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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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.

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CompanyCurrent ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
Bank Of AmericaBank of Americawage and hour violation2011MI-LEO$5,000
Huntington National BankHuntington Bancshareswage and hour violation2011MI-LEO$11,434
Jackson National Life Distributors IncJackson Financialwage and hour violation2011MI-LEO$10,716
Citizens BankCitizens Financial Groupwage and hour violation2011MI-LEO$8,169
EL PASO ELECTRIC COMPANYJPMorgan Chaseworkplace safety or health violation2011OSHA$18,300
FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS, INCFidelity Investmentsworkplace safety or health violation2011OSHA$7,000
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.Louis Dreyfusworkplace safety or health violation2011OSHA$13,600
BANK OF AMERICABank of Americaworkplace safety or health violation2011OSHA$6,600
THE HARTFORD FINANCIAL SERVICES GROUP, INC.Hartford Financial Servicesworkplace safety or health violation2011OSHA$5,600
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersworkplace safety or health violation2011OSHA$5,950
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2011OSHA$6,400
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2011OSHA$12,435
WHEELABRATOR ENERGY COMPANY, INCORPORATEDMacquarieworkplace safety or health violation2011OSHA$15,000
IFCO SYSTEMS NORTH AMERICA INC.Triton Investments Advisersworkplace safety or health violation2011OSHA$73,950
IFCO SYSTEMS NORTH AMERICA INCTriton Investments Advisersworkplace safety or health violation2011OSHA$8,000
IAC SPARTANBURGInvescoworkplace safety or health violation2011OSHA$7,277
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2011OSHA$5,000
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLCInvescoworkplace safety or health violation2011OSHA$5,850
RR DONNELLEY RENO OFFSETChatham Asset Managementworkplace safety or health violation2011OSHA$5,024
COMMUNICORP INC.Aflacworkplace safety or health violation2011OSHA$9,900
UNUM GROUP CORPORATIONUnumworkplace safety or health violation2011OSHA$5,400
IAC HURON, LLCInvescoworkplace safety or health violation2011OSHA$20,940
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2011MSHA$12,790
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$13,268
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$12,248
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$13,510
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$5,080
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$5,016
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2012PHMSA$36,200
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2012PHMSA$22,500
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2012PHMSA$17,500
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2012PHMSA$11,800
Carolina Coastal Railway3i Infrastructure PLCrailroad safety violation2012FRA$5,000
Noble Americas Corp.Vitolrailroad safety violation2012FRA$15,000
Xstrata CopperGlencorerailroad safety violation2012FRA$12,000
Louisiana Generating (NRG Energy)Macquarieenvironmental violation2012EPA$264,000,000
UBS Securities Japan Co. Ltd.UBSprice-fixing or anti-competitive practices2012DOJ_ANTITRUST$500,000,000
Asset Acceptance LLCEncore Capital Groupconsumer protection violation2012FTC$2,500,000
American ExpressAmerican Expressconsumer protection violation2012CFPB$99,100,000
Discover BankDiscover Financial Servicesconsumer protection violation2012CFPB$214,000,000
Capital One Bank (U.S.A.), N.A.Capital One Financialconsumer protection violation2012CFPB$165,000,000
American Express Centurion BankAmerican Expressbanking violation2012FDIC$3,900,000
HSBC Bank USA, N.A.HSBCbanking violation2012OCC$500,000,000
American Express Bank, FSBAmerican Expressbanking violation2012OCC$6,500,000
Capital One Bank (USA), National AssociationCapital One Financialbanking violation2012OCC$35,000,000
Trustmark National BankTrustmarkbanking violation2012OCC$6,250
HSBC HOLDINGS PLCHSBCbanking violation2012FED$165,000,000
STANDARD CHARTERED PLCStandard Charteredbanking violation2012FED$100,000,000
