Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$331,558,339,161
Number of Records: 
6,166
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$82,764,013,078219
JPMorgan Chase$35,819,302,225162
Citigroup$25,454,366,764125
Wells Fargo$21,358,750,745184
Deutsche Bank$18,286,625,30261
UBS$16,792,860,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,473,904,00028
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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
BB&T Leasing Corporation Truist Financial consumer protection violation 2006 MULTI-AG $6,000,000
SunTrust Bank Truist Financial banking violation 2005 WI-AG $10,107
SunTrust Mortgage Inc. Truist Financial mortgage abuses 2014 MULTI-AG (*) $40,000,000
Branch Banking & Trust Co. Truist Financial economic sanction violation 2014 OFAC $19,125
McGriff, Seibels & Williams of Texas, Inc. Truist Financial economic sanction violation 2011 OFAC $122,408
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2017 AR-SEC $13,000
SunTrust Mortgage, Inc. Truist Financial mortgage abuses 2016 CA-DFPI $50,000
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2019 CA-DFPI $349,015
Bank of Louisville Truist Financial investor protection violation 2002 KY-INS $27,000,000
Branch Banking and Trust Company Truist Financial investor protection violation 2016 SC-SEC $97,500
Trustmark National Bank Trustmark banking violation 2012 OCC $6,250
U.S. Bank U.S. Bancorp consumer protection violation 2014 CFPB $53,000,000
U.S. Bank U.S. Bancorp banking violation 2013 CFPB $3,200,000
U.S. Bank National Association U.S. Bancorp banking violation 2016 OCC $10,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2014 OCC $51,900,000
U.S. Bank U.S. Bancorp banking violation 2013 OCC $208,156,501
U.S. Bank U.S. Bancorp False Claims Act and related 2014 DOJ_CIVIL $200,000,000
U.S. Bank National Association U.S. Bancorp investor protection violation 2015 CFTC $18,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2006 OCC $125,000
U.S. Bank National Association U.S. Bancorp discriminatory practices (non-employment) 2014 HUD $11,489
U.S. Bank National Association U.S. Bancorp discriminatory practices (non-employment) 2013 HUD $12,000
U.S. Bank, National Association U.S. Bancorp mortgage abuses 2011 HUD $1,200,000
U.S. Bank U.S. Bancorp wage and hour violation 2008 WHD $140,787
U.S. Bancorp U.S. Bancorp wage and hour violation 2006 WHD $140,788
U.S. Bank National Association U.S. Bancorp banking violation 2017 OCC $15,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2017 OCC $183,920
U.S. Bancorp U.S. Bancorp mortgage abuses 2018 FED $4,400,000
U.S. Bank Municipal Securities Group U.S. Bancorp investor protection violation 2015 SEC $60,000
US Bancorp U.S. Bancorp banking violation 2018 FED $15,000,000
U.S. Bancorp U.S. Bancorp anti-money-laundering deficiencies 2018 USAO $453,000,000
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 OCC $75,000,000
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 FINCEN $70,000,000
US BANK U.S. Bancorp wage and hour violation 2014 IL-DOL $131,922
U.S. Bancorp U.S. Bancorp wage and hour violation 2017 private lawsuit-federal $7,000,000
U.S. Bancorp U.S. Bancorp wage and hour violation 2017 private lawsuit-federal $1,150,000
U.S. Bank U.S. Bancorp wage and hour violation 2015 private lawsuit-federal $3,031,075
U.S. Bancorp U.S. Bancorp wage and hour violation 2014 private lawsuit-federal $6,450,000
U.S. Bank National Association U.S. Bancorp investor protection violation 2005 SEC $500,000
U.S. Bank Pension Plan U.S. Bancorp benefit plan administrator violation 2012 private lawsuit-federal $9,600,000
U.S. Bancorp U.S. Bancorp consumer protection violation 2005 CA-AG $2,600,000
US Bank U.S. Bancorp privacy violation 2000 MULTI-AG $2,000,000
US Bank NA U.S. Bancorp consumer protection violation 2003 NY-AG $33,500
US Bank U.S. Bancorp housing code violation 2016 CA-LACA $13,500,000
U.S. Bancorp Investments, Inc. U.S. Bancorp investor protection violation 2020 SEC $15,992,441
U.S. Bank National Association U.S. Bancorp wage and hour violation 2020 private lawsuit-federal $6,500,000
U.S. Bancorp U.S. Bancorp discriminatory practices (non-employment) 2005 private lawsuit-federal $2,495,000
