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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals are adjusted to account for the fact that each 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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Credit Agricole Corporate and Investment BankCredit Agricoleprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Credit Agricole Corporate and Investment Bank (CACIB)Credit Agricoleeconomic sanction violation2015USAO$156,000,000
Credit Agricole S.A.Credit Agricoleeconomic sanction violation2015FED$90,300,000
Credit Agricole S.A.Credit Agricolebanking violation2004FED$8,000,000
Credit Agricole S.A.Credit Agricoleprice-fixing or anti-competitive practices2022private lawsuit-federal$55,000,000
Credit LyonnaisCredit Agricolefraud2003USAO$100,000,000
Credit Lyonnais Rouse LimitedCredit Agricoleinvestor protection violation2005CFTC$85,000
Credit Lyonnais Rouse LimitedCredit Agricoleinvestor protection violation2004CFTC$25,000
Credit Lyonnais, NYCredit Agricoleeconomic sanction violation2003OFAC$5,500
Credit SuisseUBStoxic securities abuses2014FHFA$885,000,000
Credit SuisseUBStoxic securities abuses2016NCUA$50,300,000
Credit SuisseUBSinvestor protection violation2016CFTC$665,000
Credit SuisseUBStoxic securities abuses2017DOJ_CIVIL$5,280,000,000
Credit SuisseUBSinvestor protection violation2021CFTC$1,500,000
Credit SuisseUBSinvestor protection violation2022CFTC$75,000,000
Credit SuisseUBSconsumer protection violation2016private lawsuit-federal$110,000,000
Credit Suisse (Hong Kong) LimitedUBSForeign Corrupt Practices Act2018DOJ_CRIMINAL$47,029,916
Credit Suisse AGUBSbanking violation2014FED$100,000,000
Credit Suisse AGUBStax violations2014DOJ_TAX$1,800,000,000
Credit Suisse AGUBSeconomic sanction violation2009DOJ_CRIMINAL$268,000,000
Credit Suisse AGUBSaccounting fraud or deficiencies2016SEC$90,000,000
Credit Suisse AGUBSeconomic sanction violation2009NY-MANDA$268,000,000
Credit Suisse AGUBStax violations2014NY-DFS$715,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2017NY-DFS$135,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2022private lawsuit-federal$10,989,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2022private lawsuit-federal$8,875,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2023private lawsuit-federal$13,750,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCUBSinvestor protection violation2011SEC$2,500,000
Credit Suisse Energy LLCUBSutility service violation2017TX-PUC$7,500
Credit Suisse First Boston Corp.UBSinvestor 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
Credit Suisse First Boston CorporationUBSinvestor protection violation2002SEC$100,000,000
Credit Suisse First Boston CorporationUBSinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Credit Suisse First Boston CorporationUBSinvestor protection violation2001FINRA$25,000
Credit Suisse First Boston LLCUBSinvestor protection violation2003SEC$200,000,000
Credit Suisse First Boston LLCUBSinvestor 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. $75,000,000
Credit Suisse First Boston LLCUBSinvestor protection violation2004FINRA$770,000
Credit Suisse First Boston, L.L.C.UBSinvestor protection violation2004FINRA$50,000
Credit Suisse First Boston, LLCUBSinvestor protection violation2005SEC$200,000
Credit Suisse Group AGUBSinvestor protection violation2014SEC$196,000,000
Credit Suisse Group AGUBSForeign Corrupt Practices Act2018SEC$29,700,000
Credit Suisse Group AGUBSfraud2021DOJ_CRIMINAL$175,500,000
Credit Suisse Group AGUBSForeign Corrupt Practices Act2021SEC$99,000,000
Credit Suisse Group AGUBSprice-fixing or anti-competitive practices2023private lawsuit-federal$550,000
Credit Suisse GroupAGUBSprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Credit Suisse SecuritiesUBSinvestor protection violation2016NY-AG$30,000,000
Credit Suisse SecuritiesUBSinvestor protection violation2022FINRA$9,000,000
Credit Suisse Securities (USA)UBStoxic securities abuses2012SEC$120,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2016SEC$54,300,000
Credit Suisse Securities (USA) LLCUBSdata submission deficiencies2015SEC$4,250,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2017SEC$5,754,714
