Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
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 Parent CompaniesTotal Penalty $Number of Records
Bank of America$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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 Parent Primary Offense Type Year Agencysort icon Penalty Amount
Highmark, Inc. Highmark Inc. False Claims Act and related 2004 DOJ_CIVIL $1,500,000
General American Life Insurance Company, Inc. MetLife False Claims Act and related 2002 DOJ_CIVIL $76,000,000
Regions Bank Regions Financial False Claims Act and related 2016 DOJ_CIVIL $52,400,000
Branch Banking & Trust Company (BB&T) Truist Financial False Claims Act and related 2016 DOJ_CIVIL $83,000,000
Deutsche Bank Deutsche Bank toxic securities abuses 2017 DOJ_CIVIL $7,200,000,000
Credit Suisse Credit Suisse toxic securities abuses 2017 DOJ_CIVIL $5,280,000,000
Financial Freedom CIT False Claims Act and related 2017 DOJ_CIVIL $89,000,000
PHH Corp. Ocwen Financial False Claims Act and related 2017 DOJ_CIVIL $74,453,802
IBERIABANK First Horizon National False Claims Act and related 2017 DOJ_CIVIL $11,692,149
Royal Bank of Scotland Group plc Royal Bank of Scotland toxic securities abuses 2018 DOJ_CIVIL $4,900,000,000
Wells Fargo Bank, N.A. Wells Fargo toxic securities abuses 2018 DOJ_CIVIL $2,090,000,000
Wells Fargo & Company Wells Fargo fraud 2020 DOJ_CIVIL $3,000,000,000
Guaranteed Rate Inc. Guaranteed Rate Inc. False Claims Act and related 2020 DOJ_CIVIL $15,060,000
CommerceWest Bank CommerceWest Bank fraud 2015 DOJ_CRIMINAL $4,900,000
Citicorp Citigroup foreign exchange market manipulation 2015 DOJ_CRIMINAL $925,000,000
JPMorgan Chase & Co. JPMorgan Chase foreign exchange market manipulation 2015 DOJ_CRIMINAL $550,000,000
Barclays PLC Barclays foreign exchange market manipulation 2015 DOJ_CRIMINAL $710,000,000
Royal Bank of Scotland plc Royal Bank of Scotland foreign exchange market manipulation 2015 DOJ_CRIMINAL $395,000,000
UBS AG UBS interest rate benchmark manipulation 2015 DOJ_CRIMINAL $203,000,000
BNP Paribas S.A. BNP Paribas economic sanction violation 2015 DOJ_CRIMINAL $8,973,600,000
Deutsche Bank AG Deutsche Bank interest rate benchmark manipulation 2015 DOJ_CRIMINAL $775,000,000
Commerzbank AG Commerzbank economic sanction violation 2015 DOJ_CRIMINAL $642,000,000
ConvergEx Group LLC Cowen Inc. fraud 2014 DOJ_CRIMINAL $43,800,000
Lloyds Banking Group plc Lloyds Banking Group interest rate benchmark manipulation 2014 DOJ_CRIMINAL $86,000,000
Rabobank Rabobank interest rate benchmark manipulation 2013 DOJ_CRIMINAL $325,000,000
Lender Processing Services Inc. Fidelity National Financial mortgage abuses 2013 DOJ_CRIMINAL $35,000,000
HSBC Holdings plc HSBC Bank USA N.A. HSBC anti-money-laundering deficiencies 2012 DOJ_CRIMINAL $1,256,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2012 DOJ_CRIMINAL $227,000,000
MoneyGram International Inc. MoneyGram International anti-money-laundering deficiencies 2012 DOJ_CRIMINAL $100,000,000
Barclays Bank PLC Barclays interest rate benchmark manipulation 2012 DOJ_CRIMINAL $160,000,000
ING Bank N.V. ING economic sanction violation 2012 DOJ_CRIMINAL $619,000,000
Aon Corporation Aon Foreign Corrupt Practices Act 2011 DOJ_CRIMINAL $1,760,000
