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
Banc One Investment Advisors Corporation JPMorgan Chase investor protection violation 2004 SEC $50,000,000
Banc One Investment Advisors Corporation JPMorgan Chase investor protection violation 2004 NY-AG (*) $90,000,000
Banc One Securities Corporation JPMorgan Chase investor protection violation 2008 FINRA $225,000
Banc One Securities Corporation JPMorgan Chase investor protection violation 2005 FINRA $400,000
Banca IMI Securities Corp. Intesa Sanpaolo investor protection violation 2017 SEC $35,300,000
Banca IMI Securities Corp. Intesa Sanpaolo price-fixing or anti-competitive practices 2019 DOJ_ANTITRUST $2,000,000
BancBoston Robertson Stephens Bank of America investor protection violation 2001 FINRA $10,000
BancFirst Insurance Services, Inc. BancFirst wage and hour violation 2014 WHD $20,229
Banco Bilbao Vizcaya Argentaria, S.A. Banco Bilbao Vizcaya Argentaria banking violation 2016 FED $27,000,000
Banco Bilbao Vizcaya Puerto Rico Banco Bilbao Vizcaya Argentaria wage and hour violation 2006 WHD $31,571
BANCO ESPIRITO SANTO S. A. Banco Espirito Santo banking violation 2012 FED $975,000
Banco Espirito Santo S.A. Banco Espirito Santo investor protection violation 2011 SEC $7,000,000
Banco Espirito Santo S.A. Banco Espirito Santo investor protection violation 2011 NY-AG $975,000
Banco Espirito Santo, S.A. Banco Espirito Santo investor protection violation 2011 NJ-AG $1,900,000
Banco Popular Popular Inc. wage and hour violation 2016 private lawsuit-federal $50,243
Banco Popular Popular Inc. wage and hour violation 2009 private lawsuit-federal $1,050,000
Banco Popular de Puerto Rico Popular Inc. anti-money-laundering deficiencies 2003 DOJ_CRIMINAL $21,600,000
Banco Popular North America, Inc. Popular Inc. wage and hour violation 2004 WHD $17,363
BancorpSouth Bank BancorpSouth mortgage abuses 2016 CFPB $10,600,000
BANCORPSOUTH BANK BancorpSouth banking violation 2011 FDIC $46,500
Bank Hapoalim B.M, Bank Hapoalim tax violations 2020 FED $37,350,000
Bank Hapoalim B.M. Bank Hapoalim anti-money-laundering deficiencies 2020 DOJ_CRIMINAL $30,063,317
Bank Hapoalim B.M. Bank Hapoalim tax violations 2020 NY-DFS $220,000,000
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd. Bank Hapoalim tax violations 2020 DOJ_TAX $616,910,000
Bank Julius Baer & Co. Ltd. Julius Baer Group tax violations 2016 DOJ_TAX $547,000,000
Bank Julius Baer & Co. Ltd. Julius Baer Group money laundering 2021 DOJ_CRIMINAL $79,000,000
Bank Leumi Bank Leumi investor protection violation 2016 SEC $1,600,000
Bank Leumi Bank Leumi tax violations 2014 NY-DFS $130,000,000
Bank Leumi Group Bank Leumi tax violations 2014 DOJ_TAX $270,000,000
Bank of America Bank of America price-fixing or anti-competitive practices 2010 DOJ_ANTITRUST $137,300,000
Bank of America Bank of America banking violation 2013 OCC $2,886,578,478
Bank of America Bank of America investor protection violation 2010 SEC $150,000,000
Bank of America Bank of America toxic securities abuses 2013 FHFA $404,000,000
Bank of America Bank of America toxic securities abuses 2011 FHFA $1,300,000,000
Bank of America Bank of America toxic securities abuses 2011 FHFA $1,520,000,000
Bank of America Bank of America toxic securities abuses 2013 FHFA $10,350,000,000
Bank of America Bank of America toxic securities abuses 2013 NCUA $165,000,000
Bank of America Bank of America economic sanction violation 2004 OFAC $13,573
Bank of America Bank of America economic sanction violation 2003 OFAC $158,038
Bank of America Bank of America discriminatory practices (non-employment) 2013 HUD $45,000
Bank of America Bank of America discriminatory practices (non-employment) 2013 HUD $22,449
Bank of America Bank of America discriminatory practices (non-employment) 2013 HUD $7,500
Bank of America Bank of America discriminatory practices (non-employment) 2012 HUD $161,180
Bank of America Bank of America employment discrimination 2014 EEOC $110,000
Bank of America Bank of America employment discrimination 2016 EEOC $30,000
Bank of America Bank of America Family and Medical Leave Act 2008 WHD $6,500
Bank of America Bank of America wage and hour violation 2008 WHD $6,209
Bank of America Bank of America wage and hour violation 2005 WHD $12,824
Bank of America Bank of America employment discrimination 2017 OFCCP $1,000,000
Bank of America Bank of America investor protection violation 2017 USAO $2,500,000
Bank of America Bank of America export control violation 2017 BIS $44,625
