Violation Tracker Industry Summary Page
Industry:
financial services
Penalty Total since 2000:
$344,899,848,624
Number of Records:
6,989
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 Companies | Total Penalty $ | Number of Records |
|---|---|---|
| Bank of America | $82,898,016,192 | 264 |
| JPMorgan Chase | $36,107,446,133 | 199 |
| Citigroup | $25,540,645,217 | 156 |
| Wells Fargo | $21,881,892,841 | 222 |
| Deutsche Bank | $18,341,457,302 | 76 |
| UBS | $16,854,318,334 | 101 |
| Goldman Sachs | $16,399,485,793 | 87 |
| NatWest Group PLC | $13,515,546,857 | 31 |
| BNP Paribas | $12,148,363,950 | 19 |
| Credit Suisse | $10,732,400,126 | 49 |
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.
| Company |
Parent |
Primary Offense Type | Year | Agency | Penalty Amount |
|---|---|---|---|---|---|
| BB&T Securities, LLC | Truist Financial | investor protection violation | 2018 | SEC | $100,000 |
| SunTrust Banks, Inc. | Truist Financial | benefit plan administrator violation | 2018 | private lawsuit-federal | $4,750,000 |
| BB&T Securities | Truist Financial | investor protection violation | 2019 | SEC | $5,709,753 |
| BB&T Securities, LLC | Truist Financial | investor protection violation | 2019 | SEC | $376,059 |
| BB&T Corporation | Truist Financial | benefit plan administrator violation | 2019 | private lawsuit-federal | $24,000,000 |
| BB&T Leasing Company | Truist Financial | consumer protection violation | 2005 | NY-AG | $159,097 |
| 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 |
| SunTrust Robinson Humphrey, Inc. | Truist Financial | investor protection violation | 2016 | FINRA | $1,500,000 |
| SunTrust Robinson Humphrey, Inc. | Truist Financial | investor protection violation | 2011 | FINRA | $5,000,000 |
| SunTrust Investment Services, Inc. | Truist Financial | investor protection violation | 2010 | FINRA | $1,440,000 |
| SunTrust Investment Services, Inc. | Truist Financial | investor protection violation | 2008 | FINRA | $700,000 |
| SunTrust Robinson Humphrey, Inc. | Truist Financial | investor protection violation | 2008 | FINRA | $1,650,000 |
| SunTrust Investment Services, Inc. | Truist Financial | investor protection violation | 2008 | FINRA | $300,000 |
| SunTrust Capital Markets, Inc. | Truist Financial | investor protection violation | 2005 | FINRA | $100,000 |
| BB&T Equipment Finance LLC | Truist Financial | consumer protection violation | 2021 | CA-DFPI | $75,000 |
| Branch Banking & Trust Corporation | Truist Financial | campaign finance violation | 2001 | FEC | $22,000 |
| Trustmark National Bank | Trustmark | banking violation | 2012 | OCC | $6,250 |
| Trustmark National Bank | Trustmark | discriminatory practices (non-employment) | 2021 | CFPB | (*) $5,000,000 |
| Trustmark National Bank | Trustmark | banking violation | 2021 | OCC | $4,000,000 |
| 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 |
| US Bancorp Investments, Inc. | U.S. Bancorp | investor protection violation | 2010 | FINRA | $275,000 |
| U.S. Bank | U.S. Bancorp | consumer protection violation | 2021 | MA-AG | $230,000 |
| U.S. BANCORP DBA US BANK MT. VERNON IL OFFICE | U.S. Bancorp | workplace safety or health violation | 2015 | OSHA | $8,775 |
| 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 |
