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)
Company Parentsort icon Primary Offense Type Year Agency Penalty Amount
Bank of Hawaii Bank of Hawaii benefit plan administrator violation 2009 EBSA $2,500,000
Bank of Hawaii Bank of Hawaii wage and hour violation 2018 WHD $7,631
BMO Harris Bank Bank of Montreal employment discrimination 2013 EEOC $400,000
BMO Harris Bank N.A. Bank of Montreal Family and Medical Leave Act 2015 WHD $11,304
BMO Financial Bank of Montreal wage and hour violation 2016 private lawsuit-federal $700,000
BMO Financial Bank of Montreal wage and hour violation 2015 private lawsuit-federal $3,900,000
Harris N.A. Bank of Montreal benefit plan administrator violation 2007 EBSA $274,600
BMO Harris Bank, N.A. Bank of Montreal fraud 2018 USAO $10,000,000
BMO Capital Markets Corporation Bank of Montreal investor protection violation 2019 SEC $3,946,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. Bank of Montreal investor protection violation 2019 SEC $37,980,000
BMO Capital Markets Corp. Bank of Montreal investor protection violation 2019 SEC $1,950,000
BMO Capital Markets Corp. Bank of Montreal investor protection violation 2008 FINRA $150,000
THE BANK OF NEW YORK MELLON Bank of New York Mellon banking violation 2012 FED $6,000,000
BNY Mellon Bank of New York Mellon Foreign Corrupt Practices Act 2015 SEC $14,800,000
Bank of New York Mellon Bank of New York Mellon banking violation 2015 USAO $714,000,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon investor protection violation 2015 SEC $120,000
Mellon Bank, N.A. Bank of New York Mellon False Claims Act and related 2007 DOJ_CIVIL $16,500,000
The Bank of New York Bank of New York Mellon economic sanction violation 2005 OFAC $5,844
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $137,500
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $34,623
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $27,500
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $5,500
Mellon Bank N.A. Bank of New York Mellon economic sanction violation 2004 OFAC $10,400
Bank of New York Bank of New York Mellon economic sanction violation 2003 OFAC $24,750
BNY Mellon Bank of New York Mellon investor protection violation 2017 SEC $6,600,000
Bank of New York Mellon Corporation Bank of New York Mellon banking violation 2017 FED $3,000,000
The Bank of New York Bank of New York Mellon anti-money-laundering deficiencies 2005 USAO $38,000,000
Bank of New York Mellon (Shanghai Branch) Bank of New York Mellon export control violation 2011 BIS $30,000
BNY Mellon Securities LLC Bank of New York Mellon investor protection violation 2011 SEC $24,045,447
Bank of New York Mellon Bank of New York Mellon benefit plan administrator violation 2015 EBSA $84,000,000
Bank of New York Mellon Bank of New York Mellon banking violation 2018 FED $16,000
The Bank Of New York Bank of New York Mellon investor protection violation 2007 SEC $750,000
Dreyfus Corporation Bank of New York Mellon investor protection violation 2000 SEC $950,000
Bank of New York Mellon Corporation Bank of New York Mellon benefit plan administrator violation 2015 private lawsuit-federal $335,000,000
Bank of New York Mellon Corporation Bank of New York Mellon benefit plan administrator violation 2009 private lawsuit-federal $2,200,000
Bank of New York Mellon Bank of New York Mellon investor protection violation 2018 SEC $54,000,000
Bank of New York Mellon Bank of New York Mellon investor protection violation 2013 FL-AG $28,000,000
Bank of New York Mellon Bank of New York Mellon employment discrimination 2010 NJ-AG $188,037
Bank of New York Mellon Bank of New York Mellon banking violation 2015 NY-AG $167,500,000
Bank of New York Mellon Corp. Bank of New York Mellon investor protection violation 2011 MULTI-AG $1,300,000
BNY Mellon Shareowner Services Bank of New York Mellon investor protection violation 2010 MA-AG $30,000
Dreyfus Corporation Bank of New York Mellon investor protection violation 2000 NY-AG $2,000,000
Bank of New York Mellon Bank of New York Mellon investor protection violation 2019 CFTC $750,000
Mellon Bank N.A. Bank of New York Mellon False Claims Act and related 2006 USAO $18,130,405
BNY Mellon Capital Markets LLC Bank of New York Mellon investor protection violation 2011 TX-SEC $500,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon investor protection violation 2008 FINRA $250,000
BARCLAYS BANK PLC Barclays foreign exchange market manipulation 2015 FED $342,000,000
