Violation Tracker

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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 Companies	Total Penalty $	Number of Records
Bank of America	$87,286,650,890	328
JPMorgan Chase	$39,340,688,209	275
UBS	$31,069,299,125	179
Wells Fargo	$27,616,269,231	266
Citigroup	$26,945,611,792	181
Deutsche Bank	$20,011,467,563	99
Goldman Sachs	$17,729,358,987	111
NatWest Group PLC	$14,370,701,618	43
Morgan Stanley	$10,780,502,443	203
BNP Paribas	$10,363,464,666	23

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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Company	Current Parent	Primary Offense Type	Year	Agency	Penalty Amount
JPMorgan Chase & Co.	JPMorgan Chase	consumer protection violation	2015	private lawsuit-federal	$388,000,000
JPMorgan Chase & Co.	JPMorgan Chase	consumer protection violation	2015	private lawsuit-federal	$280,000,000
JPMorgan Chase & Co.	JPMorgan Chase	consumer protection violation	2015	private lawsuit-federal	$505,000,000
Washington Mutual	JPMorgan Chase	consumer protection violation	2015	private lawsuit-federal	$10,000,000
M&T Bank	M&T Bank	consumer protection violation	2015	private lawsuit-federal	$4,000,000
Nationstar Mortgage, LLC	Mr. Cooper Group	consumer protection violation	2015	private lawsuit-federal	$76,000,000
RBS Securities Inc.	NatWest Group PLC	consumer protection violation	2015	private lawsuit-federal	$10,571,428
Ocwen Loan Servicing LLC	Ocwen Financial	consumer protection violation	2015	private lawsuit-federal	$70,000,000
Synovus Financial Corp.	Synovus Financial	consumer protection violation	2015	private lawsuit-federal	$3,900,000
U.S. Bank NA	U.S. Bancorp	consumer protection violation	2015	private lawsuit-federal	$44,500,000
U.S. Bank NA	U.S. Bancorp	consumer protection violation	2015	private lawsuit-federal	$34,500,000
U.S. Bank National Association	U.S. Bancorp	consumer protection violation	2015	private lawsuit-federal	$6,000,000
UBS Securities LLC	UBS	consumer protection violation	2015	private lawsuit-federal	$78,333,333
Allstate Insurance	Allstate	wage and hour violation	2015	MI-LEO	$6,350
Quicken Loans	Rocket Companies Inc.	wage and hour violation	2015	MI-LEO	$8,000
EL PASO ELECTRIC COMPANY	JPMorgan Chase	workplace safety or health violation	2015	OSHA	$7,000
RR DONNELLEY & SONS COMPANY	Chatham Asset Management	workplace safety or health violation	2015	OSHA	$5,000
U.S. BANCORP DBA US BANK MT. VERNON IL OFFICE	U.S. Bancorp	workplace safety or health violation	2015	OSHA	$8,775
FIDELITY NATIONAL FINANCIAL, INC.	Fidelity National Financial	workplace safety or health violation	2015	OSHA	$5,605
GE ENERGY MANAGEMENT GRID SOLUTIONS, LLC	Synchrony Financial	workplace safety or health violation	2015	OSHA	$22,300
R.R. DONNELLEY & SONS COMPANY	Chatham Asset Management	workplace safety or health violation	2015	OSHA	$7,000
THE MCCLATCHY COMPANY	Chatham Asset Management	workplace safety or health violation	2015	OSHA	$13,500
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA INC	Invesco	workplace safety or health violation	2015	OSHA	$6,600
RR DONNELLEY AND SONS INC.	Chatham Asset Management	workplace safety or health violation	2015	OSHA	$10,500
