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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
City National BankRoyal Bank of Canadabanking violation2005OCC$750,000
First National Bank of OmahaFirst National of Nebraskabanking violation2005OCC$20,000
Old National BankOld National Bancorpbanking violation2004OCC$12,500
Old National BankOld National Bancorpbanking violation2004OCC$7,500
Riggs Bank National AssociationPNC Financial Servicesanti-money-laundering deficiencies2004OCC$25,000,000
National City BankPNC Financial Servicesbanking violation2003OCC$56,800
Bank of ChinaBank of Chinabanking violation2002OCC$10,000,000
HSBC Bank USA, National AssociationHSBCbanking violation2017OCC$32,500,000
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2017OCC$1,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2017OCC$15,000,000
Rabobank National AssociationRabobankbanking violation2017OCC$58,000
UMB Bank, NAUMB Financial Corp.banking violation2017OCC$1,500,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2017OCC$183,920
Citibank N.A.Citigroupanti-money-laundering deficiencies2018OCC$70,000,000
Citibank N.A.Citigroupbanking violation2017OCC$452,000
Rabobank, National AssociationRabobankanti-money-laundering deficiencies2018OCC$50,000,000
U.S. Bank National AssociationU.S. Bancorpanti-money-laundering deficiencies2018OCC$75,000,000
Flagstar Bank, FSBNew York Community Bancorpbanking violation2016OCC$500,000
Wells Fargo Bank, National AssociationWells Fargoconsumer protection violation2016OCC$20,000,000
First Niagara Bank, National AssociationKeyCorpbanking violation2016OCC$2,000,000
First National Bank of OmahaFirst National of Nebraskabanking violation2016OCC$3,000,000
Wells Fargo Bank N.A.Wells Fargobanking violation2018OCC$500,000,000
TCF National BankHuntington Bancsharesbanking violation2018OCC$3,000,000
PNC Bank, National AssociationPNC Financial Servicesbanking violation2018OCC$207,245
PNC Bank, National AssociationPNC Financial Servicesbanking violation2018OCC$15,000,000
Bank of ChinaBank of Chinabanking violation2018OCC$12,500,000
Capital One Bank (USA), National AssociationCapital One Financialanti-money-laundering deficiencies2018OCC$100,000,000
Citibank, N.A.Citigroupbanking violation2019OCC$25,000,000
Midfirst BankMidFirst Bankbanking violation2019OCC$35,000
MUFG Union Bank, National AssociationU.S. Bancorpbanking violation2019OCC$109,667
Wilmington Savings Fund Society, Federal Savings BankWSFS Financial Corp.banking violation2019OCC$85,265
Citibank, N.A.Citigroupbanking violation2019OCC$30,000,000
Citibank, N.A.Citigroupbanking violation2020OCC$17,998,510
Mutual of Omaha BankFirst Citizens BancSharesbanking violation2019OCC$98,415
Capital One Bank (USA), National AssociationCapital One Financialbanking violation2020OCC$80,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2020OCC$250,000,000
USAA Federal Savings BankUSAAbanking violation2020OCC$85,000,000
Morgan Stanley Bank, N.A.Morgan Stanleybanking violation2020OCC$60,000,000
Citibank, National AssociationCitigroupbanking violation2020OCC$400,000,000
CIT Bank, National AssociationFirst Citizens BancSharesbanking violation2020OCC$82,500
USAA Federal Savings BankUSAAbanking violation2020OCC$382,500
State Farm Bank, FSBState Farm Insurancebanking violation2020OCC$547,200
Wells Fargo Bank, National AssociationWells Fargobanking violation2021OCC$250,000,000
Cadence Bank, National AssociationCadence Bankbanking violation2021OCC$3,000,000
Trustmark National BankTrustmarkbanking violation2021OCC$4,000,000
Washington Federal Bank, National AssociationWashington Federal Inc.banking violation2021OCC$2,500,000
Washington Federal Bank, National AssociationWashington Federal Inc.banking violation2021OCC$40,500
Flagstar Bank, FSBNew York Community Bancorpbanking violation2021OCC$3,620,000
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022OCC$60,000,000
PNC Bank, National AssociationPNC Financial Servicesbanking violation2022OCC$2,614,456
