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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
UBS AGUBSbanking violation2015FED$342,000,000
UBS AGUBSprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$203,000,000
UBS AGUBSinvestor protection violation2015SEC$19,500,000
UBS AGUBSprice-fixing or anti-competitive practices2014CFTC$290,000,000
UBS AGUBSprice-fixing or anti-competitive practices2012CFTC$700,000,000
UBS AGUBSeconomic sanction violation2015OFAC$1,700,100
UBS AGUBSinvestor protection violation2010CFTC$130,000
UBS AGUBSeconomic sanction violation2004FED$100,000,000
UBS AGUBStax violations2009DOJ_TAX$780,000,000
UBS AGUBStax violations2009SEC$200,000,000
UBS AGUBSinvestor protection violation2018CFTC$15,000,000
UBS AGUBSprice-fixing or anti-competitive practices2018MULTI-AG$68,000,000
UBS AGUBSprice-fixing or anti-competitive practices2011MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,800,000
UBS AGUBSprice-fixing or anti-competitive practices2016WV-AG$325,000
UBS AGUBSenvironmental violation2011CT-ENV$80,000
UBS AGUBSinvestor protection violation2021CFTC$500,000
UBS AGUBSinvestor protection violation2022CFTC$75,000,000
UBS AGUBSprice-fixing or anti-competitive practices2020private lawsuit-federal$17,900,000
UBS AGUBSprice-fixing or anti-competitive practices2018private lawsuit-federal$141,075,000
UBS AGUBSprice-fixing or anti-competitive practices2018private lawsuit-federal$14,000,000
UBS AGUBSprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
UBS AGUBSprice-fixing or anti-competitive practices2022private lawsuit-federal$8,000,000
UBS AGUBSprice-fixing or anti-competitive practices2016private lawsuit-federal$32,000,000
UBS AGUBStoxic securities abuses2023DOJ_CIVIL$1,435,000,000
UBS (USA) IncUBSeconomic sanction violation2003OFAC$14,750
UBS (USA) IncUBSeconomic sanction violation2003OFAC$5,000
UBSUBStoxic securities abuses2016NCUA$69,800,000
UBSUBStoxic securities abuses2017NCUA$445,000,000
UBSUBSwage and hour violation2015private lawsuit-federal$1,312,500
UBSUBSwage and hour violation2012private lawsuit-federal$1,400,000
UBSUBSwage and hour violation2007private lawsuit-federal$44,000,000
UBSUBSwage and hour violation2007private lawsuit-federal$45,000,000
UBSUBSinvestor protection violation2010MI-AG$117,000,000
UBSUBSbanking violation2023TX-AG$850,000
U.S. Trust CorporationBank of Americabanking violation2001FED$5,000,000
U.S. Trust CorporationBank of Americaanti-money-laundering deficiencies2001NY-DFS$5,000,000
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.investor protection violation2010SEC$112,600,000
U.S. Bank, National AssociationU.S. Bancorpmortgage abuses2011HUD$1,200,000
U.S. Bank Pension PlanU.S. Bancorpbenefit plan administrator violation2012private lawsuit-federal$9,600,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2016OCC$10,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2014OCC$51,900,000
U.S. Bank National AssociationU.S. Bancorpinvestor protection violation2015CFTC$18,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2006OCC$125,000
U.S. Bank National AssociationU.S. Bancorpdiscriminatory practices (non-employment)2014HUD$11,489
U.S. Bank National AssociationU.S. Bancorpdiscriminatory practices (non-employment)2013HUD$12,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2017OCC$15,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2017OCC$183,920
U.S. Bank National AssociationU.S. Bancorpanti-money-laundering deficiencies2018OCC$75,000,000
U.S. Bank National AssociationU.S. Bancorpanti-money-laundering deficiencies2018FINCEN$70,000,000
U.S. Bank National AssociationU.S. Bancorpinvestor protection violation2005SEC$500,000
U.S. Bank National AssociationU.S. Bancorpwage and hour violation2020private lawsuit-federal$6,500,000
