Violation Tracker Parent Company Summary

Parent Company Name: 
Capital One Financial
Ownership Structure: 
publicly traded (ticker symbol COF)
Headquartered in: 
Virginia
Major Industry: 
financial services
Specific Industry: 
banking
Penalty total since 2000: 
$774,853,432
Number of records: 
17
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$515,055,0329
consumer-protection-related offenses$253,590,0005
employment-related offenses$6,200,0002
environment-related offenses$8,4001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
anti-money-laundering deficiencies$390,000,0002
consumer protection violation$165,740,0002
banking violation$119,205,0325
privacy violation$73,000,0001
Servicemembers Civil Relief Act$12,000,0001
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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Primary Offense Type Year Agency Penalty Amountsort icon
Capital One, National Association anti-money-laundering deficiencies 2021 FINCEN $290,000,000
Capital One Bank (U.S.A.), N.A. consumer protection violation 2012 CFPB $165,000,000
Capital One Bank (USA), National Association anti-money-laundering deficiencies 2018 OCC $100,000,000
Capital One Bank (USA), National Association banking violation 2020 OCC $80,000,000
Capital One privacy violation 2015 private lawsuit-federal $73,000,000
Capital One Bank (USA), National Association banking violation 2012 OCC $35,000,000
Capital One N.A. Servicemembers Civil Relief Act 2012 DOJ_RIGHTS $12,000,000
Capital One, National Association banking violation 2014 OCC $4,000,000
Capital One Financial Corporation accounting fraud or deficiencies 2013 SEC $3,500,000
Capital One wage and hour violation 2012 private lawsuit-federal $3,200,000
Capital One wage and hour violation 2015 private lawsuit-federal $3,000,000
Chevy Chase Bank F.S.B. mortgage abuses 2013 DOJ_RIGHTS $2,850,000
Capital One Bank (USA) N.A. bankruptcy professional violation 2011 DOJ_UTP $2,350,000
Capital One consumer protection violation 2015 MO-AG $740,000
Capital One, National Association banking violation 2009 OCC $125,000
Capital One Bank banking violation 2005 WI-AG $80,032
CAPITAL ONE NATIONAL ASSOCIATION environmental violation 2010 TX-ENV $8,400
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)