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 TypeYearAgencyPenalty Amount sort icon
JPMorgan ChaseJPMorgan Chasefinancial servicesinvestor protection violation2015MULTI-AG$150,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2019CA-AG$150,000,000
Citigroup Global Markets Inc.Citigroupfinancial 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. $150,000,000
Deutsche Bank AG and Deutsche Bank Trust Co. AmericaDeutsche Bankfinancial servicesbanking violation2020NY-DFS$150,000,000
Goldman Sachs GroupGoldman Sachsfinancial servicesinvestor protection violation2020NY-DFS$150,000,000
Clearstream Banking SADeutsche Borsefinancial serviceseconomic sanction violation2014OFAC$152,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2024USAO$153,431,223
Goldman Sachs Group, Inc.Goldman Sachsfinancial servicesbanking violation2020FED$154,000,000
Credit Agricole Corporate and Investment Bank (CACIB)Credit Agricolefinancial serviceseconomic sanction violation2015USAO$156,000,000
Credit Agricole Corporate and Investment BankCredit Agricolefinancial serviceseconomic sanction violation2015NY-MANDA$156,000,000
Broadcom Corp.Broadcomelectrical and electronic equipmentinvestor protection violation2009NM-AG$160,500,000
Societe GeneraleSociete Generalefinancial serviceseconomic sanction violation2018NY-MANDA$162,800,000
Bank of New York MellonBank of New York Mellonfinancial servicesbanking violation2015NY-AG$167,500,000
Wachovia Bank, National AssociationWells Fargofinancial servicesbanking violation2008OCC$168,900,000
BlueCrest Capital Management Limited investor protection violation2020SEC$170,000,000
Commerzbank AGCommerzbankfinancial serviceseconomic sanction violation2015NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $171,000,000
Lloyds TSB Bank PLCLloyds Banking Groupfinancial serviceseconomic sanction violation2009DOJ_CRIMINAL$175,000,000
HSBC HoldingsHSBCfinancial servicesbanking violation2017FED$175,000,000
Lloyds TSB Bank plcLloyds Banking Groupfinancial serviceseconomic sanction violation2009NY-MANDA$175,000,000
Mega International Commercial Bank anti-money-laundering deficiencies2016NY-DFS$180,000,000
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2019NY-DFS$180,000,000
Luckin Coffee Inc. accounting fraud or deficiencies2020SEC$180,000,000
CKB168 Holdings Ltd. Et al. investor protection violation2022SEC$182,624,545
Union Bancaire PriveeUnion Bancaire Priveefinancial servicestax violations2016DOJ_TAX$187,000,000
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.financial servicesinvestor protection violation2022SEC$187,000,000
HSBC Holdings plcHSBCfinancial serviceseconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $187,500,000
Radical Bunny, L.L.C. investor protection violation2013AZ-CC$189,800,867
Computer Sciences CorporationDXC Technologyinformation technologyaccounting fraud or deficiencies2015SEC$190,000,000
HSBC Private Bank (Suisse) SAHSBCfinancial servicestax violations2019USAO$192,350,000
Mizrahi-Tefahot Bank Ltd. tax violations2019USAO$195,000,000
Credit Suisse Group AGUBSfinancial servicesinvestor protection violation2014SEC$196,000,000
JPMORGAN CHASE & CO.JPMorgan Chasefinancial servicesbanking violation2013FED$200,000,000
JPMorgan & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2013SEC$200,000,000
UBS AGUBSfinancial servicestax violations2009SEC$200,000,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2003SEC$200,000,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2003SEC$200,000,000
Credit Suisse First Boston Corp.UBSfinancial 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. $200,000,000
WellCare Health Plans Inc.Centenehealthcare servicesinvestor protection violation2010MULTI-AG$200,000,000
Deutsche BankDeutsche Bankfinancial serviceseconomic sanction violation2015NY-DFS$200,000,000
General Electric Co.General Electricdiversifiedaccounting fraud or deficiencies2020SEC$200,000,000
Boeing CompanyBoeingaerospace and military contractinginvestor protection violation2022SEC$200,000,000
Blue Moon Investments Inc. investor protection violation2024CFTC$204,622,580
BANK OF AMERICA CORPORATIONBank of Americafinancial servicesbanking violation2015FED$205,000,000
America OnlineApollo Global Managementprivate equity (including portfolio companies)accounting fraud or deficiencies2004DOJ_CRIMINAL$210,000,000
Ivy Asset Management, LLC investor protection violation2012NY-AG$210,000,000
BSI SA tax violations2015DOJ_TAX$211,000,000
Agricultural Bank of ChinaAgricultural Bank of Chinafinancial servicesanti-money-laundering deficiencies2016NY-DFS$215,000,000
Andersen, LLP accounting fraud or deficiencies2002AZ-AG$217,000,000
Bank Hapoalim B.M.Bank Hapoalimfinancial servicestax violations2020NY-DFS$220,000,000
Computer Associates International, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2004SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $225,000,000
