Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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
ACE Cash Express, Inc. ACE Cash Express consumer protection violation 2015 MD-FIN $353,286
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2009 NE-DBF $15,550
Ace Cash Express, Inc., ACE Cash Express consumer protection violation 2010 NE-DBF $7,000
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2010 NE-DBF $11,950
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2010 NE-DBF $8,550
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2010 NE-DBF $6,550
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2012 NE-DBF $5,400
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2012 NE-DBF $7,000
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2012 NE-DBF $5,800
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2014 NE-DBF $18,900
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2015 NE-DBF $5,450
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2015 NE-DBF $20,500
Ace Cash Express ACE Cash Express consumer protection violation 2009 OH-BKG $7,050
ACE Cash Express Inc. ACE Cash Express consumer protection violation 2017 PA-BKG $80,000
ACE CASH EXPRESS, INC. ACE Cash Express consumer protection violation 2010 VA-FIN $150,000
ACE CASH EXPRESS, INC. ACE Cash Express consumer protection violation 2016 VA-FIN $45,000
ACE Cash Express, Inc. ACE Cash Express consumer protection violation 2016 WA-FIN $76,421
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V. ABN AMRO economic sanction violation 2010 DOJ_CRIMINAL $500,000,000
ABN AMRO Clearing Chicago LLC ABN AMRO investor protection violation 2013 CFTC $1,000,000
ABN AMRO Bank, N.V. ABN AMRO economic sanction violation 2006 OFAC $40,000,000
ABN AMRO Bank, Inc ABN AMRO economic sanction violation 2004 OFAC $25,847
ABN AMRO Mortgage Group ABN AMRO mortgage abuses 2006 HUD $41,000,000
ABN AMRO Bank, N.V. ABN AMRO investor protection violation 2013 SEC $5,547,408
ABN AMRO Clearing Chicago LLC ABN AMRO investor protection violation 2018 CFTC $160,000
ABN AMRO Incorporated ABN AMRO investor protection violation 2001 SEC $200,000
ABN AMRO Clearing Chicago LLC ABN AMRO investor protection violation 2020 SEC $586,000
ABN AMRO ABN AMRO economic sanction violation 2005 NY-DFS $20,000,000
ABN AMRO Incorporated ABN AMRO investor protection violation 2005 FINRA $220,000
1st Financial Bank USA 1st Financial Bank USA banking violation 2010 FDIC $10,140,000
1ST FINANCIAL BANK USA 1st Financial Bank USA banking violation 2009 FDIC (*) $140,000
1st Financial Bank U.S.A. 1st Financial Bank USA banking violation 2005 WI-AG $43,142
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)