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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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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CompanyCurrent ParentPrimary Offense TypeYearAgency sort iconPenalty Amount
LPL Financial LLCLPL Financialinvestor protection violation2015DE-SEC$200,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2022DE-SEC$72,255
Goldman SachsGoldman Sachstoxic securities abuses2016DOJ$5,060,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2016DOJ$2,600,000,000
HSBC Bank USA NAHSBCmortgage abuses2016DOJ$470,000,000
Citigroup Inc.Citigrouptoxic securities abuses2014DOJ$7,000,000,000
Bank of America CorporationBank of Americamortgage abuses2014DOJ$16,650,000,000
JPMorgan ChaseJPMorgan Chasetoxic securities abuses2013DOJ$13,000,000,000
Bank of America CorporationBank of Americamortgage abuses2012DOJ$10,956,600,000
JPMorgan Chase & Co.JPMorgan Chasemortgage abuses2012DOJ$5,333,600,000
Wells Fargo & CompanyWells Fargomortgage abuses2012DOJ$5,342,200,000
Citigroup Inc.Citigroupmortgage abuses2012DOJ$2,202,000,000
Ally Financial Inc. (formerly GMAC)Ally Financialmortgage abuses2012DOJ$309,600,000
RBS PLC and RBS Securities JapanNatWest Group PLCprice-fixing or anti-competitive practices2014DOJ_ANTITRUST$150,000,000
UBS Securities Japan Co. Ltd.UBSprice-fixing or anti-competitive practices2012DOJ_ANTITRUST$500,000,000
Wachovia Bank N.A.Wells Fargoprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$148,000,000
Morgan StanleyMorgan Stanleyprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$4,800,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$228,000,000
UBS AGUBSprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$160,000,000
Bank of AmericaBank of Americaprice-fixing or anti-competitive practices2010DOJ_ANTITRUST$137,300,000
Manulife Financial CorporationManulife Financialinvestor protection violation2004DOJ_ANTITRUST$1,000,000
DB Group Services (UK) LimitedDeutsche Bankprice-fixing or anti-competitive practices2017DOJ_ANTITRUST$150,000,000
BNP Paribas USA Inc.BNP Paribasprice-fixing or anti-competitive practices2018DOJ_ANTITRUST$90,000,000
Banca IMI Securities Corp.Intesa Sanpaoloprice-fixing or anti-competitive practices2019DOJ_ANTITRUST$2,000,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinaprice-fixing or anti-competitive practices2019DOJ_ANTITRUST$3,000,000
M&T Bank Corp.M&T BankFalse Claims Act and related2016DOJ_CIVIL$64,000,000
Freedom Mortgage CorporationFreedom MortgageFalse Claims Act and related2016DOJ_CIVIL$113,000,000
Wells Fargo Bank, National AssociationWells FargoFalse Claims Act and related2016DOJ_CIVIL$1,200,000,000
First Tennessee Bank N.A.First Horizon NationalFalse Claims Act and related2015DOJ_CIVIL$212,500,000
MetLife Home Loans LLCMetLifeFalse Claims Act and related2015DOJ_CIVIL$123,500,000
U.S. BankU.S. BancorpFalse Claims Act and related2014DOJ_CIVIL$200,000,000
JPMorgan ChaseJPMorgan ChaseFalse Claims Act and related2014DOJ_CIVIL$614,000,000
PNC Bank N.APNC Financial ServicesFalse Claims Act and related2013DOJ_CIVIL$7,100,000
BAC Home Loans Servicing LP fka Countrywide Home Loans Servicing LPBank of Americamortgage abuses2011DOJ_CIVIL$20,000,000
Saxon Mortgage Services Inc.Ocwen Financialmortgage abuses2011DOJ_CIVIL$2,350,000
SunTrust Mortgage Inc.Truist Financialmortgage abuses2014DOJ_CIVIL$320,000,000
Franklin American Mortgage CompanyCitizens Financial Groupmortgage abuses2015DOJ_CIVIL$70,000,000
Walter Investment Management Corp.Ditech Holding CorporationFalse Claims Act and related2015DOJ_CIVIL$29,630,000
Fireman's Fund Insurance CompanyAllianzFalse Claims Act and related2015DOJ_CIVIL$44,000,000
BNP ParibasBNP ParibasFalse Claims Act and related2014DOJ_CIVIL$80,000,000
SunTrust Mortgage Inc.Truist FinancialFalse Claims Act and related2014DOJ_CIVIL$418,000,000
Louis Dreyfus Energy ServicesLouis DreyfusFalse Claims Act and related2012DOJ_CIVIL$4,084,000
Nelnet Inc.NelnetFalse Claims Act and related2010DOJ_CIVIL$47,000,000
RBC Mortgage CompanyRoyal Bank of CanadaFalse Claims Act and related2008DOJ_CIVIL$10,710,000
National City Mortgage Inc.PNC Financial ServicesFalse Claims Act and related2008DOJ_CIVIL$4,600,000
Mellon Bank, N.A.Bank of New York MellonFalse Claims Act and related2007DOJ_CIVIL$16,500,000
Crawford and CompanyCrawford & Co.False Claims Act and related2006DOJ_CIVIL$1,363,204
Highmark, Inc.Highmark Inc.False Claims Act and related2004DOJ_CIVIL$1,500,000