Barclays PLC Barclays foreign exchange market manipulation 2015 DOJ_CRIMINAL $710,000,000
Barclays Bank PLC Barclays interest rate benchmark manipulation 2012 DOJ_CRIMINAL $160,000,000
Barclays Bank PLC Barclays economic sanction violation 2010 DOJ_CRIMINAL $298,000,000
Barclays Capital Inc. Barclays investor protection violation 2016 SEC $35,000,000
Barclays Capital Inc. Barclays investor protection violation 2014 SEC $15,000,000
Barclays Bank PLC Barclays toxic securities abuses 2014 FHFA $280,000,000
Barclays Capital Inc. Barclays toxic securities abuses 2015 NCUA $325,000,000
Barclays Barclays interest rate benchmark manipulation 2015 CFTC $400,000,000
Barclays Barclays interest rate benchmark manipulation 2015 CFTC $115,000,000
Barclays PLC Barclays interest rate benchmark manipulation 2012 CFTC $200,000,000
Barclays Bank PLC Barclays energy market manipulation 2017 FERC $105,000,000
Barclays Bank PLC Barclays economic sanction violation 2016 OFAC $2,485,890
Barclays Capital Inc. Barclays investor protection violation 2016 CFTC $800,000
Barclays Bank PLC Barclays investor protection violation 2016 CFTC $560,000
Barclays Bank PLC Barclays economic sanction violation 2004 OFAC $14,970
Barclays Bank PLC Barclays economic sanction violation 2003 OFAC $10,107
Barclays Bank PLC Barclays insider trading 2007 SEC $10,943,561
Barclays Bank PLC Barclays data submission deficiencies 2016 CFTC $500,000
Barclays Capital Inc. Barclays wage and hour violation 2009 WHD $9,707
Barclays Capital Barclays investor protection violation 2017 SEC $97,037,659
Barclays Capital Inc. Barclays investor protection violation 2017 SEC $12,710,040
Barclays Capital Inc. Barclays investor protection violation 2016 SEC $500,000
Barclays Capital, Inc. Barclays toxic securities abuses 2018 USAO $2,000,000,000
Barclays Bank PLC Barclays interest rate benchmark manipulation 2016 MULTI-AG $100,000,000
Barclays Bank PLC Barclays toxic securities abuses 2013 MA-AG $36,100,000
Barclays Capital Inc. Barclays investor protection violation 2016 NY-AG $35,000,000
Barclays Capital Inc. Barclays toxic securities abuses 2016 VA-AG $9,000,000
Barclays PLC Barclays foreign exchange market manipulation 2018 DOJ_CRIMINAL $12,896,011
Barclays PLC Barclays Foreign Corrupt Practices Act 2019 SEC $6,308,726
Barclays plc Barclays economic sanction violation 2010 NY-MANDA (*) $149,000,000
Barclays Bank PLC Barclays foreign exchange market manipulation 2015 NY-DFS $485,000,000
Barclays Bank PLC Barclays foreign exchange market manipulation 2015 NY-DFS $150,000,000
Barclays Bank PLC Barclays workplace whistleblower retaliation 2018 NY-DFS $15,000,000
Barclays Capital Inc. Barclays investor protection violation 2016 FINRA $1,300,000
Barclays Capital, Inc. Barclays investor protection violation 2015 FINRA $13,750,000
Barclays Capital Inc. Barclays investor protection violation 2014 FINRA $5,000,000
Barclays Capital Inc. Barclays investor protection violation 2014 FINRA $1,000,000
Barclays Capital Inc. Barclays investor protection violation 2013 FINRA $3,750,000
Barclays Capital Inc. Barclays investor protection violation 2011 FINRA $3,000,000
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. BC Capital Group investor protection violation 2016 CFTC $490,246,741
BCS Insurance Company BCS Financial Corporation insurance violation 2016 NY-DFS $100,000
BCS Insurance Company BCS Financial Corporation insurance violation 2017 MULTI-FIN $1,000,000
Berthel Fisher & Company Berthel Fisher investor protection violation 2003 MN-FIN $10,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2007 MO-SEC $230,469
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2011 MO-SEC $5,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2013 MO-SEC $80,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2003 ND-SEC $12,303
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2004 ND-SEC $20,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2006 ND-SEC $8,000
Berthel, Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2007 NE-DBF $5,000
Berthel Fisher & Company Financial Services, Inc Berthel Fisher investor protection violation 2019 NH-BSR $415,407
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2014 FINRA $775,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher investor protection violation 2021 SEC $389,425
BGC Financial, L.P. BGC Partners investor protection violation 2019 CFTC $3,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)