U.S. Bank National AssociationU.S. Bancorpmortgage abuses2020DOJ_UTP$29,000,000
U.S. Bank National AssociationU.S. Bancorpconsumer protection violation2015private lawsuit-federal$6,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2023OCC$15,000,000
U.S. Bank NAU.S. Bancorpconsumer protection violation2016private lawsuit-federal$14,050,000
U.S. Bank NAU.S. Bancorpconsumer protection violation2015private lawsuit-federal$44,500,000
U.S. Bank NAU.S. Bancorpconsumer protection violation2015private lawsuit-federal$34,500,000
U.S. Bank Municipal Securities GroupU.S. Bancorpinvestor protection violation2015SEC$60,000
U.S. BankU.S. Bancorpconsumer protection violation2014CFPB$53,000,000
U.S. BankU.S. Bancorpbanking violation2013CFPB$3,200,000
U.S. BankU.S. Bancorpbanking violation2013OCC$208,156,501
U.S. BankU.S. BancorpFalse Claims Act and related2014DOJ_CIVIL$200,000,000
U.S. BankU.S. Bancorpwage and hour violation2008WHD$140,787
U.S. BankU.S. Bancorpwage and hour violation2015private lawsuit-federal$3,031,075
U.S. BankU.S. Bancorpprivacy violation2019private lawsuit-federal$2,670,336
U.S. BankU.S. Bancorpconsumer protection violation2021MA-AG$230,000
U.S. BankU.S. Bancorpbanking violation2022CFPB$37,500,000
U.S. BankU.S. Bancorpconsumer protection violation2023CFPB$20,700,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003SEC$32,500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerdata submission deficiencies2002SEC$1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002SEC$100,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003MT-FIN$2,625,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002NE-DBF$5,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor 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. $12,500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
U.S. Bancorp Piper JaffrayPiper Sandlerinvestor protection violation2002FINRA$250,000
U.S. Bancorp Investments Inc.U.S. Bancorpinvestor protection violation2024SEC$8,000,000
U.S. Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2020SEC$15,992,441
U.S. BANCORP DBA US BANK MT. VERNON IL OFFICEU.S. Bancorpworkplace safety or health violation2015OSHA$8,775
U.S. BancorpU.S. Bancorpwage and hour violation2006WHD$140,788
U.S. BancorpU.S. Bancorpmortgage abuses2018FED$4,400,000
U.S. BancorpU.S. Bancorpanti-money-laundering deficiencies2018USAO$453,000,000
U.S. BancorpU.S. Bancorpwage and hour violation2017private lawsuit-federal$7,000,000
U.S. BancorpU.S. Bancorpwage and hour violation2017private lawsuit-federal$1,150,000
U.S. BancorpU.S. Bancorpwage and hour violation2014private lawsuit-federal$6,450,000
U.S. BancorpU.S. Bancorpconsumer protection violation2005CA-AG$2,600,000
U.S. BancorpU.S. Bancorpdiscriminatory practices (non-employment)2005private lawsuit-federal$2,495,000
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2014TX-INS$5,079
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2015TX-INS$5,500
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2016TX-INS$9,500
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2017TX-INS$8,500
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2017WA-INS$30,000
Twin City Fire Insurance Co. et al.Hartford Financial Servicesinsurance violation2016MD-INS$10,000
Twin City Fire Insurance Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Twin City Fire Insurance Co.Hartford Financial Servicesinsurance violation2016MO-INS$62,541
Twin City Fire Insurance Co.Hartford Financial Servicesinsurance violation2020TX-INS$6,000
Trustmark National BankTrustmarkbanking violation2012OCC$6,250
Trustmark National BankTrustmarkdiscriminatory practices (non-employment)2021CFPB(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
Trustmark National BankTrustmarkbanking violation2021OCC$4,000,000
Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.