Computer Associates International, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2004USAO$225,000,000
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2012DOJ_CRIMINAL$227,000,000
Schlumberger Oilfield HoldingsSchlumbergeroilfield services and supplieseconomic sanction violation2015OFAC$232,708,356
Intesa Sanpaolo S.p.A.Intesa Sanpaolofinancial servicesanti-money-laundering deficiencies2016NY-DFS$235,000,000
AXA RosenbergAXAfinancial servicesinvestor protection violation2011SEC$242,000,000
Bank of America, National AssociationBank of Americafinancial servicesbanking violation2014OCC$250,000,000
Qwest Communications International Inc.Lumen Technologiestelecommunicationsaccounting fraud or deficiencies2004SEC$250,000,000
Bank of Tokyo Mitsubishi-UFJ, LtdMitsubishi UFJ Financial Groupfinancial serviceseconomic sanction violation2013NY-DFS$250,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2020OCC$250,000,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicesbanking violation2021OCC$250,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chasefinancial servicesbanking violation2024OCC$250,000,000
Commerzbank AGCommerzbankfinancial serviceseconomic sanction violation2014OFAC$258,660,796
Easterday Ranches, Inc. investor protection violation2021CFTC$263,008,042
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2015SEC$267,000,000
Credit Suisse AGUBSfinancial serviceseconomic sanction violation2009DOJ_CRIMINAL$268,000,000
Credit Suisse AGUBSfinancial serviceseconomic sanction violation2009NY-MANDA$268,000,000
UBS Group AGUBSfinancial servicesbanking violation2023FED$268,500,000
Bank Leumi GroupBank Leumifinancial servicestax violations2014DOJ_TAX$270,000,000
ROYAL BANK OF SCOTLAND PLCNatWest Group PLCfinancial servicesbanking violation2015FED$274,000,000
Capital One, National AssociationCapital One Financialfinancial servicesanti-money-laundering deficiencies2021FINCEN$290,000,000
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2019NY-MANDA$292,000,000
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2019DOJ_CRIMINAL$292,210,160
Barclays Bank PLCBarclaysfinancial serviceseconomic sanction violation2010DOJ_CRIMINAL$298,000,000
State Street Bank & Trust Co.State Street Corp.financial servicesinvestor protection violation2010MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000
Standard Chartered BankStandard Charteredfinancial servicesanti-money-laundering deficiencies2014NY-DFS$300,000,000
ING Bank, NVINGfinancial serviceseconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $309,500,000
MCIVerizon Communicationstelecommunicationstax violations2005MULTI-AG$315,000,000
Bank of Tokyo Mitsubishi UFJMitsubishi UFJ Financial Groupfinancial serviceseconomic sanction violation2014NY-DFS$315,000,000
UniCredit Bank AGUniCreditfinancial serviceseconomic sanction violation2019NY-MANDA$316,000,000
Credit Agricole Corporate and Investment BankCredit Agricolefinancial serviceseconomic sanction violation2015OFAC$329,593,585
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
Citibank, National AssociationCitigroupfinancial servicesbanking violation2014OCC$350,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasefinancial servicesbanking violation2014OCC$350,000,000
Rabobank National AssociationRabobankfinancial servicesanti-money-laundering deficiencies2018DOJ_CRIMINAL$368,701,259
HSBC HoldingsHSBCfinancial serviceseconomic sanction violation2012OFAC$375,000,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2016SEC$382,400,000
Credit AgricoleCredit Agricolefinancial serviceseconomic sanction violation2015NY-DFS$385,000,000
Citimortgage Inc. and Citibank N.A.Citigroupfinancial servicestoxic securities abuses2013FHFA$395,000,000
Federal National Mortgage Association (Fannie Mae)Fannie Maefinancial servicesaccounting fraud or deficiencies2006SEC$400,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.Citigroupfinancial servicesinvestor protection violation2003SEC$400,000,000
Marsh and McLennanMarsh & McLennanfinancial servicesinvestor protection violation2009MULTI-AG$400,000,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial 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. $400,000,000
Citibank, National AssociationCitigroupfinancial servicesbanking violation2020OCC$400,000,000
Bank of AmericaBank of Americafinancial servicestoxic securities abuses2013FHFA$404,000,000
UniCredit GroupUniCreditfinancial serviceseconomic sanction violation2019NY-DFS$405,000,000
UniCredit GroupUniCreditfinancial serviceseconomic sanction violation2019DOJ_CRIMINAL$413,536,632
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016SEC$415,000,000
Deutsche Bank AGDeutsche Bankfinancial servicesanti-money-laundering deficiencies2017NY-DFS$425,000,000
UBSUBSfinancial servicestoxic securities abuses2017NCUA$445,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.