Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYearAgency sort iconPenalty Amount
U.S. Trust CorporationBank of Americabanking violation2001FED$5,000,000
JPMorgan Chase & Co.JPMorgan Chasebanking violation2016FED$61,900,000
Customers BankCustomers Bancorpbanking violation2016FED$960,000
Banco Bilbao Vizcaya Argentaria, S.A.Banco Bilbao Vizcaya Argentariabanking violation2016FED$27,000,000
ServiceLink Holdings, LLCFidelity National Financialbanking violation2017FED$65,000,000
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2017FED$41,000,000
SunTrust BankTruist Financialbanking violation2017FED$1,501,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2017FED$156,600,000
BNP Paribas S.A.BNP Paribasprice-fixing or anti-competitive practices2017FED$246,000,000
Bank of New York Mellon CorporationBank of New York Mellonbanking violation2017FED$3,000,000
HSBC HoldingsHSBCbanking violation2017FED$175,000,000
Goldman Sachs Bank USAGoldman Sachsbanking violation2018FED$90,000
Goldman SachsGoldman Sachsmortgage abuses2018FED$14,000,000
Morgan StanleyMorgan Stanleymortgage abuses2018FED$8,000,000
CIT Group Inc.First Citizens BancSharesmortgage abuses2018FED$5,200,000
U.S. BancorpU.S. Bancorpmortgage abuses2018FED$4,400,000
PNC Financial Services GroupPNC Financial Servicesmortgage abuses2018FED$3,500,000
US BancorpU.S. Bancorpbanking violation2018FED$15,000,000
Goldman Sachs Group, Inc.Goldman Sachsinvestor protection violation2018FED$54,750,000
CitigroupCitigroupbanking violation2018FED$8,600,000
Societe Generale S.A.Societe Generaleeconomic sanction violation2018FED$81,300,000
Bank of New York MellonBank of New York Mellonbanking violation2018FED$16,000
Wintrust Financial CorporationWintrust Financial Corp.banking violation2019FED$1,012,500
UniCredit, S.p.A.UniCreditbanking violation2019FED$158,000,000
Standard Chartered plcStandard Charteredbanking violation2019FED$164,000,000
East West BankEast West Bancorpbanking violation2020FED$129,108
Bank Hapoalim B.M,Bank Hapoalimtax violations2020FED$37,350,000
Goldman Sachs Group, Inc.Goldman Sachsbanking violation2020FED$154,000,000
M&T BankM&T Bankbanking violation2020FED$546,000
Bryn Mawr Trust CompanyWSFS Financial Corp.banking violation2021FED$105,000
First Midwest BankOld National Bancorpbanking violation2022FED$253,500
Deutsche Bank Trust Company AmericasDeutsche Bankbanking violation2022FED$105,500
Wells Fargo & Co.Wells Fargobanking violation2023FED$67,762,500
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2023FED$186,000,000
UBS Group AGUBSbanking violation2023FED$268,500,000
Regions BankRegions Financialbanking violation2023FED$2,950,000
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinabanking violation2024FED$2,400,000
Deutsche Bank Energy Trading LLDeutsche Bankprice-fixing or anti-competitive practices2013FERC$1,670,000
JP Morgan Ventures Energy CorporationJPMorgan Chaseprice-fixing or anti-competitive practices2013FERC$410,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2017FERC$105,000,000
Cleco Power, LLCMacquarieenergy market violation2007FERC$2,000,000
Cleco CorporationMacquarieenergy market violation2003FERC$2,850,000
El Paso Electric CorporationJPMorgan Chaseenergy market violation2003FERC$15,500,000
Louis Dreyfus Energy ServiceLouis Dreyfusenergy market violation2014FERC$7,406,257
Wheelabrator Claremont Company, L.P.Macquarieenergy market violation2018FERC$357,231
Vitol Inc.Vitolenergy market violation2019FERC$2,742,881
Vitol Inc.Vitolenergy market violation2024FERC$2,225,000
HSBC North America Holdings Inc.HSBCtoxic securities abuses2014FHFA$550,000,000
Goldman Sachs & Co.Goldman Sachstoxic securities abuses2014FHFA$3,150,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2014FHFA$99,500,000
First Horizon National CorporationFirst Horizon Nationaltoxic securities abuses2014FHFA$110,000,000
Barclays Bank PLCBarclaystoxic securities abuses2014FHFA$280,000,000
Bank of America CorporationBank of Americatoxic securities abuses2014FHFA$9,300,000,000
