Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$331,558,339,161
Number of Records: 
6,166
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$82,764,013,078219
JPMorgan Chase$35,819,302,225162
Citigroup$25,454,366,764125
Wells Fargo$21,358,750,745184
Deutsche Bank$18,286,625,30261
UBS$16,792,860,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,473,904,00028
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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 Parent Primary Offense Type Yearsort icon Agency Penalty Amount
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2019 MSHA $9,335
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2019 MSHA $49,489
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2019 MSHA $12,632
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2019 MSHA $6,148
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2019 MSHA $5,239
Wells Fargo & Co. Wells Fargo discriminatory practices (non-employment) 2019 private lawsuit-federal $10,000,000
U.S. Bank U.S. Bancorp privacy violation 2019 private lawsuit-federal $2,670,336
JPMorgan Chase JPMorgan Chase benefit plan administrator violation 2019 private lawsuit-federal $75,000,000
HSBC Holdings plc HSBC fraud 2018 DOJ_CRIMINAL $100,000,000
Goldman Sachs Bank USA Goldman Sachs banking violation 2018 FED $90,000
Goldman Sachs Goldman Sachs mortgage abuses 2018 FED $14,000,000
Morgan Stanley Morgan Stanley mortgage abuses 2018 FED $8,000,000
CIT Group Inc. CIT mortgage abuses 2018 FED $5,200,000
U.S. Bancorp U.S. Bancorp mortgage abuses 2018 FED $4,400,000
PNC Financial Services Group PNC Financial Services mortgage abuses 2018 FED $3,500,000
Citibank N.A. Citigroup anti-money-laundering deficiencies 2018 OCC $70,000,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2018 SEC $1,304,197
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China investor protection violation 2018 SEC $1,250,000
Deutsche Bank Securities Inc. Deutsche Bank interest rate benchmark manipulation 2018 CFTC $70,000,000
HSBC Securities (USA) Inc. HSBC investor protection violation 2018 CFTC $1,600,000
UBS AG UBS investor protection violation 2018 CFTC $15,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2018 CFTC $30,000,000
US Bancorp U.S. Bancorp banking violation 2018 FED $15,000,000
BNP Paribas USA Inc. BNP Paribas foreign exchange market manipulation 2018 DOJ_ANTITRUST $90,000,000
Rabobank National Association Rabobank anti-money-laundering deficiencies 2018 DOJ_CRIMINAL $368,701,259
U.S. Bancorp U.S. Bancorp anti-money-laundering deficiencies 2018 USAO $453,000,000
Rabobank, National Association Rabobank anti-money-laundering deficiencies 2018 OCC $50,000,000
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 OCC $75,000,000
Voya Holdings Inc. Voya Financial investor protection violation 2018 SEC $3,600,000
Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America investor protection violation 2018 SEC $1,404,000
New York Stock Exchange IntercontinentalExchange Group investor protection violation 2018 SEC $14,000,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2018 SEC $4,450,000
Ameriprise Financial Services Ameriprise Financial investor protection violation 2018 SEC $230,000
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 FINCEN $70,000,000
Barclays Capital, Inc. Barclays toxic securities abuses 2018 USAO $2,000,000,000
Wells Fargo Bank N.A. Wells Fargo banking violation 2018 OCC $500,000,000
Wells Fargo Bank N.A. Wells Fargo consumer protection violation 2018 CFPB $500,000,000
Goldman Sachs Group, Inc. Goldman Sachs investor protection violation 2018 FED $54,750,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2018 private lawsuit-federal $3,000,000
Wells Fargo Wells Fargo wage and hour violation 2018 private lawsuit-state $27,500,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2018 private lawsuit-federal $8,333,333
BB&T Truist Financial wage and hour violation 2018 private lawsuit-federal $72,336
BNP Paribas Securities Corp. BNP Paribas interest rate benchmark manipulation 2018 CFTC $90,000,000
Lansing Trade Group, LLC Lansing Trade Group investor protection violation 2018 CFTC $3,400,000
JPMorgan Chase Bank, N.A. JPMorgan Chase interest rate benchmark manipulation 2018 CFTC $65,000,000
Societe Generale S.A. Societe Generale interest rate benchmark manipulation 2018 CFTC $475,000,000
TCF National Bank TCF Financial Corp. consumer protection violation 2018 CFPB $28,000,000
Citibank, N.A. Citigroup consumer protection violation 2018 CFPB $335,000,000
Citigroup Citigroup banking violation 2018 FED $8,600,000