Barclays Bank PLC Barclays economic sanction violation 2010 DOJ_CRIMINAL $298,000,000
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V. ABN AMRO economic sanction violation 2010 DOJ_CRIMINAL $500,000,000
Credit Suisse AG Credit Suisse economic sanction violation 2009 DOJ_CRIMINAL $268,000,000
Lloyds TSB Bank PLC Lloyds Banking Group economic sanction violation 2009 DOJ_CRIMINAL $175,000,000
American Express Bank International American Express anti-money-laundering deficiencies 2007 DOJ_CRIMINAL $55,000,000
Prudential Equity Group LLC Prudential Financial investor protection violation 2006 DOJ_CRIMINAL $600,000,000
BankAtlantic Truist Financial anti-money-laundering deficiencies 2006 DOJ_CRIMINAL $10,000,000
Williams Power Company Inc. JPMorgan Chase data submission deficiencies 2006 DOJ_CRIMINAL $50,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2006 DOJ_CRIMINAL $25,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2004 DOJ_CRIMINAL $80,000,000
Crawford Healthcare Management of Norfolk & Baltimore Crawford & Co. fraud 2003 DOJ_CRIMINAL $8,000,000
PNC ICLC Corp. PNC Financial Services accounting fraud or deficiencies 2003 DOJ_CRIMINAL $115,000,000
Och-Ziff Capital Management Group LLC Sculptor Capital Management Foreign Corrupt Practices Act 2016 DOJ_CRIMINAL $213,000,000
JPMorgan Securities JPMorgan Chase kickbacks and bribery 2016 DOJ_CRIMINAL $72,000,000
Western Union Company Western Union anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $586,000,000
State Street Corporation State Street Corp. fraud 2017 DOJ_CRIMINAL $32,300,000
Banamex USA Citigroup anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $97,440,000
Banco Popular de Puerto Rico Popular Inc. anti-money-laundering deficiencies 2003 DOJ_CRIMINAL $21,600,000
HSBC Holdings plc HSBC fraud 2018 DOJ_CRIMINAL $100,000,000
Rabobank National Association Rabobank anti-money-laundering deficiencies 2018 DOJ_CRIMINAL $368,701,259
Credit Suisse (Hong Kong) Limited Credit Suisse Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $47,029,916
Societe Generale S.A. Societe Generale Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $860,000
Legg Mason Inc. Franklin Resources Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $64,200,000
MoneyGram International Inc. MoneyGram International anti-money-laundering deficiencies 2018 DOJ_CRIMINAL $125,000,000
UniCredit Group UniCredit economic sanction violation 2019 DOJ_CRIMINAL $413,536,632
Standard Chartered Bank Standard Chartered economic sanction violation 2019 DOJ_CRIMINAL $292,210,160
Merrill Lynch Commodities Inc. Bank of America price-fixing or anti-competitive practices 2019 DOJ_CRIMINAL $25,000,000
Barclays PLC Barclays foreign exchange market manipulation 2018 DOJ_CRIMINAL $12,896,011
Bank Hapoalim B.M. Bank Hapoalim anti-money-laundering deficiencies 2020 DOJ_CRIMINAL $30,063,317
Bank of Nova Scotia Scotiabank price-fixing or anti-competitive practices 2020 DOJ_CRIMINAL $60,400,000
Vitol Inc. Vitol Foreign Corrupt Practices Act 2020 DOJ_CRIMINAL $135,000,000
Goldman Sachs Group Inc. Goldman Sachs Foreign Corrupt Practices Act 2020 DOJ_CRIMINAL $2,921,088,000
JPMorgan Chase & Co. JPMorgan Chase fraud 2020 DOJ_CRIMINAL (*) $920,000,000
Balli Aviation Ltd. Balli Group export control violation 2010 DOJ_NATSEC $2,000,000
