Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$325,206,110,617
Number of Records: 
5,976
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$82,700,046,034213
JPMorgan Chase$34,530,243,993154
Citigroup$25,045,655,764120
Wells Fargo$21,199,943,231179
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,582,95017
Credit Suisse$10,409,957,62631


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 Hampton Roads Union Bankshares Corp. banking violation 2011 FED $33,600
Hampton Roads Bankshares Union Bankshares Corp. accounting fraud or deficiencies 2014 SEC $200,000
Union Bancaire Privee Union Bancaire Privee tax violations 2016 DOJ_TAX $187,000,000
Union Bancaire Privee, UBP SA Union Bancaire Privee tax violations 2020 DOJ_TAX $14,000,000
UniCredit Group UniCredit economic sanction violation 2019 DOJ_CRIMINAL $413,536,632
UniCredit, S.p.A. UniCredit banking violation 2019 FED $158,000,000
UniCredit Bank AG UniCredit economic sanction violation 2019 OFAC (*) $553,380,759
UniCredit Bank Austria AG UniCredit economic sanction violation 2019 OFAC (*) $20,326,340
UniCredit S.p.A. UniCredit economic sanction violation 2019 OFAC (*) $37,316,322
UniCredit Bank AG UniCredit economic sanction violation 2019 NY-MANDA $316,000,000
UniCredit Bank Austria AG UniCredit economic sanction violation 2019 NY-MANDA $20,000,000
UniCredit Group UniCredit economic sanction violation 2019 NY-DFS $405,000,000
UMPQUA BANK Umpqua Holdings banking violation 2008 FDIC $90,240
Umpqua Bank Umpqua Holdings wage and hour violation 2015 WA-DLI $15,350
Sterling Financial Corporation Umpqua Holdings benefit plan administrator violation 2013 private lawsuit-federal $3,025,000
Umpqua Bank Umpqua Holdings employment screening violation 2019 private lawsuit-federal $325,000
UMB Bank, NA UMB Financial Corp. banking violation 2017 OCC $1,500,000
UMB Bank N.A. Investment Banking Division UMB Financial Corp. investor protection violation 2015 SEC $420,000
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 UBS environmental violation 2011 EPA $20,000
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
UBS AG UBS interest rate benchmark manipulation 2018 MULTI-AG $68,000,000
UBS AG UBS price-fixing or anti-competitive practices 2011 MULTI-AG (*) $90,800,000
UBS Financial Services Inc. UBS investor protection violation 2006 NJ-AG $24,750,000
UBS Financial Services, Inc UBS investor protection violation 2013 MULTI-AG $4,580,000
UBS Financial Services, Inc. UBS investor protection violation 2013 DE-AG $70,077
UBS Financial Services, Inc. UBS investor protection violation 2007 NY-AG $23,300,000
UBS Financial Services, Inc. and UBS Securities LLC UBS toxic securities abuses 2008 MA-AG $35,000,000
UBS Securities LLC UBS toxic securities abuses 2018 NY-AG $230,000,000
UBS Securities LLC UBS toxic securities abuses 2016 VA-AG $850,000
UBS Securities LLC and UBS Financial Services, Inc UBS investor protection violation 2011 NJ-AG $3,790,487
UBS Securities LLC and UBS Financial Services, Inc. UBS investor protection violation 2008 MULTI-AG $11,150,000,000
UBS Warburg LLC UBS investor protection violation 2002 MULTI-AG (*) $80,000,000
UBS AG UBS price-fixing or anti-competitive practices 2016 WV-AG $325,000
UBS Securities LLC UBS investor protection violation 2010 AK-DBS $733,465
UBS Financial Services, Inc. UBS investor protection violation 2013 AK-DBS $64,661
UBS Financial Services Inc. UBS investor protection violation 2007 CT-SEC $5,500,000
UBS Financial Services UBS investor protection violation 2011 IN-SEC $677,000
UBS Financial Services, Inc. UBS investor protection violation 2007 MO-SEC $697,210
UBS Financial Services, Inc. UBS investor protection violation 2009 MO-SEC $170,175
UBS Financial Services, Inc. UBS investor protection violation 2006 MT-SEC $4,503,166
UBS Financial Services Inc. UBS investor protection violation 2011 NH-BSR $1,000,000
UBS Financial Services Inc. UBS investor protection violation 2012 NH-BSR $72,500
UBS Securities LLC UBS investor protection violation 2010 TX-SEC $6,640,432
UBS FINANCIAL SERVICES, INC. UBS investor protection violation 2007 VA-SEC $100,000
UBS FINANCIAL SERVICES, INC. UBS investor protection violation 2010 VA-SEC $625,000
UBS Financial Services Inc. UBS investor protection violation 2019 VA-SEC $288,970
UBS Financial Services Inc. UBS investor protection violation 2014 VT-FIN $325,000
UBS Financial Services Inc. UBS investor protection violation 2013 MULTI-FIN $4,600,000
UBS Securities LLC and UBS Financial Services Inc. UBS investor protection violation 2008 MULTI-FIN (*) $150,000,000
UBS Warburg and UBS PaineWebber UBS investor protection violation 2003 MULTI-FIN (*) $25,000,000
UBS Financial Services Inc. UBS investor protection violation 2020 SEC $10,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)