Bank of America NABank of Americabanking violation2022OCC$125,000,000
MUFG Union Bank, National AssociationU.S. Bancorpbanking violation2023OCC$15,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2023OCC$60,000,000
American Express National BankAmerican Expressbanking violation2023OCC$15,000,000
City National BankRoyal Bank of Canadabanking violation2024OCC$65,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2023OCC$15,000,000
Barclays Bank PLCBarclayseconomic sanction violation2016OFAC$2,485,890
Credit Agricole Corporate and Investment BankCredit Agricoleeconomic sanction violation2015OFAC$329,593,585
UBS AGUBSeconomic sanction violation2015OFAC$1,700,100
Navigators Insurance CompanyHartford Financial Serviceseconomic sanction violation2015OFAC$271,815
PayPal Inc.PayPal Holdingseconomic sanction violation2015OFAC$7,658,300
Commerzbank AGCommerzbankeconomic sanction violation2014OFAC$258,660,796
Bank of America N.A.Bank of Americaeconomic sanction violation2014OFAC$16,562,700
Clearstream Banking SADeutsche Borseeconomic sanction violation2014OFAC$152,000,000
Royal Bank of Scotland PLCNatWest Group PLCeconomic sanction violation2013OFAC$33,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2012OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $132,000,000
HSBC HoldingsHSBCeconomic sanction violation2012OFAC$375,000,000
ING Bank N.V.INGeconomic sanction violation2012OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $619,000,000
JPMorgan Chase BankJPMorgan Chaseeconomic sanction violation2011OFAC$88,300,000
Australia and New Zealand Bank Group, Ltd.Australia and New Zealand Banking Groupeconomic sanction violation2009OFAC$5,750,000
A.G. Edwards and Sons Inc.Wells Fargoeconomic sanction violation2008OFAC$122,358
BankAtlanticTruist Financialeconomic sanction violation2008OFAC$7,500
BB&TTruist Financialeconomic sanction violation2007OFAC$10,000
Citigroup, N. A.Citigroupeconomic sanction violation2008OFAC$16,250
Key Bank National AssociationKeyCorpeconomic sanction violation2008OFAC$200,000
American Express Travel Related Services Co., Inc.American Expresseconomic sanction violation2007OFAC$16,625
National Australia Bank Ltd.National Australia Bankeconomic sanction violation2007OFAC$100,000
Wachovia BankWells Fargoeconomic sanction violation2007OFAC$11,000
ABN AMRO Bank, N.V.ABN AMROeconomic sanction violation2006OFAC$40,000,000
Bank of ChinaBank of Chinaeconomic sanction violation2005OFAC$11,000
Fidelity Brokerage Services, Inc. dba Fidelity InvestmentsFidelity Investmentseconomic sanction violation2005OFAC$63,853
PNC BankPNC Financial Serviceseconomic sanction violation2005OFAC$8,200
Seabury & Smith Inc.Marsh & McLennaneconomic sanction violation2005OFAC$46,341
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$40,423
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$30,800
The Bank of New YorkBank of New York Melloneconomic sanction violation2005OFAC$5,844
Union Bank of CaliforniaU.S. Bancorpeconomic sanction violation2005OFAC$5,500
Wachovia BankWells Fargoeconomic sanction violation2005OFAC$5,500
Wells Fargo BankWells Fargoeconomic sanction violation2005OFAC$42,833
ABN AMRO Bank, IncABN AMROeconomic sanction violation2004OFAC$25,847
American ExpressAmerican Expresseconomic sanction violation2004OFAC$18,391
American Express Bank Ltd.American Expresseconomic sanction violation2004OFAC$5,041
American Express CompanyAmerican Expresseconomic sanction violation2004OFAC$5,500
Arab Banking Corp.Arab Banking Corp.economic sanction violation2004OFAC$5,500
Bank of AmericaBank of Americaeconomic sanction violation2004OFAC$13,573
Bank of ChinaBank of Chinaeconomic sanction violation2004OFAC$10,000
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$137,500
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$34,623
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$27,500
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$5,500
Bank OneJPMorgan Chaseeconomic sanction violation2004OFAC$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.