Santander Consumer USA Inc. Banco Santander Servicemembers Civil Relief Act 2015 DOJ_RIGHTS $9,350,000
Chevy Chase Bank F.S.B. Capital One Financial mortgage abuses 2013 DOJ_RIGHTS $2,850,000
Bank of America N.A. Bank of America banking violation 2012 DOJ_RIGHTS $370,000,000
Wells Fargo Bank Wells Fargo mortgage abuses 2012 DOJ_RIGHTS $234,300,000
SunTrust Mortgage Inc. Truist Financial banking violation 2012 DOJ_RIGHTS $21,000,000
Mortgage Guaranty Insurance Corporation (MGIC) MGIC Investment Corp. mortgage abuses 2012 DOJ_RIGHTS $550,000
Countrywide Financial Corporation Bank of America mortgage abuses 2011 DOJ_RIGHTS $335,000,000
Wells Fargo & Company Wells Fargo Americans with Disabilities Act 2011 DOJ_RIGHTS $16,055,000
Citizens Republic Bancorp Inc. Huntington Bancshares banking violation 2011 DOJ_RIGHTS $3,600,000
PrimeLending Hilltop Holdings mortgage abuses 2010 DOJ_RIGHTS $2,000,000
Capital One N.A. Capital One Financial Servicemembers Civil Relief Act 2012 DOJ_RIGHTS $12,000,000
Sallie Mae Inc. Navient consumer protection violation 2014 DOJ_RIGHTS $60,000,000
HSBC Finance Corporation HSBC Servicemembers Civil Relief Act 2016 DOJ_RIGHTS $434,500
Compass Bank Banco Bilbao Vizcaya Argentaria discriminatory practices (non-employment) 2007 DOJ_RIGHTS $1,750,000
AIG Federal Savings Bank and Wilmington Finance Inc. American International Group discriminatory practices (non-employment) 2010 DOJ_RIGHTS $6,100,000
Wells Fargo Bank N.A. Wells Fargo Servicemembers Civil Relief Act 2016 DOJ_RIGHTS $4,100,000
Union Savings Bank and Guardian Savings Bank Union Savings Bank discriminatory practices (non-employment) 2016 DOJ_RIGHTS $9,000,000
Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer Services Wells Fargo Servicemembers Civil Relief Act 2017 DOJ_RIGHTS $5,400,000
CitiFinancial Credit Company Citigroup Servicemembers Civil Relief Act 2017 DOJ_RIGHTS $907,000
PHH Mortgage Corporation Ocwen Financial Servicemembers Civil Relief Act 2019 DOJ_RIGHTS $750,000
Bank of America, N.A. Bank of America Americans with Disabilities Act 2020 DOJ_RIGHTS $300,000
Bank Julius Baer & Co. Ltd. Julius Baer Group tax violations 2016 DOJ_TAX $547,000,000
Union Bancaire Privee Union Bancaire Privee tax violations 2016 DOJ_TAX $187,000,000
Coutts & Co Ltd Royal Bank of Scotland tax violations 2015 DOJ_TAX $78,484,000
Credit Agricole (Suisse) SA Credit Agricole tax violations 2015 DOJ_TAX $99,211,000
Deutsche Bank (Suisse) SA Deutsche Bank tax violations 2015 DOJ_TAX $31,026,000
BNP Paribas (Suisse) SA BNP Paribas tax violations 2015 DOJ_TAX $59,783,000
Standard Chartered Bank (Switzerland) SA, en liquidation Standard Chartered tax violations 2015 DOJ_TAX $6,337,000
BBVA Suiza S.A. Banco Bilbao Vizcaya Argentaria tax violations 2015 DOJ_TAX $10,390,000
Societe Generale Private Banking (Suisse) SA Societe Generale tax violations 2015 DOJ_TAX $17,807,000
Societe Generale Private Banking (Lugano-Svizzera) Societe Generale tax violations 2015 DOJ_TAX $1,363,000
BSI SA BSI SA tax violations 2015 DOJ_TAX $211,000,000
Bank Leumi Group Bank Leumi tax violations 2014 DOJ_TAX $270,000,000
Credit Suisse AG Credit Suisse tax violations 2014 DOJ_TAX $1,800,000,000
Wegelin & Co Wegelin & Co tax violations 2013 DOJ_TAX $74,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)