Warning: Undefined array key 1 in /usr/home/goodjobsfirst/public_html/violationtrackerlive/function.php on line 727
Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense Type sort iconYearAgencyPenalty Amount
Bank of the WestBank of Montrealfinancial servicesbanking violation2021FDIC$281,000
Heritage Bank banking violation2021FDIC$17,000
FirstBank banking violation2021FDIC$172,500
Oriental Bank banking violation2021FDIC$40,500
The Yellowstone Bank banking violation2021FED$9,500
Bryn Mawr Trust CompanyWSFS Financial Corp.financial servicesbanking violation2021FED$105,000
Farmers Bank & Trust banking violation2021FDIC$9,500
Reliabank Dakota banking violation2021FDIC$30,000
United Bank of Iowa banking violation2021FDIC$8,000
Umpqua BankUmpqua Holdingsfinancial servicesbanking violation2021FDIC$1,800,000
South Shore Bank banking violation2021FED$71,000
Dime Community Bank banking violation2021FED$11,000
Commercial Bank banking violation2021FED$26,500
First Vision Bank banking violation2021FED$8,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2021OCC$250,000,000
Cadence Bank, National AssociationCadence Bankfinancial servicesbanking violation2021OCC$3,000,000
Bank of England banking violation2021FDIC$129,800
Farmers and Merchants Bank banking violation2021FDIC$24,000
Herring Bank banking violation2021FDIC$40,000
Mid America Bank banking violation2021FDIC$20,000
Pioneer Bank banking violation2021FED$11,000
Trustmark National BankTrustmarkfinancial servicesbanking violation2021OCC$4,000,000
Washington Federal Bank, National AssociationWashington Federal Inc.financial servicesbanking violation2021OCC$40,500
Wells Fargo Bank, N.A.Wells Fargofinancial servicesbanking violation2021USAO$72,600,000
Blue Grass Savings Bank banking violation2022FDIC$16,250
Madison County Community Bank banking violation2022FDIC$9,750
Marine Bank & Trust Company banking violation2021FDIC$17,625
Nebraska State Bank banking violation2021FDIC$6,500
Renasant Bank banking violation2021FDIC$132,000
First Midwest BankOld National Bancorpfinancial servicesbanking violation2022FED$253,500
Flagstar Bank, FSBNew York Community Bancorpfinancial servicesbanking violation2021OCC$3,620,000
Shelby Savings Bank, SSB banking violation2022FDIC$140,000
Magnolia Bank, Incorporated banking violation2022FDIC$425,000
Citizens Bank Minnesota banking violation2022FDIC$6,000
Security State Bank banking violation2022FDIC$6,000
MRV Banks banking violation2022FDIC$7,000
Freedom Bank banking violation2022FDIC$8,250
Cache Valley Bank banking violation2022FDIC$8,000
EagleBank banking violation2022FED$9,500,000
Easthampton Savings Bank banking violation2022FED$17,000
North American Banking Company banking violation2022FED$13,950
PNC Bank, National AssociationPNC Financial Servicesfinancial servicesbanking violation2022OCC$2,614,456
Bank of America NABank of Americafinancial servicesbanking violation2022OCC$125,000,000
First Secure Bank and Trust Co. banking violation2022FDIC$11,625
Customers Bank banking violation2022FED$41,500
Sterling Bank and Trust, FSB banking violation2022OCC$6,000,000
Deutsche Bank Trust Company AmericasDeutsche Bankfinancial servicesbanking violation2022FED$105,500
Popular Bank banking violation2023FED$2,300,000
Cadence BankCadence Bankfinancial servicesbanking violation2022FDIC$320,500
Unity Bank banking violation2022FDIC$39,000
Willamette Valley Bank banking violation2022FDIC$425,000
First Chatham Bank banking violation2022FDIC$12,000
PeoplesBank, a Codorus Valley Company banking violation2023FDIC$16,000
UBSUBSfinancial servicesbanking violation2023TX-AG$850,000
The Bank of New Glarus banking violation2023FDIC$9,375
MUFG Union Bank, National AssociationU.S. Bancorpfinancial servicesbanking violation2023OCC$15,000,000
UBS Group AGUBSfinancial servicesbanking violation2023FED$268,500,000
