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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
RBS Citizens, National AssociationCitizens Financial Groupfinancial servicesbanking violation2013OCC$7,500,000
Seacoast National BankSeacoast Banking Corporation of Floridafinancial servicesbanking violation2013OCC$26,950
American Express Bank, FSBAmerican Expressfinancial servicesbanking violation2012OCC$6,500,000
Capital One Bank (USA), National AssociationCapital One Financialfinancial servicesbanking violation2012OCC$35,000,000
Trustmark National BankTrustmarkfinancial servicesbanking violation2012OCC$6,250
The Park National BankPark National Corp.financial servicesbanking violation2011OCC$30,415
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2011OCC$34,500,000
First Niagara Bank, National AssociationKeyCorpfinancial servicesbanking violation2011OCC$10,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2011OCC$35,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2011OCC$2,000,000
Woodforest National BankWoodforest National Bankfinancial servicesbanking violation2010OCC$33,000,000
City National BankRoyal Bank of Canadafinancial servicesbanking violation2010OCC$5,250
Deutsche Bank AGDeutsche Bankfinancial serviceseconomic sanction violation2015FED$58,000,000
Credit Agricole S.A.Credit Agricolefinancial serviceseconomic sanction violation2015FED$90,300,000
INDEPENDENT BANKIndependent Bank Corp. (Michigan)financial servicesbanking violation2015FED$56,205
BANK OF AMERICA CORPORATIONBank of Americafinancial servicesbanking violation2015FED$205,000,000
ROYAL BANK OF SCOTLAND PLCNatWest Group PLCfinancial servicesbanking violation2015FED$274,000,000
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
Cole Taylor BankFifth Third Bancorpfinancial servicesbanking violation2014FED$3,510,000
Regions BankRegions Financialfinancial servicesbanking violation2014FED$46,000,000
Credit Suisse AGUBSfinancial servicesbanking violation2014FED$100,000,000
THE ROYAL BANK OF SCOTLAND GROUP PLCNatWest Group PLCfinancial servicesbanking violation2013FED$50,000,000
Midland States BankMidland States Bancorpfinancial servicesbanking violation2013FED$5,645
JPMORGAN CHASE & CO.JPMorgan Chasefinancial servicesbanking violation2013FED$200,000,000
THE BANK OF NEW YORK MELLONBank of New York Mellonfinancial servicesbanking violation2012FED$6,000,000
Bank of Hampton RoadsAtlantic Union Banksharesfinancial servicesbanking violation2011FED$33,600
PlainsCapital Bank and PrimeLendingHilltop Holdingsfinancial servicesbanking violation2011FED$30,780
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesanti-money-laundering deficiencies2015FINCEN$20,000,000
J.P. Morgan Chase Bank, N.A.JPMorgan Chasefinancial servicesanti-money-laundering deficiencies2014FINCEN$461,000,000
Wachovia BankWells Fargofinancial servicesanti-money-laundering deficiencies2010FINCEN$110,000,000
BNP Paribas S.A.BNP Paribasfinancial serviceseconomic sanction violation2015DOJ_CRIMINAL$8,973,600,000
Commerzbank AGCommerzbankfinancial serviceseconomic sanction violation2015DOJ_CRIMINAL$642,000,000
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2012DOJ_CRIMINAL$227,000,000
ING Bank N.V.INGfinancial serviceseconomic sanction violation2012DOJ_CRIMINAL$619,000,000
Barclays Bank PLCBarclaysfinancial serviceseconomic sanction violation2010DOJ_CRIMINAL$298,000,000
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V.ABN AMROfinancial serviceseconomic sanction violation2010DOJ_CRIMINAL$500,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016SEC$35,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2016SEC$54,300,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2016SEC$4,000,000
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2015SEC$8,800,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2015SEC$267,000,000
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2015SEC$4,200,000
UBS Willow Management LLC and UBS Fund Advisor LLCUBSfinancial servicesinvestor protection violation2015SEC$17,500,000
UBS AGUBSfinancial servicesinvestor protection violation2015SEC$19,500,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2015SEC$15,000,000
Edward D. Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2015SEC$20,000,000
