Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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)
Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
Citibank, National Association Citigroup banking violation 2014 OCC $350,000,000
Citibank, National Association Citigroup banking violation 2020 OCC $400,000,000
Citibank, N.A. Citigroup banking violation 2015 OCC $35,000,000
Citibank, N.A. Citigroup consumer protection violation 2018 CFPB $335,000,000
Citibank, N.A. Citigroup banking violation 2019 OCC $25,000,000
Citibank, N.A. Citigroup banking violation 2019 OCC $30,000,000
Citibank, N.A. Citigroup banking violation 2020 OCC $17,998,510
CITIBANK, N.A. Citigroup workplace safety or health violation 2010 OSHA $5,000
Citibank NA Citigroup export control violation 2018 BIS $60,000
Citibank N.A. Citigroup consumer protection violation 2015 CFPB $733,800,000
Citibank N.A. Citigroup data submission deficiencies 2017 CFTC $550,000
Citibank N.A. Citigroup consumer protection violation 2017 CFPB $6,000,000
Citibank N.A. Citigroup anti-money-laundering deficiencies 2018 OCC $70,000,000
Citibank N.A. Citigroup banking violation 2017 OCC $452,000
Citibank N.A. Citigroup investor protection violation 2018 SEC $38,700,000
Citibank N.A. Citigroup bankruptcy professional violation 2018 DOJ_UTP $5,000,000
Citibank N.A. Citigroup privacy violation 2013 CT-AG $55,000
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
Citibank Citigroup banking violation 2013 OCC $793,492,868
Citibank Citigroup interest rate benchmark manipulation 2016 CFTC $250,000,000
Citibank Citigroup interest rate benchmark manipulation 2014 CFTC $310,000,000
Citibank Citigroup economic sanction violation 2004 OFAC $5,500
Citibank Citigroup consumer protection violation 2002 MULTI-AG $1,600,000
Citibank Citigroup interest rate benchmark manipulation 2018 MULTI-AG $100,000,000
Citibank Citigroup consumer protection violation 2008 CA-AG $3,500,000
Citibank Citigroup consumer protection violation 2002 CA-AG $1,600,000
Citibank Citigroup consumer protection violation 2014 HI-AG $2,825,000
Citibank Citigroup consumer protection violation 2007 NY-AG $2,000,000
Citibank Citigroup illegal gambling business 2002 NY-AG $100,000
Citibank Citigroup consumer protection violation 2021 MULTI-AG $4,200,000
CIT Technology Financing Services, Inc. CIT consumer protection violation 2005 NJ-AG $4,360,000
CIT Technology Financing Services, Inc. CIT consumer protection violation 2004 NY-AG $4,200,000
CIT Group/Equipment Financing, Inc. CIT consumer protection violation 2005 MULTI-AG $10,000,000
CIT Group, Inc., and CIT Bank, N.A., dba OneWest Bank CIT discriminatory practices (non-employment) 2019 HUD $7,300,000
CIT Group Inc. CIT export control violation 2005 BIS $74,800
CIT Group Inc. CIT mortgage abuses 2018 FED $5,200,000
CIT Group CIT consumer protection violation 2009 NE-DBF $52,000
CIT Bank, National Association CIT banking violation 2020 OCC $82,500
Cincinnati Life Insurance Company Cincinnati Financial insurance violation 2004 MULTI-FIN $216,750
Cincinnati Life Insurance Company Cincinnati Financial discriminatory practices (non-employment) 2004 private lawsuit-state $1,900,000
Cincinnati Insurance Company Cincinnati Financial employment discrimination 2006 private lawsuit-federal $537,500
Cincinnati Insurance Company Cincinnati Financial insurance violation 2018 TX-INS $30,000
CINCINNATI INSURANCE COMPANY Cincinnati Financial insurance violation 2016 VA-INS $54,475
Cincinnati Insurance Co. Cincinnati Financial insurance violation 2007 FL-OFR $65,000
Cincinnati Insurance Co. Cincinnati Financial insurance violation 2020 WA-INS $5,000
CIBC World Markets Corporation Canadian Imperial Bank of Commerce investor protection violation 2005 SEC $496,598
CIBC World Markets Corp. Canadian Imperial Bank of Commerce investor protection violation 2008 FINRA $350,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce investor protection violation 2008 FINRA $200,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce investor protection violation 2005 FINRA $40,000
Chubb National Insurance Co. Chubb Limited insurance violation 2012 MO-INS $68,000