U.S. Bank National Association U.S. Bancorp mortgage abuses 2020 DOJ_UTP $29,000,000
U.S. Bank U.S. Bancorp privacy violation 2019 private lawsuit-federal $2,670,336
U.S. Central Federal Credit Union U.S. Central Federal Credit Union wage and hour violation 2008 WHD $111,319
U.S. Pension Trust Corp. and U.S. College Trust Corp. U.S. Pension Trust Corp. investor protection violation 2010 SEC $112,600,000
UBS Securities Japan Co. Ltd. UBS interest rate benchmark manipulation 2012 DOJ_ANTITRUST $500,000,000
UBS AG UBS price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $160,000,000
UBS AG UBS banking violation 2015 FED $342,000,000
UBS AG UBS interest rate benchmark manipulation 2015 DOJ_CRIMINAL $203,000,000
UBS Willow Management LLC and UBS Fund Advisor LLC UBS investor protection violation 2015 SEC $17,500,000
UBS AG UBS investor protection violation 2015 SEC $19,500,000
UBS Financial Services Inc. of Puerto Rico UBS investor protection violation 2015 SEC $15,000,000
UBS Securities LLC UBS investor protection violation 2015 SEC $14,400,000
UBS Securities UBS toxic securities abuses 2013 SEC $50,000,000
UBS Financial Services Inc. of Puerto Rico UBS investor protection violation 2012 SEC $26,600,000
UBS Global Asset Management UBS investor protection violation 2012 SEC $300,000
UBS Securities LLC UBS investor protection violation 2011 SEC $8,000,000
UBS Americas Inc. UBS toxic securities abuses 2013 FHFA $885,000,000
UBS UBS toxic securities abuses 2016 NCUA $69,800,000
UBS AG UBS interest rate benchmark manipulation 2014 CFTC $290,000,000
UBS AG UBS interest rate benchmark manipulation 2012 CFTC $700,000,000
UBS Securities UBS data submission deficiencies 2010 CFTC $200,000
UBS AG UBS economic sanction violation 2015 OFAC $1,700,100
UBS Financial Services UBS investor protection violation 2014 SEC $56,400
UBS AG UBS investor protection violation 2010 CFTC $130,000
UBS Fund Advisor, LLC UBS data submission deficiencies 2009 CFTC $50,000
UBS AG UBS economic sanction violation 2004 FED $100,000,000
UBS AG UBS tax violations 2009 DOJ_TAX $780,000,000
UBS (USA) Inc UBS economic sanction violation 2003 OFAC $14,750
UBS (USA) Inc UBS economic sanction violation 2003 OFAC $5,000
UBS AG UBS tax violations 2009 SEC $200,000,000
UBS Financial Services Inc. UBS investor protection violation 2004 SEC $4,621,768
UBS PaineWebber, Inc. UBS investor protection violation 2003 SEC $500,000
UBS Warburg LLC UBS investor protection violation 2003 SEC $80,000,000
PaineWebber Incorporated UBS investor protection violation 2000 SEC $26,200,000
Warburg Dillon Read LLC UBS investor protection violation 2000 SEC $6,680,000
UBS Financial Services UBS investor protection violation 2016 SEC $15,025,882
UBS, Inc. UBS wage and hour violation 2013 WHD $90,902
UBS Financial Services, Inc. UBS wage and hour violation 2007 WHD $27,152
UBS Inc. UBS labor relations violation 2010 NLRB $26,351
UBS UBS toxic securities abuses 2017 NCUA $445,000,000
UBS Financial Services, Inc. UBS investor protection violation 2017 SEC $3,500,000
UBS Financial Services Inc. UBS investor protection violation 2015 SEC $480,000
UBS AG UBS investor protection violation 2018 CFTC $15,000,000
UBS UBS wage and hour violation 2015 private lawsuit-federal $1,312,500
UBS UBS wage and hour violation 2012 private lawsuit-federal $1,400,000
UBS as successor to Piper Jaffray UBS wage and hour violation 2008 private lawsuit-federal $5,500,000
UBS UBS wage and hour violation 2007 private lawsuit-federal $44,000,000
UBS UBS wage and hour violation 2007 private lawsuit-federal $45,000,000
UBS O'Connor, LLC UBS investor protection violation 2013 SEC $5,297,716
UBS Financial Services Inc. UBS wage and hour violation 2018 WHD $6,246
UBS Securities LLC UBS investor protection violation 2005 SEC $700,000
UBS Global Asset Management UBS benefit plan administrator violation 2006 private lawsuit-federal $5,493,000
UBS Financial Services Inc. UBS investor protection violation 2018 SEC $5,000,000
UBS Financial Services Inc. UBS anti-money-laundering deficiencies 2018 FINCEN $5,000,000
UBS UBS investor protection violation 2010 MI-AG $117,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)