BlackRock Advisors LLCBlackRockfinancial servicesinvestor protection violation2015SEC$12,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2015SEC$14,400,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2014SEC$4,000,000
HSBC Private Bank (Suisse)HSBCfinancial servicesinvestor protection violation2014SEC$12,500,000
Credit Suisse Group AGUBSfinancial servicesinvestor protection violation2014SEC$196,000,000
Fifth Third BancorpFifth Third Bancorpfinancial servicesaccounting fraud or deficiencies2013SEC$6,500,000
JPMorgan & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2013SEC$200,000,000
UBS SecuritiesUBSfinancial servicestoxic securities abuses2013SEC$50,000,000
Capital One Financial CorporationCapital One Financialfinancial servicesaccounting fraud or deficiencies2013SEC$3,500,000
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2012SEC$1,625,000
OppenheimerFunds Inc.Invescofinancial servicesinvestor protection violation2012SEC$35,000,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2012SEC$26,600,000
UBS Global Asset ManagementUBSfinancial servicesinvestor protection violation2012SEC$300,000
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2011SEC$3,300,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2011SEC$30,400,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011SEC$118,000,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2010SEC$150,000,000
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
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesaccounting fraud or deficiencies2014CFTC$3,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesaccounting fraud or deficiencies2012CFTC$20,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesanti-money-laundering deficiencies2014USAO$1,700,000,000
Deutsche Bank AGDeutsche Bankfinancial servicestax violations2010USAO$553,633,153
Bank Julius Baer & Co. Ltd.Julius Baer Groupfinancial servicestax violations2016DOJ_TAX$547,000,000
Union Bancaire PriveeUnion Bancaire Priveefinancial servicestax violations2016DOJ_TAX$187,000,000
Coutts & Co LtdNatWest Group PLCfinancial servicestax violations2015DOJ_TAX$78,484,000
Credit Agricole (Suisse) SACredit Agricolefinancial servicestax violations2015DOJ_TAX$99,211,000
Deutsche Bank (Suisse) SADeutsche Bankfinancial servicestax violations2015DOJ_TAX$31,026,000
BNP Paribas (Suisse) SABNP Paribasfinancial servicestax violations2015DOJ_TAX$59,783,000
Standard Chartered Bank (Switzerland) SA, en liquidationStandard Charteredfinancial servicestax violations2015DOJ_TAX$6,337,000
BBVA Suiza S.A.Banco Bilbao Vizcaya Argentariafinancial servicestax violations2015DOJ_TAX$10,390,000
Societe Generale Private Banking (Suisse) SASociete Generalefinancial servicestax violations2015DOJ_TAX$17,807,000
Societe Generale Private Banking (Lugano-Svizzera)Societe Generalefinancial servicestax violations2015DOJ_TAX$1,363,000
Bank Leumi GroupBank Leumifinancial servicestax violations2014DOJ_TAX$270,000,000
Credit Suisse AGUBSfinancial servicestax violations2014DOJ_TAX$1,800,000,000
Barclays Bank PLCBarclaysfinancial serviceseconomic sanction violation2016OFAC$2,485,890
Credit Agricole Corporate and Investment BankCredit Agricolefinancial serviceseconomic sanction violation2015OFAC$329,593,585
UBS AGUBSfinancial serviceseconomic sanction violation2015OFAC$1,700,100
Navigators Insurance CompanyHartford Financial Servicesfinancial serviceseconomic sanction violation2015OFAC$271,815
PayPal Inc.PayPal Holdingsfinancial serviceseconomic sanction violation2015OFAC$7,658,300
Commerzbank AGCommerzbankfinancial serviceseconomic sanction violation2014OFAC$258,660,796
Bank of America N.A.Bank of Americafinancial serviceseconomic sanction violation2014OFAC$16,562,700
Clearstream Banking SADeutsche Borsefinancial serviceseconomic sanction violation2014OFAC$152,000,000
Royal Bank of Scotland PLCNatWest Group PLCfinancial serviceseconomic sanction violation2013OFAC$33,000,000
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2012OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $132,000,000
HSBC HoldingsHSBCfinancial serviceseconomic sanction violation2012OFAC$375,000,000
ING Bank N.V.INGfinancial serviceseconomic sanction violation2012OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $619,000,000
JPMorgan Chase BankJPMorgan Chasefinancial serviceseconomic sanction violation2011OFAC$88,300,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.