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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Primary Offense Type Year Agencysort icon Penalty Amount
Global Futures & Forex, Ltd. GAIN Capital Holdings investor protection violation 2014 CFTC $200,000
Macquarie Futures USA LLC Macquarie investor protection violation 2013 CFTC $150,000
FCStone LLC INTL FCStone investor protection violation 2013 CFTC $1,500,000
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2013 CFTC $225,000
Cantor Fitzgerald Cantor Fitzgerald investor protection violation 2012 CFTC $700,000
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2012 CFTC $700,000
FCStone, LLC and Commodity Operations Inc. INTL FCStone investor protection violation 2012 CFTC $260,000
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2011 CFTC $100,000
Vitol Inc. and Vitol Capital Management Ltd. Vitol investor protection violation 2010 CFTC $6,000,000
Noble Americas Corp. Vitol investor protection violation 2010 CFTC $130,000
UBS AG UBS investor protection violation 2010 CFTC $130,000
Scotia Capital Inc. Scotiabank investor protection violation 2010 CFTC $250,000
MF Global Inc. MF Global investor protection violation 2009 CFTC $10,000,000
Citigroup Private Bank GP, Inc. Citigroup data submission deficiencies 2009 CFTC $100,000
J.P. Morgan Futures, Inc. JPMorgan Chase data submission deficiencies 2009 CFTC $300,000
UBS Fund Advisor, LLC UBS data submission deficiencies 2009 CFTC $50,000
BNP Paribas Commodity Futures, Ltd. BNP Paribas data submission deficiencies 2008 CFTC $25,000
MF Global Inc. MF Global investor protection violation 2007 CFTC $2,000,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC Bank of America data submission deficiencies 2007 CFTC $500,000
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2007 CFTC $175,000
Credit Lyonnais Rouse Limited Credit Agricole investor protection violation 2005 CFTC $85,000
Credit Lyonnais Rouse Limited Credit Agricole investor protection violation 2004 CFTC $25,000
A.G. Edwards & Sons, Inc. Wells Fargo data submission deficiencies 2003 CFTC $45,000
Prudential Securities, Inc. Wells Fargo data submission deficiencies 2002 CFTC $65,000
Republic New York Securities Corporation HSBC investor protection violation 2001 CFTC $5,000,000
Barclays Bank PLC Barclays data submission deficiencies 2016 CFTC $500,000
Wells Fargo Bank, N.A. Wells Fargo data submission deficiencies 2016 CFTC $400,000
SG Americas Securities, LLC Societe Generale investor protection violation 2016 CFTC $750,000
Societe Generale Societe Generale data submission deficiencies 2016 CFTC $450,000
Goldman Sachs Goldman Sachs foreign exchange market manipulation 2016 CFTC $120,000,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2017 CFTC $900,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2017 CFTC $25,000,000
E*TRADE Securities LLC Morgan Stanley investor protection violation 2017 CFTC $280,000
Royal Bank of Scotland plc Royal Bank of Scotland interest rate benchmark manipulation 2017 CFTC $85,000,000
INTL FCStone Financial Inc. INTL FCStone investor protection violation 2017 CFTC $280,000
Morgan Stanley Morgan Stanley data submission deficiencies 2017 CFTC $350,000
Morgan Stanley Morgan Stanley investor protection violation 2017 CFTC $500,000
Citibank N.A. Citigroup data submission deficiencies 2017 CFTC $550,000
Merrill Lynch Bank of America investor protection violation 2017 CFTC $2,500,000
Deutsche Bank Securities Inc. Deutsche Bank interest rate benchmark manipulation 2018 CFTC $70,000,000
HSBC Securities (USA) Inc. HSBC investor protection violation 2018 CFTC $1,600,000
UBS AG UBS investor protection violation 2018 CFTC $15,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2018 CFTC $30,000,000
BNP Paribas Securities Corp. BNP Paribas interest rate benchmark manipulation 2018 CFTC $90,000,000
Lansing Trade Group, LLC Lansing Trade Group investor protection violation 2018 CFTC $3,400,000
JPMorgan Chase Bank, N.A. JPMorgan Chase interest rate benchmark manipulation 2018 CFTC $65,000,000
Societe Generale S.A. Societe Generale interest rate benchmark manipulation 2018 CFTC $475,000,000
Commerzbank AG Commerzbank investor protection violation 2018 CFTC $12,000,000
Bank of Nova Scotia Scotiabank investor protection violation 2018 CFTC $800,000
Mizuho Bank, Ltd. Mizuho Financial investor protection violation 2018 CFTC $250,000
