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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $286,391,284,995
Number of Penalty Records: 10,968
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$26,659,159,167117
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
UBS SecuritiesUBSfinancial servicestoxic securities abuses2013SEC$50,000,000
Bank of AmericaBank of Americafinancial servicestoxic securities abuses2013FHFA$404,000,000
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 abuses2013FHFA$10,350,000,000
WachoviaWells Fargofinancial servicestoxic securities abuses2015NCUA$53,000,000
HSBCHSBCfinancial servicestoxic securities abuses2012NCUA$5,250,000
CitigroupCitigroupfinancial servicestoxic securities abuses2011NCUA$20,500,000
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc.Nomurafinancial servicestoxic securities abuses2016NCUA$3,000,000
UBSUBSfinancial servicestoxic securities abuses2017NCUA$445,000,000
Barclays Capital Inc.Barclaysfinancial servicestoxic securities abuses2016VA-AG$9,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicestoxic securities abuses2016VA-AG$4,750,000
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 Bank Securities Inc.Deutsche Bankfinancial servicestoxic securities abuses2016VA-AG$5,621,897
Goldman, Sachs & Co.Goldman Sachsfinancial servicestoxic securities abuses2016VA-AG$2,900,000
HSBC Securities (USA) Inc.HSBCfinancial servicestoxic securities abuses2016VA-AG$2,500,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2016IL-AG$22,500,000
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 Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2016VA-AG$10,000,000
Royal Bank of ScotlandNatWest Group PLCfinancial servicestoxic securities abuses2018IL-AG$20,000,000
UBS Securities LLCUBSfinancial servicestoxic securities abuses2016VA-AG$850,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2018IL-AG$17,250,000
RBS Financial Products, Inc.NatWest Group PLCfinancial servicestoxic securities abuses2020MD-AG$18,000,000
Barclays Capital Inc.Barclaysfinancial servicestoxic securities abuses2021NM-AG$4,642,857
Citigroup Global Markets Inc.Citigroupfinancial servicestoxic securities abuses2021NM-AG$4,642,857
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicestoxic securities abuses2021NM-AG$4,642,857
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicestoxic securities abuses2021NM-AG$4,642,857
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicestoxic securities abuses2021NM-AG$4,642,857
NatWest Markets Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2021NM-AG$4,642,857
Washington Mutual Mortgage Securities Corp.JPMorgan Chasefinancial servicestoxic securities abuses2021NM-AG$4,642,857
D-Tronics tax violations2014DOJ_CRIMINAL$1,350,000
Ernst & Young LLPErnst & Youngbusiness servicestax violations2013USAO$123,000,000
BDO USA, LLPBDO Internationalbusiness servicestax violations2012USAO$50,000,000
Deutsche Bank AGDeutsche Bankfinancial servicestax violations2010USAO$553,633,153
Bank Julius Baer & Co. Ltd.Julius Baer Groupfinancial servicestax violations2016DOJ_TAX$547,000,000
HSZH Verwaltungs AG tax violations2016DOJ_TAX$49,000,000
Leodan Privatbank AG tax violations2016DOJ_TAX$500,000
Union Bancaire PriveeUnion Bancaire Priveefinancial servicestax violations2016DOJ_TAX$187,000,000
Bank Lombard Odier & Co Ltd tax violations2015DOJ_TAX$99,809,000
DZ Privatbank (Schweiz) AG tax violations2015DOJ_TAX$7,452,000
Bank J. Safra Sarasin AG tax violations2015DOJ_TAX$85,809,000
Coutts & Co LtdNatWest Group PLCfinancial servicestax violations2015DOJ_TAX$78,484,000
Gonet & Cie tax violations2015DOJ_TAX$11,454,000
