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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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Citigroup Global Markets Inc.Citigroupinvestor protection violation2010MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015MULTI-FIN$1,965,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2019FINRA$280,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2019FINRA$1,250,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2017FINRA$11,500,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2017FINRA$1,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2014FINRA$5,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2014FINRA$2,488,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2014FINRA$1,097,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2010FINRA$1,500,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009FINRA$600,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2006FINRA$1,115,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2005FINRA$60,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2004FINRA$5,000,000
Citigroup Global Markets Inc.Citigrouptoxic securities abuses2021NM-AG$4,642,857
Citigroup Global Markets Inc.Citigroupinvestor protection violation2022SEC$125,000,000
Citigroup Global Markets Inc.Citigroupprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Citigroup Global Markets Inc.Citigroupconsumer protection violation2015private lawsuit-federal$78,333,333
Citigroup Global Markets Inc.Citigroupconsumer protection violation2015private lawsuit-federal$10,571,428
Citigroup Global Markets Inc.Citigroupinvestor protection violation2023SEC$2,900,000
CITIGROUP GLOBAL MARKETS INCCitigroupinvestor protection violation2004VA-SEC$72,486
Citigroup Global MarketsCitigroupinvestor protection violation2015SEC$15,000,000
Citigroup Global MarketsCitigroupdata submission deficiencies2016SEC$7,000,000
Citigroup Global MarketsCitigroupinvestor protection violation2017SEC$2,963,735
Citigroup Global MarketsCitigroupinvestor protection violation2017SEC$18,300,000
Citigroup Global MarketsCitigroupwage and hour violation2011private lawsuit-federal$394,220
CITIGROUP GLOBAL MARKETSCitigroupinvestor protection violation2008VA-SEC$22,000
Citigroup Global MarketsCitigroupinvestor protection violation2009FINRA$425,000
Citigroup Global MarketsCitigroupinvestor protection violation2009FINRA$2,000,000
CitigroupCitigrouptoxic securities abuses2011SEC$285,000,000
CitigroupCitigrouptoxic securities abuses2013FHFA$968,000,000
CitigroupCitigrouptoxic securities abuses2011NCUA$20,500,000
CitigroupCitigroupprice-fixing or anti-competitive practices2016CFTC$175,000,000
CitigroupCitigroupinvestor protection violation2012CFTC$525,000
CitigroupCitigroupwage and hour violation2009WHD$38,926
CitigroupCitigroupwage and hour violation2017private lawsuit-federal$1,080,000
CitigroupCitigroupwage and hour violation2017private lawsuit-federal$325,000
CitigroupCitigroupwage and hour violation2015private lawsuit-federal$4,650,000
CitigroupCitigroupwage and hour violation2008private lawsuit-federal$98,000,000
CitigroupCitigroupwage and hour violation2006private lawsuit-federal$3,550,000
CitigroupCitigroupbanking violation2018FED$8,600,000
CitigroupCitigroupaccounting fraud or deficiencies2018SEC$10,500,000
CitigroupCitigroupmortgage abuses2012MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,041,577
CitigroupCitigroupmortgage abuses2015MA-AG$675,000
CitigroupCitigrouptoxic securities abuses2008MA-AG$20,000,000
CitigroupCitigroupdiscriminatory practices (non-employment)2001NY-DFS$1,000,000
CITIGROUPCitigroupenvironmental violation2010NJ-ENV$6,000
CitigroupCitigroupinvestor protection violation2012FINRA$1,279,106
CitiFinancial, Inc.Citigroupconsumer protection violation2003FL-OFR$8,199
CitiFinancial, Inc.Citigroupconsumer protection violation2007NE-DBF$81,500