Bank of America, N.A. Bank of America interest rate benchmark manipulation 2018 CFTC $30,000,000
ICAP Capital Markets LLC ICAP interest rate benchmark manipulation 2018 CFTC $50,000,000
NatWest Markets Plc Royal Bank of Scotland investor protection violation 2018 CFTC $750,000
ABN AMRO Clearing Chicago LLC ABN AMRO investor protection violation 2018 CFTC $160,000
Merrill Lynch Commodities, Inc. Bank of America investor protection violation 2019 CFTC (*) $24,900,000
BGC Financial, L.P. BGC Partners investor protection violation 2019 CFTC $3,000,000
Wells Fargo Bank, N.A. Wells Fargo investor protection violation 2019 CFTC $14,475,000
BGC Financial, LP BGC Partners investor protection violation 2019 CFTC $15,000,000
GFI Securities, LLC BGC Partners investor protection violation 2019 CFTC $10,000,000
Morgan Stanley Capital Group Inc. Morgan Stanley investor protection violation 2019 CFTC $1,500,000
PNC Bank, National Association PNC Financial Services investor protection violation 2019 CFTC $300,000
Bank of New York Mellon Bank of New York Mellon investor protection violation 2019 CFTC $750,000
NatWest Markets Plc Royal Bank of Scotland investor protection violation 2019 CFTC $850,000
Northern Trust Company Northern Trust investor protection violation 2019 CFTC $1,000,000
Societe Generale International Limited Societe Generale investor protection violation 2019 CFTC $2,500,000
HSBC Bank USA, N.A. HSBC investor protection violation 2019 CFTC $650,000
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2019 CFTC $5,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2019 CFTC $300,000
Goldman Sachs & Co. LLC Goldman Sachs investor protection violation 2019 CFTC $1,000,000
The Bank of Nova Scotia Scotiabank investor protection violation 2020 CFTC $50,000,000
The Bank of Nova Scotia Scotiabank investor protection violation 2020 CFTC $77,400,000
Interactive Brokers LLC Interactive Brokers Group anti-money-laundering deficiencies 2020 CFTC $12,206,214
Deutsche Bank AG Deutsche Bank investor protection violation 2020 CFTC $9,000,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2020 CFTC $1,250,000
Vitol Inc. Vitol fraud 2020 CFTC (*) $95,700,000
Morgan Stanley Capital Services LLC Morgan Stanley investor protection violation 2020 CFTC $5,000,000
JPMorgan Chase & Company JPMorgan Chase investor protection violation 2020 CFTC $920,200,000
Citibank N.A. Citigroup investor protection violation 2020 CFTC $4,500,000
Citibank Citigroup consumer protection violation 2016 CFPB $7,890,000
Citibank Citigroup consumer protection violation 2016 CFPB $45,000,000
EZCORP Inc. EZCORP Inc. consumer protection violation 2015 CFPB $10,500,000
Fifth Third Bank Fifth Third Bancorp consumer protection violation 2015 CFPB $21,500,000
Hudson City Savings Bank M&T Bank banking violation 2015 CFPB $32,750,000
Encore Capital Group Encore Capital Group consumer protection violation 2015 CFPB $52,000,000
Springstone Financial, LLC LendingClub Corp. consumer protection violation 2015 CFPB $700,000
Citizens Bank, N.A. Citizens Financial Group consumer protection violation 2015 CFPB $18,500,000
Paymap Inc. Western Union consumer protection violation 2015 CFPB $38,400,000
Discover Bank Discover Financial Services consumer protection violation 2015 CFPB $18,500,000
Citibank N.A. Citigroup consumer protection violation 2015 CFPB $733,800,000
JPMorgan Chase JPMorgan Chase consumer protection violation 2015 CFPB $186,000,000
Provident Funding Associates Provident Funding Associates consumer protection violation 2015 CFPB $9,000,000
PayPal Inc. PayPal Holdings consumer protection violation 2015 CFPB $25,000,000
Regions Bank Regions Financial consumer protection violation 2015 CFPB $7,500,000
Wells Fargo Wells Fargo consumer protection violation 2015 CFPB $34,800,000
JPMorgan Chase JPMorgan Chase consumer protection violation 2015 CFPB $900,000
M&T Bank M&T Bank consumer protection violation 2014 CFPB $3,100,000
Flagstar Bank Flagstar Bancorp consumer protection violation 2014 CFPB $37,500,000
U.S. Bank U.S. Bancorp consumer protection violation 2014 CFPB $53,000,000
Amerisave Mortgage Corporation and Novo Appraisal Management Company AmeriSave Mortgage consumer protection violation 2014 CFPB $19,300,000
ACE Cash Express ACE Cash Express consumer protection violation 2014 CFPB $15,000,000
GE Capital Retail Bank, now known as Synchrony Bank Synchrony Financial consumer protection violation 2014 CFPB $225,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)