchBank of Americafinancial servicestoxic securities abuses2013SEC$131,800,000
RBS Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2013SEC$153,700,000
UBS SecuritiesUBSfinancial servicestoxic securities abuses2013SEC$50,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicestoxic securities abuses2012SEC$296,900,000
Credit Suisse Securities (USA)UBSfinancial servicestoxic securities abuses2012SEC$120,000,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2012SEC$6,500,000
Option One Mortgage CorporationOcwen Financialfinancial servicestoxic securities abuses2012SEC$28,200,000
CitigroupCitigroupfinancial servicestoxic securities abuses2011SEC$285,000,000
Morgan Keegan & CompanyRaymond James Financialfinancial servicestoxic securities abuses2011SEC$200,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicestoxic securities abuses2011SEC$153,600,000
Wells Fargo Securities LLCWells Fargofinancial servicestoxic securities abuses2011SEC$11,000,000
Citigroup Inc.Citigroupfinancial servicestoxic securities abuses2010SEC$75,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicestoxic securities abuses2010SEC$550,000,000
HSBC North America Holdings Inc.HSBCfinancial servicestoxic securities abuses2014FHFA$550,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicestoxic securities abuses2014FHFA$3,150,000,000
RBS Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2014FHFA$99,500,000
First Horizon National CorporationFirst Horizon Nationalfinancial servicestoxic securities abuses2014FHFA$110,000,000
Barclays Bank PLCBarclaysfinancial servicestoxic securities abuses2014FHFA$280,000,000
Bank of America CorporationBank of Americafinancial servicestoxic securities abuses2014FHFA$9,300,000,000
Credit SuisseUBSfinancial servicestoxic securities abuses2014FHFA$885,000,000
Societe GeneraleSociete Generalefinancial servicestoxic securities abuses2014FHFA$122,000,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2014FHFA$1,250,000,000
Deutsche Bank AGDeutsche Bankfinancial servicestoxic securities abuses2013FHFA$1,925,000,000
UBS Americas Inc.UBSfinancial servicestoxic securities abuses2013FHFA$885,000,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2013FHFA$591,000,000
Bank of AmericaBank of Americafinancial servicestoxic securities abuses2013FHFA$404,000,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicestoxic securities abuses2013FHFA$869,000,000
Citimortgage Inc. and Citibank N.A.Citigroupfinancial servicestoxic securities abuses2013FHFA$395,000,000
SunTrust Mortgage, Inc.Truist Financialfinancial servicestoxic securities abuses2013FHFA$65,000,000
Bank of AmericaBank of Americafinancial servicestoxic securities abuses2011FHFA$1,300,000,000
Bank of AmericaBank of Americafinancial servicestoxic securities abuses2011FHFA$1,520,000,000
Bank of AmericaBank of Americafinancial servicestoxic securities abuses2013FHFA$10,350,000,000
CitigroupCitigroupfinancial servicestoxic securities abuses2013FHFA$968,000,000
UBSUBSfinancial servicestoxic securities abuses2016NCUA$69,800,000
Credit SuisseUBSfinancial servicestoxic securities abuses2016NCUA$50,300,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2015NCUA$225,000,000
WachoviaWells Fargofinancial servicestoxic securities abuses2015NCUA$53,000,000
Barclays Capital Inc.Barclaysfinancial servicestoxic securities abuses2015NCUA$325,000,000
Royal Bank of Scotland plcNatWest Group PLCfinancial servicestoxic securities abuses2015NCUA$129,600,000
Bank of AmericaBank of Americafinancial servicestoxic securities abuses2013NCUA$165,000,000
HSBCHSBCfinancial servicestoxic securities abuses2012NCUA$5,250,000
CitigroupCitigroupfinancial servicestoxic securities abuses2011NCUA$20,500,000
Deutsche Bank SecuritiesDeutsche Bankfinancial servicestoxic securities abuses2011NCUA$145,000,000
Fifth Third BancorpFifth Third Bancorpfinancial servicestoxic securities abuses2015USAO$85,000,000
Deutsche Bank AGDeutsche Bankfinancial servicestoxic securities abuses2012USAO$202,300,000
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc.Nomurafinancial servicestoxic securities abuses2016NCUA$3,000,000
Deutsche BankDeutsche Bankfinancial servicestoxic securities abuses2017DOJ_CIVIL$7,200,000,000