Bank of America Bank of America Family and Medical Leave Act 2017 WHD $14,528
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $6,000,000
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $7,000,000
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $1,900,000
Bank of America Bank of America wage and hour violation 2017 private lawsuit-federal $6,600,000
Bank of America Bank of America wage and hour violation 2016 private lawsuit-state $4,000,000
Bank of America Bank of America wage and hour violation 2016 private lawsuit-federal $3,250,000
Bank of America Bank of America wage and hour violation 2016 private lawsuit-federal $36,000,000
Bank of America Bank of America wage and hour violation 2016 private lawsuit-federal $2,250,000
Bank of America Bank of America wage and hour violation 2015 private lawsuit-federal $9,000,000
Bank of America Bank of America wage and hour violation 2013 private lawsuit-federal $73,000,000
Bank of America Bank of America wage and hour violation 2010 private lawsuit-state $16,650,000
Bank of America Bank of America wage and hour violation 2010 private lawsuit-federal $661,392
Bank of America Bank of America wage and hour violation 2007 private lawsuit-state $2,500,000
Bank of America Bank of America wage and hour violation 2006 private lawsuit-federal $9,000,000
Bank of America Bank of America wage and hour violation 2003 private lawsuit-state $4,100,000
Bank of America Bank of America wage and hour violation 2001 private lawsuit-state $22,000,000
Bank of America Bank of America investor protection violation 2012 MULTI-AG $2,430,000,000
Bank of America Bank of America investor protection violation 2013 MULTI-AG $500,000,000
Bank of America Bank of America mortgage abuses 2012 MULTI-AG (*) $2,382,415,075
Bank of America Bank of America price-fixing or anti-competitive practices 2010 MULTI-AG (*) $67,000,000
Bank of America Bank of America False Claims Act and related 2001 AK-AG $35,600,000
Bank of America Bank of America privacy violation 2009 CT-AG $350,000
Bank of America Bank of America fraud 2016 DC-AG $13,000,000
Bank of America Bank of America fraud 2010 DC-AG $13,502,852
Bank of America Bank of America consumer protection violation 2014 HI-AG $2,825,000
Bank of America Bank of America mortgage abuses 2015 MA-AG $675,000
Bank of America Bank of America discriminatory practices (non-employment) 2006 MA-AG $50,000
Bank of America Bank of America employment discrimination 2019 OFCCP $4,200,000
Bank of America Bank of America investor protection violation 2008 MULTI-FIN (*) $50,000,000
BANK OF AMERICA Bank of America workplace safety or health violation 2003 OSHA $5,000
BANK OF AMERICA Bank of America workplace safety or health violation 2011 OSHA $6,600
Bank of America Corp Bank of America employment discrimination 2013 OFCCP $2,181,593
Bank of America Corp Bank of America benefit plan administrator violation 2011 private lawsuit-federal $21,000,000
Bank of America Corp. Bank of America privacy violation 2010 MO-AG $195,000
Bank of America Corp. Bank of America consumer protection violation 2013 WV-AG $1,950,000
Bank of America Corp. Bank of America anti-money-laundering deficiencies 2006 NY-MANDA $7,500,000
Bank of America Corp. Bank of America workplace whistleblower retaliation 2011 OSHA $930,000
BANK OF AMERICA CORPORATION Bank of America banking violation 2015 FED $205,000,000
Bank of America Corporation Bank of America banking violation 2012 FED $175,500,000
Bank of America Corporation Bank of America mortgage abuses 2014 DOJ $16,650,000,000
Bank of America Corporation Bank of America mortgage abuses 2012 DOJ $10,956,600,000
Bank of America Corporation Bank of America investor protection violation 2014 SEC $7,650,000
Bank of America Corporation Bank of America toxic securities abuses 2014 FHFA $9,300,000,000
Bank of America Corporation Bank of America investor protection violation 2009 SEC $33,000,000
Bank of America Corporation Bank of America wage and hour violation 2006 WHD $265,774
Bank of America Corporation Bank of America wage and hour violation 2004 WHD $5,972
Bank of America Corporation Bank of America investor protection violation 2014 SEC $20,000,000
Bank of America Corporation Bank of America mortgage abuses 2014 MULTI-AG (*) $943,000,000
Bank of America Corporation Bank of America privacy violation 2014 private lawsuit-federal $32,083,905
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)