Royal Bank of Scotland Group plc Royal Bank of Scotland toxic securities abuses 2018 DOJ_CIVIL $4,900,000,000
Wells Fargo Bank, N.A. Wells Fargo toxic securities abuses 2018 DOJ_CIVIL $2,090,000,000
Credit Suisse (Hong Kong) Limited Credit Suisse Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $47,029,916
Societe Generale S.A. Societe Generale Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $860,000
Legg Mason Inc. Franklin Resources Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $64,200,000
Rabobank N.A. Rabobank anti-money-laundering deficiencies 2018 USAO $500,000
UBS Financial Services Inc. UBS wage and hour violation 2018 WHD $6,246
TCF National Bank TCF Financial Corp. banking violation 2018 OCC $3,000,000
PNC Bank, National Association PNC Financial Services banking violation 2018 OCC $207,245
PNC Bank, National Association PNC Financial Services banking violation 2018 OCC $15,000,000
Bank of China Bank of China banking violation 2018 OCC $12,500,000
IMTT-PIPELINE Macquarie environmental violation 2018 PHMSA $19,600
IMTT-BAYONNE Macquarie environmental violation 2018 PHMSA $144,000
Legg Mason Inc. Franklin Resources Foreign Corrupt Practices Act 2018 SEC $34,500,000
AEGON USA Investment Management LLC et al. Aegon investor protection violation 2018 SEC $97,600,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America investor protection violation 2018 SEC $8,900,000
Citigroup Citigroup accounting fraud or deficiencies 2018 SEC $10,500,000
Ameriprise Financial Services Inc. Ameriprise Financial investor protection violation 2018 SEC $4,500,000
Mizuho Securities USA LLC Mizuho Financial investor protection violation 2018 SEC $1,250,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2018 SEC $73,200,000
Credit Suisse Group AG Credit Suisse Foreign Corrupt Practices Act 2018 SEC $29,700,000
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2018 SEC $3,600,000
Wells Fargo Advisors LLC Wells Fargo investor protection violation 2018 SEC $5,108,441
Merrill Lynch, Pierce, Fenner & Smith Bank of America investor protection violation 2018 SEC $42,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2018 SEC $15,700,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China investor protection violation 2018 SEC $860,000
Charles Schwab & Co., Inc. Charles Schwab Corp. investor protection violation 2018 SEC $2,800,000
Merrill Lynch, Pierce and Fenner & Smith Incorporated Bank of America investor protection violation 2018 SEC $8,872,723
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2018 SEC $1,250,000
Massachusetts Financial Services Company Sun Life Financial investor protection violation 2018 SEC $1,900,000
Citibank NA Citigroup export control violation 2018 BIS $60,000
Commerzbank AG Commerzbank investor protection violation 2018 CFTC $12,000,000
Bank of Nova Scotia Scotiabank investor protection violation 2018 CFTC $800,000
Mizuho Bank, Ltd. Mizuho Financial investor protection violation 2018 CFTC $250,000
Bank of America, N.A. Bank of America interest rate benchmark manipulation 2018 CFTC $30,000,000
ICAP Capital Markets LLC ICAP interest rate benchmark manipulation 2018 CFTC $50,000,000
NatWest Markets Plc Royal Bank of Scotland investor protection violation 2018 CFTC $750,000
ABN AMRO Clearing Chicago LLC ABN AMRO investor protection violation 2018 CFTC $160,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2018 CFPB $11,790,000
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2018 EBSA $10,001
Wheelabrator Claremont Company, L.P. Macquarie energy market violation 2018 FERC $357,231
Societe Generale S.A. Societe Generale economic sanction violation 2018 FED $81,300,000
Bank of New York Mellon Bank of New York Mellon banking violation 2018 FED $16,000
MoneyGram International Inc. MoneyGram International anti-money-laundering deficiencies 2018 DOJ_CRIMINAL $125,000,000
Societe Generale S.A. Societe Generale economic sanction violation 2018 USAO $717,200,000
BMO Harris Bank, N.A. Bank of Montreal fraud 2018 USAO $10,000,000
HSBC HSBC toxic securities abuses 2018 USAO $765,000,000
Philadelphia Indemnity Insurance Company Tokio Marine False Claims Act and related 2018 USAO $30,508
LendingClub Corporation LendingClub Corp. banking violation 2018 USAO $2,000,000
Societe Generale S.A. Societe Generale economic sanction violation 2018 OFAC $53,966,916
JPMorgan Chase Bank, N.A. JPMorgan Chase economic sanction violation 2018 OFAC $5,263,171
Capital One Bank (USA), National Association Capital One Financial anti-money-laundering deficiencies 2018 OCC $100,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)