RR DONNELLEY	Chatham Asset Management	workplace safety or health violation	2015	OSHA	$5,500
WESTERN UNION	Western Union	workplace safety or health violation	2015	OSHA	$11,000
GEORGIA CASH AMERICA, INC.	FirstCash	workplace safety or health violation	2015	OSHA	$10,920
BUCKEYE PIPELINE COMPANY LP	IFM Investors	environmental violation	2015	EPA	$78,780
TOPS PRODUCTS, A DIVISION OF R.R. DONNELLEY & SONS	Chatham Asset Management	environmental violation	2015	EPA	$318,000
Trafigura AG	Trafigura	environmental violation	2015	EPA	$21,450
Vitol, Inc.	Vitol	environmental violation	2015	EPA	$14,047
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2015	MSHA	$5,080
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2015	MSHA	$5,645
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2015	MSHA	$5,961
Citibank	Citigroup	consumer protection violation	2016	CFPB	$7,890,000
Citibank	Citigroup	consumer protection violation	2016	CFPB	$45,000,000
Morgan Stanley & Co. LLC	Morgan Stanley	toxic securities abuses	2016	FDIC	$62,950,000
TCF National Bank	Huntington Bancshares	banking violation	2016	OCC	$56,500
HSBC Bank USA, National Association	HSBC	banking violation	2016	OCC	$35,000,000
Santander Bank, National Association	Banco Santander	banking violation	2016	OCC	$3,400,000
U.S. Bank National Association	U.S. Bancorp	banking violation	2016	OCC	$10,000,000
Sun National Bank	OceanFirst Financial	banking violation	2016	OCC	$25,000
Everbank	TIAA	banking violation	2016	OCC	$1,000,000
JPMorgan Chase Bank, National Association	JPMorgan Chase	banking violation	2016	OCC	$48,000,000
HSBC North America Holdings, Inc.	HSBC	banking violation	2016	FED	$131,000,000
M&T Bank Corp.	M&T Bank	False Claims Act and related	2016	DOJ_CIVIL	$64,000,000
Freedom Mortgage Corporation	Freedom Mortgage	False Claims Act and related	2016	DOJ_CIVIL	$113,000,000
Goldman Sachs	Goldman Sachs	toxic securities abuses	2016	DOJ	$5,060,000,000
Wells Fargo Bank, National Association	Wells Fargo	False Claims Act and related	2016	DOJ_CIVIL	$1,200,000,000
Morgan Stanley	Morgan Stanley	toxic securities abuses	2016	DOJ	$2,600,000,000
HSBC Bank USA NA	HSBC	mortgage abuses	2016	DOJ	$470,000,000
Barclays Capital Inc.	Barclays	investor protection violation	2016	SEC	$35,000,000
Credit Suisse Securities (USA) LLC	UBS	investor protection violation	2016	SEC	$54,300,000
Goldman Sachs & Co.	Goldman Sachs	investor protection violation	2016	SEC	$15,000,000
J.P. Morgan Securities LLC	JPMorgan Chase	investor protection violation	2016	SEC	$4,000,000
UBS	UBS	toxic securities abuses	2016	NCUA	$69,800,000
Credit Suisse	UBS	toxic securities abuses	2016	NCUA	$50,300,000
Citigroup	Citigroup	price-fixing or anti-competitive practices	2016	CFTC	$175,000,000
Citibank	Citigroup	price-fixing or anti-competitive practices	2016	CFTC	$250,000,000
JPMorgan Chase	JPMorgan Chase	data submission deficiencies	2016	CFTC	$225,000
Credit Suisse	UBS	investor protection violation	2016	CFTC	$665,000
Bank Julius Baer & Co. Ltd.	Julius Baer Group	tax violations	2016	DOJ_TAX	$547,000,000
Union Bancaire Privee	Union Bancaire Privee	tax violations	2016	DOJ_TAX	$187,000,000
Barclays Bank PLC	Barclays	economic sanction violation	2016	OFAC	$2,485,890
