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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 Industry sort iconPrimary Offense TypeYearAgencyPenalty Amount
Bank OneJPMorgan Chasefinancial serviceseconomic sanction violation2004OFAC$5,500
Bank OneJPMorgan Chasefinancial serviceseconomic sanction violation2004OFAC$6,682
Barclays Bank PLCBarclaysfinancial serviceseconomic sanction violation2004OFAC$14,970
California United BankPacWest Bancorpfinancial serviceseconomic sanction violation2004OFAC$7,250
CitibankCitigroupfinancial serviceseconomic sanction violation2004OFAC$5,500
Citicorp Vendor Finance LtdCitigroupfinancial serviceseconomic sanction violation2004OFAC$7,379
Commerzbank AGCommerzbankfinancial serviceseconomic sanction violation2004OFAC$5,500
Deutsche BankDeutsche Bankfinancial serviceseconomic sanction violation2004OFAC$5,500
First Union BankWells Fargofinancial serviceseconomic sanction violation2004OFAC$18,740
Hanmi BankHanmi Financial Corp.financial serviceseconomic sanction violation2004OFAC$7,000
HSBC Bank USAHSBCfinancial serviceseconomic sanction violation2004OFAC$5,500
HSBC Bank USAHSBCfinancial serviceseconomic sanction violation2004OFAC$8,375
JP Morgan ChaseJPMorgan Chasefinancial serviceseconomic sanction violation2004OFAC$26,980
JP Morgan Chase & Co.JPMorgan Chasefinancial serviceseconomic sanction violation2004OFAC$17,303
JP Morgan Chase & Co.JPMorgan Chasefinancial serviceseconomic sanction violation2004OFAC$73,281
JP Morgan Chase BankJPMorgan Chasefinancial serviceseconomic sanction violation2004OFAC$9,748
JP Morgan Chase BankJPMorgan Chasefinancial serviceseconomic sanction violation2004OFAC$18,094
Mellon Bank N.A.Bank of New York Mellonfinancial serviceseconomic sanction violation2004OFAC$10,400
Merrill Lynch, Pierce, Fenner & Smith, IncBank of Americafinancial serviceseconomic sanction violation2004OFAC$22,904
Ruesch International, Inc.Western Unionfinancial serviceseconomic sanction violation2004OFAC$7,811
Santander Bank & Trust (Bahamas) LtdBanco Santanderfinancial serviceseconomic sanction violation2004OFAC$20,000
Wachovia BankWells Fargofinancial serviceseconomic sanction violation2004OFAC$11,000
Bank of AmericaBank of Americafinancial serviceseconomic sanction violation2003OFAC$158,038
Bank of New YorkBank of New York Mellonfinancial serviceseconomic sanction violation2003OFAC$24,750
Barclays Bank PLCBarclaysfinancial serviceseconomic sanction violation2003OFAC$10,107
Credit Lyonnais, NYCredit Agricolefinancial serviceseconomic sanction violation2003OFAC$5,500
Deutsche Bank A.G.Deutsche Bankfinancial serviceseconomic sanction violation2003OFAC$5,500
Guy Carpenter & Company, IncMarsh & McLennanfinancial serviceseconomic sanction violation2003OFAC$50,000
HSBC Bank USAHSBCfinancial serviceseconomic sanction violation2003OFAC$5,500
HSBC Bank USAHSBCfinancial serviceseconomic sanction violation2003OFAC$11,000
National City BankPNC Financial Servicesfinancial serviceseconomic sanction violation2003OFAC$5,500
Northern Trust, IBCNorthern Trustfinancial serviceseconomic sanction violation2003OFAC$18,027
Societe GeneraleSociete Generalefinancial serviceseconomic sanction violation2003OFAC$6,600
Societe GeneraleSociete Generalefinancial serviceseconomic sanction violation2003OFAC$11,000
State Street Bank & Trust CoState Street Corp.financial serviceseconomic sanction violation2003OFAC$22,000
UBS (USA) IncUBSfinancial serviceseconomic sanction violation2003OFAC$14,750
UBS (USA) IncUBSfinancial serviceseconomic sanction violation2003OFAC$5,000
Union Bank of CAU.S. Bancorpfinancial serviceseconomic sanction violation2003OFAC$14,913
Union Bank of CAU.S. Bancorpfinancial serviceseconomic sanction violation2003OFAC$12,000
Wells Fargo BankWells Fargofinancial serviceseconomic sanction violation2003OFAC$5,500
National City BankPNC Financial Servicesfinancial servicesbanking violation2009OCC$34,265
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2009OCC$51,205
First Tennessee Bank National AssociationFirst Horizon Nationalfinancial servicesbanking violation2009OCC$100,000
First National Bank of OmahaFirst National of Nebraskafinancial servicesbanking violation2009OCC$100,000
Capital One, National AssociationCapital One Financialfinancial servicesbanking violation2009OCC$125,000
Old National BankOld National Bancorpfinancial servicesbanking violation2008OCC$56,000
Northern Trust, National AssociationNorthern Trustfinancial servicesbanking violation2008OCC$125,000
Wachovia Bank, National AssociationWells Fargofinancial servicesbanking violation2008OCC$168,900,000