CitiFinancial Servicing and CitiMortgage, Inc.Citigroupconsumer protection violation2017CFPB$28,800,000
CitiFinancial Credit CompanyCitigroupconsumer protection violation2017DOJ_RIGHTS$907,000
CitifinancialCitigrouphousing program violation2010MULTI-FIN$1,250,000
Citicorp Vendor Finance LtdCitigroupeconomic sanction violation2004OFAC$7,379
Citicorp Insurance Agency, Inc., Citicorp Investment Services, and SBHU Life Agency, Inc.Citigroupinsurance violation2010NY-DFS$2,000,000
CITICORP CREDIT CARD SERVICES, INC. (USA)Citigroupworkplace safety or health violation2014OSHA$7,650
CiticorpCitigroupprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$925,000,000
Citibank/Citigroup Inc.Citigroupconsumer protection violation2013WV-AG$1,950,000
Citibank, National AssociationCitigroupbanking violation2014OCC$350,000,000
Citibank, National AssociationCitigroupbanking violation2020OCC$400,000,000
CitiBank, N.A.,Citigroupwage and hour violation2014CA-LCO$10,148
Citibank, N.A.Citigroupbanking violation2015OCC$35,000,000
Citibank, N.A.Citigroupconsumer protection violation2018CFPB$335,000,000
Citibank, N.A.Citigroupbanking violation2019OCC$25,000,000
Citibank, N.A.Citigroupbanking violation2019OCC$30,000,000
Citibank, N.A.Citigroupbanking violation2020OCC$17,998,510
Citibank, N.A.Citigroupinvestor protection violation2021CFTC$1,000,000
CITIBANK, N.A.Citigroupworkplace safety or health violation2010OSHA$5,000
Citibank NACitigroupexport control violation2018BIS$60,000
Citibank N.A.Citigroupconsumer protection violation2015CFPB$733,800,000
Citibank N.A.Citigroupdata submission deficiencies2017CFTC$550,000
Citibank N.A.Citigroupconsumer protection violation2017CFPB$6,000,000
Citibank N.A.Citigroupanti-money-laundering deficiencies2018OCC$70,000,000
Citibank N.A.Citigroupbanking violation2017OCC$452,000
Citibank N.A.Citigroupinvestor protection violation2018SEC$38,700,000
Citibank N.A.Citigroupbankruptcy professional violation2018DOJ_UTP$5,000,000
Citibank N.A.Citigroupprivacy violation2013CT-AG$55,000
Citibank N.A.Citigroupinvestor protection violation2020CFTC$4,500,000
Citibank N.A.Citigroupinvestor protection violation2022CFTC$75,000,000
Citibank N.A.Citigroupprice-fixing or anti-competitive practices2020private lawsuit-federal$7,025,000
Citibank N.A.Citigroupprice-fixing or anti-competitive practices2020private lawsuit-federal$33,400,000
Citibank N.A.Citigroupprice-fixing or anti-competitive practices2018private lawsuit-federal$130,000,000
Citibank N.A.Citigroupprice-fixing or anti-competitive practices2019private lawsuit-federal$91,250,000
Citibank N.A.Citigroupprice-fixing or anti-competitive practices2022private lawsuit-federal$9,990,000
Citibank N.A.Citigroupconsumer protection violation2014private lawsuit-federal$110,000,000
Citibank N.A.Citigroupconsumer protection violation2013private lawsuit-federal$2,320,000
Citibank N.A.Citigroupconsumer protection violation2013private lawsuit-federal$7,500,000
Citibank N.A.Citigroupdiscriminatory practices (non-employment)2023CFPB$25,900,000
CitibankCitigroupconsumer protection violation2016CFPB$7,890,000
CitibankCitigroupconsumer protection violation2016CFPB$45,000,000
CitibankCitigroupbanking violation2013OCC$793,492,868
CitibankCitigroupprice-fixing or anti-competitive practices2016CFTC$250,000,000
CitibankCitigroupprice-fixing or anti-competitive practices2014CFTC$310,000,000
CitibankCitigroupeconomic sanction violation2004OFAC$5,500
CitibankCitigroupconsumer protection violation2002MULTI-AG$1,600,000
CitibankCitigroupprice-fixing or anti-competitive practices2018MULTI-AG$100,000,000
CitibankCitigroupconsumer protection violation2008CA-AG$3,500,000
CitibankCitigroupconsumer protection violation2002CA-AG$1,600,000
CitibankCitigroupconsumer protection violation2014HI-AG$2,825,000
CitibankCitigroupconsumer protection violation2007NY-AG$2,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.