Moody's CorporationMoody'sinformation technologytoxic securities abuses2017DOJ_CIVIL$864,000,000
Credit SuisseUBSfinancial servicestoxic securities abuses2017DOJ_CIVIL$5,280,000,000
UBSUBSfinancial servicestoxic securities abuses2017NCUA$445,000,000
Royal Bank of Scotland PLCNatWest Group PLCfinancial servicestoxic securities abuses2017FHFA$5,500,000,000
RBS Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2017USAO$44,000,000
Societe Generale S.A.Societe Generalefinancial servicestoxic securities abuses2017USAO$50,000,000
Ally Financial Inc.Ally Financialfinancial servicestoxic securities abuses2016USAO$52,000,000
Jefferies LLCJefferies Financial Groupdiversifiedtoxic securities abuses2014USAO$25,000,000
Ambac Financial Group et al.Ambac Financialfinancial servicestoxic securities abuses2013USAO$101,900,000
Barclays Capital, Inc.Barclaysfinancial servicestoxic securities abuses2018USAO$2,000,000,000
Royal Bank of Scotland Group plcNatWest Group PLCfinancial servicestoxic securities abuses2018DOJ_CIVIL$4,900,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicestoxic securities abuses2018DOJ_CIVIL$2,090,000,000
Aurora Loan Services, LLC toxic securities abuses2018USAO$41,000,000
HSBCHSBCfinancial servicestoxic securities abuses2018USAO$765,000,000
General ElectricGeneral Electricdiversifiedtoxic securities abuses2019DOJ_CIVIL$1,500,000,000
Barclays Bank PLCBarclaysfinancial servicestoxic securities abuses2013MA-AG$36,100,000
Barclays Capital Inc.Barclaysfinancial servicestoxic securities abuses2016VA-AG$9,000,000
CitigroupCitigroupfinancial servicestoxic securities abuses2008MA-AG$20,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicestoxic securities abuses2016VA-AG$4,750,000
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
Comerica BankComericafinancial servicestoxic securities abuses2008MI-AG$110,000
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicestoxic securities abuses2016VA-AG$19,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicestoxic securities abuses2016VA-AG$1,200,000
DB Structured Products, Inc.Deutsche Bankfinancial servicestoxic securities abuses2013NV-AG$11,500,000
Deutsche BankDeutsche Bankfinancial servicestoxic securities abuses2017MD-AG$95,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicestoxic securities abuses2016VA-AG$5,621,897
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
Goldman, Sachs & Co.Goldman Sachsfinancial servicestoxic securities abuses2016VA-AG$2,900,000
HSBC Securities (USA) Inc.HSBCfinancial servicestoxic securities abuses2016VA-AG$2,500,000
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
JPMorgan ChaseJPMorgan Chasefinancial servicestoxic securities 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. $1,066,000,000
Merrill LynchBank of Americafinancial servicestoxic securities abuses2009MA-AG$300,000
Merrill LynchBank of Americafinancial servicestoxic securities abuses2008MA-AG$13,700,000
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
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2016IL-AG$22,500,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2016NY-AG$550,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicestoxic securities abuses2010MA-AG$102,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicestoxic securities abuses2008MA-AG$1,500,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicestoxic securities abuses2016VA-AG$6,900,000
Morgan Stanley Mortgage Capital HoldingsMorgan Stanleyfinancial servicestoxic securities abuses2011NV-AG$28,200,000
RBS Financial ProductsNatWest Group PLCfinancial servicestoxic securities abuses2012NV-AG$42,000,000
RBS Financial Products Inc.NatWest Group PLCfinancial servicestoxic securities abuses2011MA-AG$52,000,000
RBS Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2016VA-AG$10,000,000
RBS Securities, Inc.NatWest Group PLCfinancial servicestoxic securities abuses2016CT-AG$120,000,000
Royal Bank of ScotlandNatWest Group PLCfinancial servicestoxic securities abuses2017CA-AG$125,000,000
Royal Bank of ScotlandNatWest Group PLCfinancial servicestoxic securities abuses2018IL-AG$20,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.