State Street Bank and Trust Company	State Street Corp.	investor protection violation	2016	SEC	$382,400,000
Citigroup Global Markets	Citigroup	data submission deficiencies	2016	SEC	$7,000,000
Merrill Lynch	Bank of America	investor protection violation	2016	SEC	$10,000,000
Merrill Lynch	Bank of America	investor protection violation	2016	SEC	$415,000,000
Morgan Stanley Smith Barney LLC	Morgan Stanley	investor protection violation	2016	SEC	$1,000,000
INTL FCStone	StoneX Group	accounting fraud or deficiencies	2016	SEC	$150,000
KeyBanc Capital Markets Inc.	KeyCorp	accounting fraud or deficiencies	2016	SEC	$175,000
Ocwen Financial Corp.	Ocwen Financial	accounting fraud or deficiencies	2016	SEC	$2,000,000
State Street Bank and Trust Company	State Street Corp.	illicit political contributions	2016	SEC	$12,000,000
Santander Bank, N.A.	Banco Santander	consumer protection violation	2016	CFPB	$10,000,000
BancorpSouth Bank	Cadence Bank	mortgage abuses	2016	CFPB	$10,600,000
Wells Fargo Bank, N.A.	Wells Fargo	banking violation	2016	OCC	$70,000,000
Goldman Sachs Group	Goldman Sachs	banking violation	2016	FED	$36,300,000
HSBC Finance Corporation	HSBC	consumer protection violation	2016	DOJ_RIGHTS	$434,500
Barclays Capital Inc.	Barclays	investor protection violation	2016	CFTC	$800,000
Barclays Bank PLC	Barclays	investor protection violation	2016	CFTC	$560,000
Wells Fargo Bank	Wells Fargo	consumer protection violation	2016	CFPB	$4,010,000
First National Bank of Omaha	First National of Nebraska	consumer protection violation	2016	CFPB	$32,250,000
Wells Fargo Bank	Wells Fargo	banking violation	2016	CFPB	$100,000,000
Wells Fargo Bank	Wells Fargo	banking violation	2016	OCC	$35,000,000
Barclays Bank PLC	Barclays	data submission deficiencies	2016	CFTC	$500,000
Wells Fargo Bank, N.A.	Wells Fargo	data submission deficiencies	2016	CFTC	$400,000
SG Americas Securities, LLC	Societe Generale	investor protection violation	2016	CFTC	$750,000
Societe Generale	Societe Generale	data submission deficiencies	2016	CFTC	$450,000
Goldman Sachs	Goldman Sachs	price-fixing or anti-competitive practices	2016	CFTC	$120,000,000
TMX Finance LLC	TMX Finance	consumer protection violation	2016	CFPB	$9,000,000
Navy Federal Credit Union	Navy Federal Credit Union	consumer protection violation	2016	CFPB	$28,500,000
Chemoil Corporation	Glencore	environmental violation	2016	EPA	$27,000,000
Louis Dreyfus Company LLC	Louis Dreyfus	railroad safety violation	2016	FRA	$6,000
JPMorgan Chase & Co.	JPMorgan Chase	banking violation	2016	FED	$61,900,000
Customers Bank	Customers Bancorp	banking violation	2016	FED	$960,000
Banco Bilbao Vizcaya Argentaria, S.A.	Banco Bilbao Vizcaya Argentaria	banking violation	2016	FED	$27,000,000
Regions Bank	Regions Financial	False Claims Act and related	2016	DOJ_CIVIL	$52,400,000
Branch Banking & Trust Company (BB&T)	Truist Financial	False Claims Act and related	2016	DOJ_CIVIL	$83,000,000
Wells Fargo Bank N.A.	Wells Fargo	consumer protection violation	2016	DOJ_RIGHTS	$4,100,000
Union Savings Bank and Guardian Savings Bank	Union Savings Bank	discriminatory practices (non-employment)	2016	DOJ_RIGHTS	$9,000,000
Och-Ziff Capital Management Group LLC	Sculptor Capital Management	Foreign Corrupt Practices Act	2016	DOJ_CRIMINAL	$213,000,000