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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $287,662,850,737
Number of Penalty Records: 11,080
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$41,333,342,096156
UBS$27,713,994,893137
JPMorgan Chase$27,158,534,167124
Citigroup$19,750,393,935106
Deutsche Bank$15,638,617,27868
Goldman Sachs$13,128,062,84158
NatWest Group PLC$12,129,162,85723
Wells Fargo$10,735,730,989130
Morgan Stanley$9,905,512,956168
BNP Paribas$9,167,798,00012

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 Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
JPMorgan Chase BankJPMorgan Chasefinancial servicesaccounting fraud or deficiencies2012CFTC$20,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesanti-money-laundering deficiencies2014USAO$1,700,000,000
JPMorgan Chase BankJPMorgan Chasefinancial serviceseconomic sanction violation2011OFAC$88,300,000
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2014SEC$54,000
Bank OneJPMorgan Chasefinancial serviceseconomic sanction violation2004OFAC$5,500
Bank OneJPMorgan Chasefinancial serviceseconomic sanction violation2004OFAC$6,682
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
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006SEC$1,500,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006SEC$1,500,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2003SEC$135,000,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003SEC$80,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003SEC$80,000,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesbanking violation2016FED$61,900,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial serviceseconomic sanction violation2018OFAC$5,263,171
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2008SEC$1,998,143
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005SEC$700,000
JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2018SEC$135,100,000
First Republic Investment Management, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2019SEC$1,005,194
Bear Stearns & Co. LLCJPMorgan Chasefinancial 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. $80,000,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial 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. $80,000,000
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2014DE-AG$51,400
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2010FL-AG$25,000,000
J.P. Morgan Securities, LLCJPMorgan Chasefinancial servicesinvestor protection violation2014NJ-AG$50,460
JPMorgan ChaseJPMorgan Chasefinancial servicesinvestor protection violation2015MULTI-AG$150,000,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2010NJ-AG$1,149,028
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2003NY-MANDA$25,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2020SEC$1,822,438
J.P. Morgan Securities, LLCJPMorgan Chasefinancial servicesinvestor protection violation2014AK-DBS$51,120
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2014CT-SEC$53,800
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2018DC-DISB$5,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005IL-SEC$10,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2016IN-SEC$905,000
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2016IN-SEC$950,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2020KY-FIN$325,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2017MD-SEC$100,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor 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. $25,000,000
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2014MULTI-FIN$2,800,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor 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. $25,000,000
JPMorgan Chase & CompanyJPMorgan Chasefinancial servicesinvestor protection violation2020CFTC$920,200,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2020OCC$250,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2020SEC$35,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2019FINRA$1,100,000
J.P. Morgan Securities, LLCJPMorgan Chasefinancial servicesinvestor protection violation2017FINRA$1,250,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2009FINRA$32,500
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2004FINRA$250,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2004FINRA$4,950,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2004FINRA$280,469
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003FINRA$6,000,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2001FINRA$10,000
Chase Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2001FINRA$10,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicestoxic securities abuses2021NM-AG$4,642,857
Washington Mutual Mortgage Securities Corp.JPMorgan Chasefinancial servicestoxic securities abuses2021NM-AG$4,642,857
First Republic Investment Management, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2022SEC$1,825,953
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2022CFTC$850,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2022SEC$1,200,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2023SEC$4,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesinvestor protection violation2023CFTC$15,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2024SEC$18,000,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesbanking violation2024FED$98,200,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesbanking violation2024OCC$250,000,000
Jones Lang LaSalle IncorporatedJones Lang LaSallereal estateinvestor protection violation2014SEC$150,000
Edward D. Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2015SEC$20,000,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2004SEC$75,000,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2015SEC$100,000
Edward Jones & Co.Jones Financialfinancial servicesinvestor protection violation2008CA-AG$7,500,000
Edward D. Jones and Co.,LPJones Financialfinancial servicesinvestor protection violation2003AK-DBS$11,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2018AR-SEC$50,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2011IN-SEC$10,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2010ME-SEC$10,000
Edward D. Jones & Co. L.P.Jones Financialfinancial servicesinvestor protection violation2005MO-SEC$1,500,000
Edward D. Jones & Co. L.P.Jones Financialfinancial servicesinvestor protection violation2010MO-SEC$40,500
Edward JonesJones Financialfinancial servicesinvestor protection violation2010MT-FIN$100,000
Edward D. Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2003ND-SEC$7,000
Edward Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2014NH-BSR$750,000
Edward D. Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2016PA-BKG$135,000
Edward D. Jones & Co. L.P.Jones Financialfinancial servicesinvestor protection violation2019SD-INS$10,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2015FINRA$13,500,000
Edward Jones & Co., LPJones Financialfinancial servicesinvestor protection violation2004FINRA$300,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2022WA-SEC$175,000
Edward D. Jones & Co., LPJones Financialfinancial servicesinvestor protection violation2024PA-BKG$300,000
York International CorporationJohnson Controlsautomotive partseconomic sanction violation2008OFAC$669,507
Tyco International Ltd.Johnson Controlsautomotive partsaccounting fraud or deficiencies2006SEC$50,000,000
Tyco International Ltd.Johnson Controlsautomotive partsaccounting fraud or deficiencies2008NJ-AG$73,250,000
Tyco International Ltd.Johnson Controlsautomotive partsinvestor protection violation2002NH-BSR$5,100,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2016SEC$500,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2019SEC$3,918,000
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2006CT-SEC$14,450
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2011FINRA$1,925,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2022SEC$143,215
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2022SEC$50,000,000
Janus Henderson Investors US LLCJanus Hendersonfinancial servicesinvestor protection violation2022SEC$150,000
Jack Henry & Associates, Inc.Jack Henry & Associatesinformation technologyaccounting fraud or deficiencies2016SEC$780,000
Israel Discount Bank of New YorkIsrael Discount Bankfinancial servicesanti-money-laundering deficiencies2005NY-MANDA$8,500,000
Israel Discount Bank of New YorkIsrael Discount Bankfinancial servicesanti-money-laundering deficiencies2006NY-DFS$6,000,000
OppenheimerFunds Inc.Invescofinancial servicesinvestor protection violation2012SEC$35,000,000
WL Ross & Co. LLCInvescofinancial servicesinvestor protection violation2016SEC$2,300,000
OppenheimerFundsInvescofinancial servicesinvestor protection violation2010NM-AG$67,300,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.