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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 Total | Number of Records |
| financial offenses | $640,333,714 | 13 |
| employment-related offenses | $3,500,000 | 1 |
| Top 5 Primary Offense Types | Penalty Total | Number of Records |
| economic sanction violation | $573,604,047 | 6 |
| banking violation | $33,109,667 | 2 |
| anti-money-laundering deficiencies | $31,600,000 | 2 |
| wage and hour violation | $3,500,000 | 1 |
| investor protection violation | $2,020,000 | 3 |
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.
| Company | Primary Offense Type | Year | Agency | Penalty Amount  |
| Bank of Tokyo Mitsubishi UFJ | economic sanction violation | 2014 | NY-DFS | $315,000,000 |
| Bank of Tokyo Mitsubishi-UFJ, Ltd | economic sanction violation | 2013 | NY-DFS | $250,000,000 |
| MUFG Bank Ltd. | banking violation | 2019 | NY-DFS | $33,000,000 |
| Union Bank of California, N.A. | anti-money-laundering deficiencies | 2007 | DOJ_CRIMINAL | $21,600,000 |
| Union Bank of California, N.A. | anti-money-laundering deficiencies | 2007 | FINCEN | $10,000,000 |
| Bank of Tokyo-Mitsubishi UFJ, Ltd. | economic sanction violation | 2012 | OFAC | $8,571,634 |
| Union Bank | wage and hour violation | 2012 | private lawsuit-federal | $3,500,000 |
| MUFG Securities Americas Inc. | investor protection violation | 2018 | SEC | $1,400,000 |
| Bank of Tokyo-Mitsubishi UFJ, Ltd. | investor protection violation | 2017 | CFTC | $600,000 |
| MUFG Union Bank, National Association | banking violation | 2019 | OCC | $109,667 |
| Mitsubishi UFJ Securities (USA), Inc. | investor protection violation | 2016 | SEC | $20,000 |
| Union Bank of CA | economic sanction violation | 2003 | OFAC | $14,913 |
| Union Bank of CA | economic sanction violation | 2003 | OFAC | $12,000 |
| Union Bank of California | economic sanction violation | 2005 | OFAC | $5,500 |
