Violation Tracker

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Violation Tracker Current Parent Company Summary

Current Parent Company Name: JPMorgan Chase
Ownership Structure: publicly traded (ticker symbol NYSE: JPM)
Headquartered in: New York
Major Industry: financial services
Specific Industry: banking & securities
Penalty total since 2000: $39,340,688,209
Number of records: 275

Top 5 Offense Groups (Groups Defined)	Penalty Total	Number of Records
financial offenses	$26,659,159,167	117
consumer-protection-related offenses	$8,619,119,178	63
competition-related offenses	$2,480,674,791	28
government-contracting-related offenses	$614,000,000	1
employment-related offenses	$522,448,562	50

Top 5 Primary Offense Types	Penalty Total	Number of Records
toxic securities abuses	$13,459,785,714	7
investor protection violation	$6,252,302,353	80
mortgage abuses	$5,362,675,000	5
banking violation	$4,262,350,341	14
consumer protection violation	$3,194,397,428	42

Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below 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. The totals 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 list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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Company	Primary Offense Type	Year	Agency	Penalty Amount
Providian Financial Corp.	consumer protection violation	2000	CA-AG	$305,500,000
Providian Financial Corp.	consumer protection violation	2000	CT-AG	$1,600,000
J. P. Morgan Securities Inc.	investor protection violation	2000	FINRA	$200,000
Providian Financial Corp.	consumer protection violation	2000	private lawsuit-federal	$105,000,000
J.P. Morgan Securities, Inc.	investor protection violation	2001	FINRA	$10,000
Chase Securities, Inc.	investor protection violation	2001	FINRA	$10,000
Bear Stearns & Co. LLC	investor protection violation	2002	MULTI-AG	(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
First USA	consumer protection violation	2002	MULTI-AG	$1,300,000
J.P. Morgan Chase & Co.	investor protection violation	2002	MULTI-AG	(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
El Paso Electric Corporation	energy market violation	2003	FERC	$15,500,000
J.P. Morgan Securities Inc.	investor protection violation	2003	SEC	$25,000,000
J.P. Morgan Chase & Co.	accounting fraud or deficiencies	2003	SEC	$135,000,000
Bear, Stearns & Co. Inc.	investor protection violation	2003	SEC	$80,000,000
J.P. Morgan Securities Inc.	investor protection violation	2003	SEC	$80,000,000
Bear Stearns Companies Inc.	wage and hour violation	2003	WHD	$358,974
Providian Financial Corp.	benefit plan administrator violation	2003	private lawsuit-federal	$8,600,000
J.P. Morgan Chase & Co.	accounting fraud or deficiencies	2003	NY-MANDA	$25,000,000
Bear, Stearns & Co. Inc.	investor protection violation	2003	MULTI-FIN	(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
J.P. Morgan Securities Inc.	investor protection violation	2003	MULTI-FIN	(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
J.P. Morgan Securities, Inc.	investor protection violation	2003	FINRA	$6,000,000
Bank One	economic sanction violation	2004	OFAC	$5,500
Bank One	economic sanction violation	2004	OFAC	$6,682
JP Morgan Chase	economic sanction violation	2004	OFAC	$26,980
JP Morgan Chase & Co.	economic sanction violation	2004	OFAC	$17,303
JP Morgan Chase & Co.	economic sanction violation	2004	OFAC	$73,281
JP Morgan Chase Bank	economic sanction violation	2004	OFAC	$9,748
JP Morgan Chase Bank	economic sanction violation	2004	OFAC	$18,094
Banc One Investment Advisors Corporation	investor protection violation	2004	SEC	$50,000,000
JPMorgan Chase Bank	wage and hour violation	2004	WHD	$19,373
Banc One Investment Advisors Corporation	investor protection violation	2004	NY-AG	(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,000,000
Chase Investment Services Corp.	investor protection violation	2004	FINRA	$250,000
Bear, Stearns & Co. Inc.	investor protection violation	2004	FINRA	$4,950,000
Bear, Stearns & Co. Inc.	investor protection violation	2004	FINRA	$280,469
J P Morgan Chase Bank	wage and hour violation	2005	WHD	$6,688
Washington Mutual, Inc.	wage and hour violation	2005	WHD	$404,982
J.P. Morgan Securities Inc.	investor protection violation	2005	SEC	$700,000
Bear, Stearns & Co., Inc.	investor protection violation	2005	IL-SEC	$10,000
Bank One, KY, N.A.	discriminatory practices (non-employment)	2005	private lawsuit-federal	$6,715,000
Chase Investment Services	investor protection violation	2005	FINRA	$290,262
J.P. Morgan Securities, Inc.	investor protection violation	2005	FINRA	$160,000
Chase Investment Services Corp.	investor protection violation	2005	FINRA	$60,000