Banque Cantonal du Valais tax violations2015DOJ_TAX$2,311,000
Banque Cantonale Vaudoise tax violations2015DOJ_TAX$41,677,000
Edmond de Rothschild (Suisse) SA and Edmond de Rothschild (Lugano) SA tax violations2015DOJ_TAX$45,245,000
Bordier & Cie Switzerland tax violations2015DOJ_TAX$7,827,000
PBZ Verwaltungs AG tax violations2015DOJ_TAX$5,570,000
PostFinance AG tax violations2015DOJ_TAX$2,000,000
Credit Agricole (Suisse) SACredit Agricolefinancial servicestax violations2015DOJ_TAX$99,211,000
Dreyfus Sons & Co Ltd, Banquiers tax violations2015DOJ_TAX$24,161,000
Baumann & Cie, Banquiers tax violations2015DOJ_TAX$7,700,000
Corner Banca SA tax violations2015DOJ_TAX$5,068,000
Bank Coop AG tax violations2015DOJ_TAX$3,223,000
Aargauische Kantonalbank tax violations2015DOJ_TAX$1,983,000
EFG Bank European Financial Group SA, Geneva and EFG Bank AG tax violations2015DOJ_TAX$29,988,000
Privatbank IHAG Zurich AG tax violations2015DOJ_TAX$7,453,000
Deutsche Bank (Suisse) SADeutsche Bankfinancial servicestax violations2015DOJ_TAX$31,026,000
BNP Paribas (Suisse) SABNP Paribasfinancial servicestax violations2015DOJ_TAX$59,783,000
KBL (Switzerland) Ltd. tax violations2015DOJ_TAX$18,792,000
Bank CIC tax violations2015DOJ_TAX$3,281,000
Maerki Baumann & Co. AG tax violations2015DOJ_TAX$23,920,000
Standard Chartered Bank (Switzerland) SA, en liquidationStandard Charteredfinancial servicestax violations2015DOJ_TAX$6,337,000
Banque Internationale a Luxembourg (Suisse) SA tax violations2015DOJ_TAX$9,710,000
Zuger Kantonalbank tax violations2015DOJ_TAX$3,798,000
Banque Bonhote & Cie SA tax violations2015DOJ_TAX$624,000
Luzerner Kantonalbank AG tax violations2015DOJ_TAX$11,031,000
Habib Bank AG Zurich tax violations2015DOJ_TAX$9,400,000
Banque Heritage S.A. tax violations2015DOJ_TAX$3,846,000
Hyposwiss Private Bank Geneve S.A. tax violations2015DOJ_TAX$1,109,000
Piguet Galland & Cie SA tax violations2015DOJ_TAX$15,365,000
BBVA Suiza S.A.Banco Bilbao Vizcaya Argentariafinancial servicestax violations2015DOJ_TAX$10,390,000
Schaffhauser Kantonalbank tax violations2015DOJ_TAX$1,613,000
Finacor SA tax violations2015DOJ_TAX$295,000
BHF-Bank (Schweiz) AG tax violations2015DOJ_TAX$1,768,000
Migros Bank AG tax violations2015DOJ_TAX$15,037,000
Graubundner Kantonalbank tax violations2015DOJ_TAX$3,616,000
St. Galler Kantonalbank AG tax violations2015DOJ_TAX$9,481,000
E. Gutzwiller & Cie, Banquiers tax violations2015DOJ_TAX$1,556,000
Bank La Roche & Co AG tax violations2015DOJ_TAX$9,296,000
Valiant Bank AG tax violations2015DOJ_TAX$3,304,000
Schroder & Co. Bank AG tax violations2015DOJ_TAX$10,354,000
Hypothekarbank Lenzburg AG tax violations2015DOJ_TAX$560,000
Bank Zweiplus tax violations2015DOJ_TAX$1,089,000
Banca dello Stato del Cantone Ticino tax violations2015DOJ_TAX$3,393,000
Privatbank Reichmuth & Co. tax violations2015DOJ_TAX$2,592,000
Banque Cantonale du Jura SA tax violations2015DOJ_TAX$970,000
Bank EKI Genossenschaft tax violations2015DOJ_TAX$400,000
PKB Privatbank AG tax violations2015DOJ_TAX$6,328,000
Falcon Private Bank AG tax violations2015DOJ_TAX$1,806,000
Credito Privato Commerciale in liquidazione SA tax violations2015DOJ_TAX$348,900
SB Saanen Bank AG tax violations2015DOJ_TAX$1,365,000
Privatbank Bellerive AG tax violations2015DOJ_TAX$57,000
Mercantil Bank (Schweiz) AG tax violations2015DOJ_TAX$1,172,000
Banque Cantonale Neuchateloise tax violations2015DOJ_TAX$1,123,000
Nidwaldner Kantonalbank tax violations2015DOJ_TAX$856,000
Banque Pasche SA tax violations2015DOJ_TAX$7,229,000
ARVEST Privatbank AG tax violations2015DOJ_TAX$1,044,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.