Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Current Parent Company Summary

Current Parent Company Name: Mitsubishi UFJ Financial Group
Ownership Structure: publicly traded
Headquartered in: Japan
Major Industry: financial services
Specific Industry: banking
Penalty total since 2000$643,833,714
Number of records: 14
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$640,333,71413
employment-related offenses$3,500,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
economic sanction violation$573,604,0476
banking violation$33,109,6672
anti-money-laundering deficiencies$31,600,0002
wage and hour violation$3,500,0001
investor protection violation$2,020,0003
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.

Individual Penalty Records:

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

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon
Bank of Tokyo Mitsubishi UFJeconomic sanction violation2014NY-DFS$315,000,000
Bank of Tokyo Mitsubishi-UFJ, Ltdeconomic sanction violation2013NY-DFS$250,000,000
MUFG Bank Ltd.banking violation2019NY-DFS$33,000,000
Union Bank of California, N.A.anti-money-laundering deficiencies2007DOJ_CRIMINAL$21,600,000
Union Bank of California, N.A.anti-money-laundering deficiencies2007FINCEN$10,000,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.economic sanction violation2012OFAC$8,571,634
Union Bankwage and hour violation2012private lawsuit-federal$3,500,000
MUFG Securities Americas Inc.investor protection violation2018SEC$1,400,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.investor protection violation2017CFTC$600,000
MUFG Union Bank, National Associationbanking violation2019OCC$109,667
Mitsubishi UFJ Securities (USA), Inc.investor protection violation2016SEC$20,000
Union Bank of CAeconomic sanction violation2003OFAC$14,913
Union Bank of CAeconomic sanction violation2003OFAC$12,000
Union Bank of Californiaeconomic sanction violation2005OFAC$5,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.