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2018SEC$5,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2011NJ-AG$1,057,996
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2018NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $10,000,000
Credit Suisse Securities (USA) LLCUBStoxic securities abuses2016VA-AG$1,200,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2008MULTI-FIN$15,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2020SEC$600,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2019FINRA$6,500,000
Credit Suisse Securities (USA) LLCUBSanti-money-laundering deficiencies2016FINRA$16,500,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2011FINRA$1,750,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2011FINRA$4,500,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2022SEC$125,000,000
Credit Suisse Securities (USA) LLCUBSprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2023SEC$10,000,000
Credit Suisse Securities (USA) LLC et al.UBSinvestor protection violation2022NJ-AG$495,000,000
Credit Suisse Securities (USA), LLCUBSinvestor protection violation2014FINRA$5,000,000
Credit Suisse Securities (USA), LLCUBSinvestor protection violation2009FINRA$275,000
Credit Suisse Securities (USA), LLCUBSinvestor protection violation2006FINRA$225,000
Crestbrook Insurance Co.Nationwideinsurance violation2020WA-INS$5,000
Crestbrook Insurance CompanyNationwideinsurance violation2018WA-INS$50,000
Crestbrook Insurance CompanyNationwideinsurance violation2020CT-INS$15,500
Crum & Forster Holdings Corp.Fairfax Financial Holdingsprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Crum & Forster Indemnity Co.Fairfax Financial Holdingsinsurance violation2018MD-INS$20,000
CS First Boston Corp.UBSinvestor protection violation2000FINRA$1,240,000
CUNA Brokerage Services Inc.CUNA Mutualinvestor protection violation2014OK-SEC$15,000
CUNA Brokerage Services, Inc.CUNA Mutualinvestor protection violation2001FINRA$100,000
CUNA Brokerage Services, Inc.CUNA Mutualinvestor protection violation2021AR-SEC$50,000
CUNA Mutual Insurance SocietyCUNA Mutualinsurance violation2011ME-INS$100,000
CUNA MUTUAL INSURANCE SOCIETYCUNA Mutualinsurance violation2005VA-INS$40,000
CUNA MUTUAL INSURANCE SOCIETYCUNA Mutualinsurance violation2007VA-INS$30,000
CUNA Mutual Insurance SocietyCUNA Mutualinsurance violation2007MULTI-FIN$584,622
CUNA Mutual Life Insurance Co.CUNA Mutualinsurance violation2007FL-OFR$7,500
CUSO Financial Services, L.P.Atria Wealth Solutionsinvestor protection violation2019SEC$296,750
Customers BankCustomers Bancorpbanking violation2016FED$960,000
Dain Rauscher IncorporatedRoyal Bank of Canadainvestor protection violation2000SEC$12,941,191
DAIRYLAND INSURANCE COSentry Insuranceinsurance violation2001VA-INS$8,500
Dairyland Insurance Co. and Peak Property and Casualty Insurance Corp.Sentry Insuranceinsurance violation2020VA-INS$140,492
Dairyland Insurance CompanySentry Insuranceinsurance violation2003SC-INS$5,000
Dairyland Insurance CompanySentry Insuranceinsurance violation2013VT-FIN$37,852
Danske Bank A/SDanske Bankanti-money-laundering deficiencies2022DOJ_CRIMINAL$2,000,000,000
Danske Bank A/SDanske Bankanti-money-laundering deficiencies2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,000,000
DB Group Services (UK) LimitedDeutsche Bankprice-fixing or anti-competitive practices2017DOJ_ANTITRUST$150,000,000
DB Structured Products, Inc.Deutsche Banktoxic securities abuses2013NV-AG$11,500,000
De Lage Landen Financial Services, Inc.Rabobankconsumer protection violation2005MULTI-AG$872,000
Dean Witter Reynolds Inc.Morgan Stanleyinvestor protection violation2002SEC$500,000
Dean Witter Reynolds Inc.Morgan Stanleyinvestor protection violation2000SEC$476,702
DeLage Landen Financial ServicesRabobankconsumer protection violation2004NY-AG$405,000
Depositors Insurance Co.Nationwideinsurance violation2013MN-FIN$40,000
Depositors Insurance Co.Nationwideinsurance violation2016MO-INS$16,250
Depositors Insurance CompanyNationwideinsurance violation2017WA-INS$10,000
DEPOSITORY TRUST & CLEARING CORP.Depository Trustworkplace safety or health violation2000OSHA$13,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.