AMERICAN EXPRESS COMPANYAmerican Expressbanking violation2012FED$9,000,000
METLIFE, INCMetLifebanking violation2012FED$3,200,000
THE BANK OF NEW YORK MELLONBank of New York Mellonbanking violation2012FED$6,000,000
Citigroup Inc.Citigroupbanking violation2012FED$22,000,000
Ally Financial Inc.Ally Financialbanking violation2012FED$207,000,000
Bank of America CorporationBank of Americabanking violation2012FED$175,500,000
JPMorgan Chase & Co., and EMC Mortgage CorporationJPMorgan Chasebanking violation2012FED$275,000,000
Wells Fargo & CompanyWells Fargobanking violation2012FED$87,000,000
Bank of America CorporationBank of Americamortgage abuses2012DOJ$10,956,600,000
JPMorgan Chase & Co.JPMorgan Chasemortgage abuses2012DOJ$5,333,600,000
Wells Fargo & CompanyWells Fargomortgage abuses2012DOJ$5,342,200,000
Citigroup Inc.Citigroupmortgage abuses2012DOJ$2,202,000,000
Ally Financial Inc. (formerly GMAC)Ally Financialmortgage abuses2012DOJ$309,600,000
HSBC Holdings plc HSBC Bank USA N.A.HSBCanti-money-laundering deficiencies2012DOJ_CRIMINAL$1,256,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2012DOJ_CRIMINAL$227,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2012DOJ_CRIMINAL$160,000,000
ING Bank N.V.INGeconomic sanction violation2012DOJ_CRIMINAL$619,000,000
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2012SEC$296,900,000
Credit Suisse Securities (USA)UBStoxic securities abuses2012SEC$120,000,000
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insuranceinvestor protection violation2012SEC$1,625,000
Goldman Sachs & Co.Goldman Sachsillicit political contributions2012SEC$12,000,000
Wells FargoWells Fargotoxic securities abuses2012SEC$6,500,000
Mizuho Financial GroupMizuho Financialinvestor protection violation2012SEC$127,500,000
OppenheimerFunds Inc.Invescoinvestor protection violation2012SEC$35,000,000
UBS Financial Services Inc. of Puerto RicoUBSinvestor protection violation2012SEC$26,600,000
Option One Mortgage CorporationOcwen Financialtoxic securities abuses2012SEC$28,200,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2012SEC$22,000,000
UBS Global Asset ManagementUBSinvestor protection violation2012SEC$300,000
Allianz SEAllianzForeign Corrupt Practices Act2012SEC$12,396,423
HSBCHSBCtoxic securities abuses2012NCUA$5,250,000
UBS AGUBSprice-fixing or anti-competitive practices2012CFTC$700,000,000
Goldman SachsGoldman Sachsinvestor protection violation2012CFTC$1,500,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2012CFTC$200,000
JPMorgan Chase BankJPMorgan Chaseinvestor protection violation2012CFTC$600,000
CitigroupCitigroupinvestor protection violation2012CFTC$525,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2012CFTC$200,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2012CFTC$5,000,000
JPMorgan Chase BankJPMorgan Chaseaccounting fraud or deficiencies2012CFTC$20,000,000
Goldman Sachs Execution & Clearing LPGoldman Sachsinvestor protection violation2012CFTC$7,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2012CFTC$140,000
BlackRock Institutional Trust Company NABlackRockinvestor protection violation2012CFTC$250,000
Bank of America N.A.Bank of Americabanking violation2012DOJ_RIGHTS$370,000,000
Wells Fargo BankWells Fargomortgage abuses2012DOJ_RIGHTS$234,300,000
SunTrust Mortgage Inc.Truist Financialbanking violation2012DOJ_RIGHTS$21,000,000
Mortgage Guaranty Insurance Corporation (MGIC)MGIC Investment Corp.mortgage abuses2012DOJ_RIGHTS$550,000
Deutsche Bank AGDeutsche Banktoxic securities abuses2012USAO$202,300,000
Flagstar BankNew York Community Bancorpmortgage abuses2012USAO$132,800,000
Citimortgage Inc.Citigroupmortgage abuses2012USAO$158,300,000
Standard Chartered BankStandard Charteredeconomic sanction violation2012OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $132,000,000
HSBC HoldingsHSBCeconomic sanction violation2012OFAC$375,000,000
ING Bank N.V.INGeconomic sanction violation2012OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $619,000,000
Capital One N.A.Capital One Financialconsumer protection violation2012DOJ_RIGHTS$12,000,000
Louis Dreyfus Energy ServicesLouis DreyfusFalse Claims Act and related2012DOJ_CIVIL$4,084,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.