Associated Bank, National AssociationAssociated Banc-Corpfinancial servicesbanking violation2007OCC$125,000
Keybank National AssociationKeyCorpfinancial servicesbanking violation2007OCC$27,750
First Tennessee Bank National AssociationFirst Horizon Nationalfinancial servicesbanking violation2007OCC$125,000
Lasalle Bank MidWest National AssociationBank of Americafinancial servicesbanking violation2007OCC$125,000
Lasalle Bank National AssociationBank of Americafinancial servicesbanking violation2007OCC$79,524
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2006OCC$125,000
First National Bank of OmahaFirst National of Nebraskafinancial servicesbanking violation2006OCC$25,000
Seacoast National BankSeacoast Banking Corporation of Floridafinancial servicesbanking violation2006OCC$16,500
Lasalle Bank MidWest National AssociationBank of Americafinancial servicesbanking violation2005OCC$6,250,000
First Tennessee Bank National AssociationFirst Horizon Nationalfinancial servicesbanking violation2005OCC$180,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2005OCC$115,000
City National BankRoyal Bank of Canadafinancial servicesbanking violation2005OCC$750,000
First National Bank of OmahaFirst National of Nebraskafinancial servicesbanking violation2005OCC$20,000
Old National BankOld National Bancorpfinancial servicesbanking violation2004OCC$12,500
Old National BankOld National Bancorpfinancial servicesbanking violation2004OCC$7,500
National City BankPNC Financial Servicesfinancial servicesbanking violation2003OCC$56,800
Bank of ChinaBank of Chinafinancial servicesbanking violation2002OCC$10,000,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2009SEC$33,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2009SEC$500,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009SEC$17,300,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2009SEC$7,000,000
UBS AGUBSfinancial servicestax violations2009SEC$200,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2009SEC$1,000,000
Zurich Financial ServicesZurich Insurancefinancial servicesaccounting fraud or deficiencies2008SEC$25,000,000
AmSouth BankRegions Financialfinancial servicesinvestor protection violation2008SEC$11,400,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2008SEC$950,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2008SEC$9,763,634
Federal Home Loan Mortgage Corporation (Freddie Mac)Freddie Mac (Federal Home Loan Mortgage Corporation)financial servicesinvestor protection violation2007SEC$50,000,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2007SEC$10,500,000
First BanCorpFirst Bancorp (Puerto Rico)financial servicesaccounting fraud or deficiencies2007SEC$8,500,000
Barclays Bank PLCBarclaysfinancial servicesinsider trading2007SEC$10,943,561
The BISYS GroupCitigroupfinancial servicesaccounting fraud or deficiencies2007SEC$25,000,000
RenaissanceRe Holdings Ltd.RenaissanceRe Holdingsfinancial servicesaccounting fraud or deficiencies2007SEC$15,000,000
MBIA Inc.MBIAfinancial servicesaccounting fraud or deficiencies2007SEC$50,000,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinsider trading2006SEC$3,755,839
Hartford Financial Services Group, Inc.Hartford Financial Servicesfinancial servicesinvestor protection violation2006SEC$55,000,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2006SEC$125,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2006SEC$750,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006SEC$1,500,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2006SEC$1,500,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2006SEC$1,500,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006SEC$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2006SEC$1,500,000
Morgan Keegan & Company, Inc.Raymond James Financialfinancial servicesinvestor protection violation2006SEC$125,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2006SEC$1,500,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2006SEC$125,000
RBC Dain Rauscher IncRoyal Bank of Canadafinancial servicesinvestor protection violation2006SEC$1,500,000
SunTrust Capital Markets Inc.Truist Financialfinancial servicesinvestor protection violation2006SEC$125,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2006SEC$125,000
Federal National Mortgage Association (Fannie Mae)Fannie Maefinancial servicesaccounting fraud or deficiencies2006SEC$400,000,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005SEC$30,000,000
Huntington Bancshares, Inc.Huntington Bancsharesfinancial servicesaccounting fraud or deficiencies2005SEC$7,500,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2005SEC$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.