Credit SuisseUBStoxic securities abuses2014FHFA$885,000,000
Societe GeneraleSociete Generaletoxic securities abuses2014FHFA$122,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2014FHFA$1,250,000,000
Deutsche Bank AGDeutsche Banktoxic securities abuses2013FHFA$1,925,000,000
UBS Americas Inc.UBStoxic securities abuses2013FHFA$885,000,000
Wells FargoWells Fargotoxic securities abuses2013FHFA$591,000,000
Bank of AmericaBank of Americatoxic securities abuses2013FHFA$404,000,000
Wells Fargo Bank, National AssociationWells Fargotoxic securities abuses2013FHFA$869,000,000
Citimortgage Inc. and Citibank N.A.Citigrouptoxic securities abuses2013FHFA$395,000,000
SunTrust Mortgage, Inc.Truist Financialtoxic securities abuses2013FHFA$65,000,000
Bank of AmericaBank of Americatoxic securities abuses2011FHFA$1,300,000,000
Bank of AmericaBank of Americatoxic securities abuses2011FHFA$1,520,000,000
Bank of AmericaBank of Americatoxic securities abuses2013FHFA$10,350,000,000
CitigroupCitigrouptoxic securities abuses2013FHFA$968,000,000
Royal Bank of Scotland PLCNatWest Group PLCtoxic securities abuses2017FHFA$5,500,000,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsanti-money-laundering deficiencies2015FINCEN$20,000,000
J.P. Morgan Chase Bank, N.A.JPMorgan Chaseanti-money-laundering deficiencies2014FINCEN$461,000,000
Wachovia BankWells Fargoanti-money-laundering deficiencies2010FINCEN$110,000,000
Union Bank of California, N.A.U.S. Bancorpanti-money-laundering deficiencies2007FINCEN$10,000,000
Israel Discount BankIsrael Discount Bankanti-money-laundering deficiencies2006FINCEN$12,000,000
Oppenheimer & Company, Inc.Oppenheimer Holdingsanti-money-laundering deficiencies2005FINCEN$2,800,000
AmSouthRegions Financialanti-money-laundering deficiencies2004FINCEN$10,000,000
U.S. Bank National AssociationU.S. Bancorpanti-money-laundering deficiencies2018FINCEN$70,000,000
UBS Financial Services Inc.UBSanti-money-laundering deficiencies2018FINCEN$5,000,000
Capital One, National AssociationCapital One Financialanti-money-laundering deficiencies2021FINCEN$290,000,000
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022FINCEN$80,000,000
Binance Holdings Limited,Binance Holdingsanti-money-laundering deficiencies2023FINCEN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $3,400,000,000
Transamerica Financial Advisors, Inc.Aegoninvestor protection violation2020FINRA$8,800,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2020FINRA$2,075,000
Interactive Brokers LLCInteractive Brokers Groupanti-money-laundering deficiencies2020FINRA$15,000,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2020FINRA$1,550,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020FINRA$7,200,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2020FINRA$3,650,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2019FINRA$4,600,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2019FINRA$280,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2019FINRA$280,000
LPL Financial LLCLPL Financialinvestor protection violation2019FINRA$280,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2019FINRA$280,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019FINRA$280,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2019FINRA$6,500,000
Robinhood Financial, LLCRobinhood Marketsinvestor protection violation2019FINRA$1,250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019FINRA$4,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2019FINRA$8,000,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc.BNP Paribasanti-money-laundering deficiencies2019FINRA$15,000,000
UBS Financial Services Inc.UBSinvestor protection violation2019FINRA$2,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2019FINRA$1,100,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2019FINRA$1,250,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2019FINRA$772,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.