J.P. Morgan Securities, Inc.	investor protection violation	2005	FINRA	$150,000
Chase Investment Services	investor protection violation	2005	FINRA	$2,000,000
Banc One Securities Corporation	investor protection violation	2005	FINRA	$400,000
Washington Mutual Bank, F. A.	environmental violation	2005	CA-SCAQMD	$23,264
Williams Power Company Inc.	data submission deficiencies	2006	DOJ_CRIMINAL	$50,000,000
Bear, Stearns & Co., Inc.	investor protection violation	2006	SEC	$1,500,000
J.P. Morgan Securities, Inc.	investor protection violation	2006	SEC	$1,500,000
Bear, Stearns & Co., Inc.	investor protection violation	2006	SEC	$250,000,000
JPMorgan Chase & Co.	employment discrimination	2006	EEOC	$2,200,000
J.P. Morgan Chase & Co. and Forum Temporary Services	labor relations violation	2006	NLRB	$60,760
Chase Bank	consumer protection violation	2006	MULTI-AG	$3,850,000
Chase Investment Services Corporation	investor protection violation	2006	FINRA	$500,000
El Paso Electric Company	utility service violation	2006	TX-PUC	$27,000
J P Morgan Chase	Family and Medical Leave Act	2007	WHD	$5,008
J.P. Morgan Securities, Inc.	investor protection violation	2007	FINRA	$500,000
WASHINGTON MUTUAL	workplace safety or health violation	2007	OSHA	$5,000
Bear Stearns Companies, LLC	mortgage abuses	2008	FTC	$28,000,000
JPMorgan Chase Bank, N.A.	wage and hour violation	2008	WHD	$9,622
JPMorgan Chase & Co.	investor protection violation	2008	SEC	$1,998,143
JP Morgan Chase & Co.	investor protection violation	2008	MULTI-AG	$3,525,000,000
JPMorgan Chase & Co.	investor protection violation	2008	MULTI-FIN	(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Banc One Securities Corporation	investor protection violation	2008	FINRA	$225,000
Bear, Stearns & Co., Inc.	investor protection violation	2008	FINRA	$150,000
J.P. Morgan Futures, Inc.	data submission deficiencies	2009	CFTC	$300,000
J.P. Morgan Securities Inc.	kickbacks and bribery	2009	SEC	$75,000,000
JPMorgan Chase Bank, NA	wage and hour violation	2009	WHD	$6,996
El Paso Electric Company	labor relations violation	2009	NLRB	$11,500
Washington Mutual Bank	wage and hour violation	2009	private lawsuit-federal	$38,000,000
Chase Bank USA, N.A.	consumer protection violation	2009	NY-AG	$4,400,000
Chase Investment Services Corp.	investor protection violation	2009	FINRA	$250,000
Chase Investment Services Corp.	investor protection violation	2009	FINRA	$32,500
El Paso Electric Company	utility service violation	2009	TX-PUC	$100,000
JP Morgan Chase Bank, NA	export control violation	2010	BIS	$19,125
Bear Stearns	wage and hour violation	2010	private lawsuit-federal	$675,000
JPMorgan Chase	wage and hour violation	2010	private lawsuit-federal	$2,492,729
J.P. Morgan Chase Retirement Plan	benefit plan administrator violation	2010	private lawsuit-federal	$604,957
Washington Mutual Inc.	benefit plan administrator violation	2010	private lawsuit-federal	$49,000,000
Washington Mutual Pension Plan	benefit plan administrator violation	2010	private lawsuit-federal	$20,000,000
Affinion Group, Inc.	consumer protection violation	2010	NY-AG	$8,000,000
J.P. Morgan Securities LLC	investor protection violation	2010	FL-AG	$25,000,000
JPMorgan Chase & Co.	investor protection violation	2010	NJ-AG	$1,149,028
J.P. Morgan Chase	discriminatory practices (non-employment)	2010	private lawsuit-federal	$1,950,000
El Paso Electric Company	utility administrative violation	2010	NM-PRC	$5,000
El Paso Electric Company	utility service violation	2010	TX-PUC	$38,000
El Paso Electric Company	utility service violation	2010	TX-PUC	$50,000
Chase Bank	wage and hour violation	2010	MI-LEO	$15,000
EL PASO ELECTRIC	workplace safety or health violation	2010	OSHA	$6,000
JPMorgan Chase & Co.	price-fixing or anti-competitive practices	2011	DOJ_ANTITRUST	$228,000,000
JPMorgan Chase Bank, National Association	banking violation	2011	OCC	$35,000,000
JPMorgan Chase Bank, National Association	banking violation	2011	OCC	$2,000,000
J.P. Morgan Securities LLC	toxic securities abuses	2011	SEC	$153,600,000
JPMorgan Chase Bank	economic sanction violation	2011	OFAC	$88,300,000
Washington Mutual Bank	wage and hour violation	2011	private lawsuit-federal	$463,000
JPMorgan Chase	wage and hour violation	2011	private lawsuit-federal	$42,000,000
JPMorgan Chase	price-fixing or anti-competitive practices	2011	MULTI-AG	(*)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
JP Morgan Chase	environmental violation	2011	TX-ENV	$6,555
Chase Investment Services Corporation	investor protection violation	2011	FINRA	$3,600,000
El Paso Electric Company	utility service violation	2011	TX-PUC	$18,000
El Paso Electric Company	utility service violation	2011	TX-PUC	$18,000
El Paso Electric Company	utility service violation	2011	TX-PUC	$27,000