American Express National BankAmerican Expressfinancial servicesbanking violation2023OCC$15,000,000
First Fed Bank banking violation2023FDIC$13,000
Regions BankRegions Financialfinancial servicesbanking violation2023FED$2,950,000
Metropolitan Commercial Bank banking violation2023FED$14,500,000
Transportation Alliance Bank, Inc. d/b/a TAB Bank banking violation2023FDIC$315,000
Paramount Bank banking violation2023FDIC$85,000
Horicon Bank banking violation2023FDIC$23,000
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinafinancial servicesbanking violation2024FED$2,400,000
Bank of Morton banking violation2023FDIC$600,000
Select Bank banking violation2024FED$9,600
City National BankRoyal Bank of Canadafinancial servicesbanking violation2024OCC$65,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2023OCC$15,000,000
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinafinancial servicesbanking violation2024NY-DFS$30,000,000
California Business Bank banking violation2023CA-DFPI$250,000
The Tri-County Bank banking violation2023NE-DBF$15,000
MUFG BANK, LTD.U.S. Bancorpfinancial servicesbanking violation2024CT-BKG$10,000
Guaranty Bank and Trust Company banking violation2024FDIC$80,500
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesbanking violation2024FED$98,200,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesbanking violation2024OCC$250,000,000
Sparks Nugget, Inc. d/b/a John Ascuaga's Nugget anti-money-laundering deficiencies2016FINCEN$1,000,000
Thriftway Food Mart anti-money-laundering deficiencies2016FINCEN$10,000
Gibraltar Private Bank and Trust Company anti-money-laundering deficiencies2016FINCEN$4,000,000
B.A.K. Precious Metals, Inc. anti-money-laundering deficiencies2015FINCEN$200,000
Oaks Card Club d/b/a Oaks Club anti-money-laundering deficiencies2015FINCEN$650,000
Desert Palace, Inc. d/b/a Caesars PalaceCaesars Entertainment Inc.entertainmentanti-money-laundering deficiencies2015FINCEN$8,000,000
Lee's Snack Shop, Inc. anti-money-laundering deficiencies2015FINCEN$60,000
Bank of Mingo anti-money-laundering deficiencies2015FINCEN$1,000,000
Hong Kong Entertainment (Overseas) Investments, Ltd. d/b/a Tinian Dynasty Hotel & Casino anti-money-laundering deficiencies2015FINCEN$75,000,000
King Mail & Wireless Inc. anti-money-laundering deficiencies2015FINCEN$12,000
Ripple Labs Inc. anti-money-laundering deficiencies2015FINCEN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $700,000
Aurora Sunmart Inc. anti-money-laundering deficiencies2015FINCEN$75,000
Trump Taj Mahal Casino ResortHard Rock Internationalrestaurants and foodserviceanti-money-laundering deficiencies2015FINCEN$10,000,000
First National Community Bank anti-money-laundering deficiencies2015FINCEN$1,500,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesanti-money-laundering deficiencies2015FINCEN$20,000,000
North Dade Community Development Federal Credit Union anti-money-laundering deficiencies2014FINCEN$300,000
BPI Inc. anti-money-laundering deficiencies2014FINCEN$125,000
Mian, Inc. dba Tower Package Store anti-money-laundering deficiencies2014FINCEN$45,000
New Milenium Cash Exchange, Inc anti-money-laundering deficiencies2014FINCEN$10,000
J.P. Morgan Chase Bank, N.A.JPMorgan Chasefinancial servicesanti-money-laundering deficiencies2014FINCEN$461,000,000
Altima Inc. anti-money-laundering deficiencies2011FINCEN$5,000
Lower Sioux Indian Community, doing business as Jackpot Junction Casino Hotel anti-money-laundering deficiencies2011FINCEN$250,000
Baltic Financial Services, Inc. anti-money-laundering deficiencies2010FINCEN$12,000
Pinnacle Capital Markets, LLC anti-money-laundering deficiencies2010FINCEN$50,000
Pamrapo Savings Bank, S.L.A. anti-money-laundering deficiencies2010FINCEN$1,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.