General American Life Insurance Company, Inc.MetLifeFalse Claims Act and related2002DOJ_CIVIL$76,000,000
Regions BankRegions FinancialFalse Claims Act and related2016DOJ_CIVIL$52,400,000
Branch Banking & Trust Company (BB&T)Truist FinancialFalse Claims Act and related2016DOJ_CIVIL$83,000,000
Deutsche BankDeutsche Banktoxic securities abuses2017DOJ_CIVIL$7,200,000,000
Credit SuisseUBStoxic securities abuses2017DOJ_CIVIL$5,280,000,000
PHH Corp.Ocwen FinancialFalse Claims Act and related2017DOJ_CIVIL$74,453,802
IBERIABANKFirst Horizon NationalFalse Claims Act and related2017DOJ_CIVIL$11,692,149
Royal Bank of Scotland Group plcNatWest Group PLCtoxic securities abuses2018DOJ_CIVIL$4,900,000,000
Wells Fargo Bank, N.A.Wells Fargotoxic securities abuses2018DOJ_CIVIL$2,090,000,000
Wells Fargo & CompanyWells Fargofraud2020DOJ_CIVIL$3,000,000,000
Guaranteed Rate Inc.Guaranteed Rate Inc.False Claims Act and related2020DOJ_CIVIL$15,060,000
Academy Mortgage CorporationAcademy Mortgage Corp.False Claims Act and related2022DOJ_CIVIL$38,500,000
UBS AGUBStoxic securities abuses2023DOJ_CIVIL$1,435,000,000
CommerceWest BankCommerceWest Bankfraud2015DOJ_CRIMINAL$4,900,000
CiticorpCitigroupprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$925,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$550,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$710,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$395,000,000
UBS AGUBSprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$203,000,000
BNP Paribas S.A.BNP Paribaseconomic sanction violation2015DOJ_CRIMINAL$8,973,600,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$775,000,000
Commerzbank AGCommerzbankeconomic sanction violation2015DOJ_CRIMINAL$642,000,000
ConvergEx Group LLCToronto-Dominion Bankfraud2014DOJ_CRIMINAL$43,800,000
Lloyds Banking Group plcLloyds Banking Groupprice-fixing or anti-competitive practices2014DOJ_CRIMINAL$86,000,000
RabobankRabobankprice-fixing or anti-competitive practices2013DOJ_CRIMINAL$325,000,000
HSBC Holdings plc HSBC Bank USA N.A.HSBCanti-money-laundering deficiencies2012DOJ_CRIMINAL$1,256,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2012DOJ_CRIMINAL$227,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2012DOJ_CRIMINAL$160,000,000
ING Bank N.V.INGeconomic sanction violation2012DOJ_CRIMINAL$619,000,000
Aon CorporationAonForeign Corrupt Practices Act2011DOJ_CRIMINAL$1,760,000
Barclays Bank PLCBarclayseconomic sanction violation2010DOJ_CRIMINAL$298,000,000
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V.ABN AMROeconomic sanction violation2010DOJ_CRIMINAL$500,000,000
Credit Suisse AGUBSeconomic sanction violation2009DOJ_CRIMINAL$268,000,000
Lloyds TSB Bank PLCLloyds Banking Groupeconomic sanction violation2009DOJ_CRIMINAL$175,000,000
Union Bank of California, N.A.U.S. Bancorpanti-money-laundering deficiencies2007DOJ_CRIMINAL$21,600,000
American Express Bank InternationalAmerican Expressanti-money-laundering deficiencies2007DOJ_CRIMINAL$55,000,000
Prudential Equity Group LLCPrudential Financialinvestor protection violation2006DOJ_CRIMINAL$600,000,000
BankAtlanticTruist Financialanti-money-laundering deficiencies2006DOJ_CRIMINAL$10,000,000
Williams Power Company Inc.JPMorgan Chasedata submission deficiencies2006DOJ_CRIMINAL$50,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2006DOJ_CRIMINAL$25,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2004DOJ_CRIMINAL$80,000,000
Crawford Healthcare Management of Norfolk & BaltimoreCrawford & Co.fraud2003DOJ_CRIMINAL$8,000,000
PNC ICLC Corp.PNC Financial Servicesaccounting fraud or deficiencies2003DOJ_CRIMINAL$115,000,000
Och-Ziff Capital Management Group LLCSculptor Capital ManagementForeign Corrupt Practices Act2016DOJ_CRIMINAL$213,000,000
JPMorgan SecuritiesJPMorgan ChaseForeign Corrupt Practices Act2016DOJ_CRIMINAL$72,000,000
Western Union CompanyWestern Unionanti-money-laundering deficiencies2017DOJ_CRIMINAL$586,000,000
State Street CorporationState Street Corp.fraud2017DOJ_CRIMINAL$32,300,000
Banamex USACitigroupanti-money-laundering deficiencies2017DOJ_CRIMINAL$97,440,000
Banco Popular de Puerto RicoPopular Inc.anti-money-laundering deficiencies2003DOJ_CRIMINAL$21,600,000
HSBC Holdings plcHSBCfraud2018DOJ_CRIMINAL$100,000,000
Rabobank National AssociationRabobankanti-money-laundering deficiencies2018DOJ_CRIMINAL$368,701,259
Credit Suisse (Hong Kong) LimitedUBSForeign Corrupt Practices Act2018DOJ_CRIMINAL$47,029,916
Societe Generale S.A.Societe GeneraleForeign Corrupt Practices Act2018DOJ_CRIMINAL$860,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.