Chubb Ltd. Chubb Limited insurance violation 2018 NY-DFS $1,300,000
Chubb Lloyds Insurance Company of Texas Chubb Limited insurance violation 2018 TX-INS $55,000
CHUBB INDEMNITY INSURANCE, ET AL. Chubb Limited insurance violation 2007 VA-INS $5,000
Chubb Indemnity Insurance Company Chubb Limited insurance violation 2013 TX-INS $7,000
Chubb Indemnity Insurance Company Chubb Limited insurance violation 2014 TX-INS $9,000
Chubb Indemnity Insurance Company Chubb Limited insurance violation 2019 TX-INS $9,500
Chubb Indemnity Insurance Co. Chubb Limited insurance violation 2002 MN-FIN $5,000
Chubb Indemnity Insurance Co. Chubb Limited insurance violation 2011 TX-INS $24,000
Chubb Indemnity Company Chubb Limited insurance violation 2014 TX-INS $5,725
Chubb Group Of Companies Chubb Limited insurance violation 2011 WA-INS $534,000
Chubb Chubb Limited price-fixing or anti-competitive practices 2006 MULTI-AG $17,000,000
Chicago Title Insurance Company, Fidelity National Financial insurance violation 2010 CT-INS $62,000
Chicago Title Insurance Company Fidelity National Financial mortgage abuses 2005 HUD $5,000,000
Chicago Title Insurance Company Fidelity National Financial insurance violation 2008 NJ-DBI $20,000
Chicago Title Insurance Company Fidelity National Financial insurance violation 2011 WA-INS $10,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2017 AR-INS $50,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2010 AZ-INS $10,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2011 CA-INS $185,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2015 CO-INS $66,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2019 DE-INS $8,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2005 FL-OFR $50,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2009 IN-INS $24,150
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2016 MD-INS $5,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2015 MN-FIN $10,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2009 MO-INS $55,496
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2007 MT-INS $7,500
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2020 CT-INS $28,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2020 MO-INS $48,500
Chicago Insurance Company Allianz insurance violation 2010 WA-INS $7,500
Chicago Insurance Co. Allianz insurance violation 2008 FL-OFR $130,000
Chicago Board Options Exchange CBOE Holdings investor protection violation 2013 SEC $6,000,000
Chevy Chase Bank F.S.B. Capital One Financial mortgage abuses 2013 DOJ_RIGHTS $2,850,000
Chemoil Corporation Glencore environmental violation 2016 EPA $27,000,000
Chemoil Corporation Glencore wage and hour violation 2013 WHD $16,594
CHEMOIL CORPORATION Glencore environmental violation 2016 EPA (*) $27,000,000
Chase Securities, Inc. JPMorgan Chase investor protection violation 2001 FINRA $10,000
Chase Investment Services Corporation JPMorgan Chase investor protection violation 2011 FINRA $3,600,000
Chase Investment Services Corporation JPMorgan Chase investor protection violation 2006 FINRA $500,000
Chase Investment Services Corp. JPMorgan Chase investor protection violation 2009 FINRA $250,000
Chase Investment Services Corp. JPMorgan Chase investor protection violation 2009 FINRA $32,500
Chase Investment Services Corp. JPMorgan Chase investor protection violation 2005 FINRA $60,000
Chase Investment Services Corp. JPMorgan Chase investor protection violation 2004 FINRA $250,000
Chase Investment Services JPMorgan Chase investor protection violation 2005 FINRA $290,262
Chase Investment Services JPMorgan Chase investor protection violation 2005 FINRA $2,000,000
Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A. JPMorgan Chase consumer protection violation 2013 CFPB $329,000,000
Chase Bank USA, N.A. JPMorgan Chase consumer protection violation 2009 NY-AG $4,400,000
Chase Bank USA N.A. JPMorgan Chase consumer protection violation 2015 MULTI-AG (*) $106,000,000
Chase Bank JPMorgan Chase consumer protection violation 2006 MULTI-AG $3,850,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc. Charles Schwab Corp. investor protection violation 2011 SEC $118,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)