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 Year Agency Penalty Amountsort icon
Ameriquest Mortgage Citigroup consumer protection violation 2006 MULTI-AG $325,000,000
Invesco Funds Group Invesco investor protection violation 2004 MULTI-AG (*) $325,000,000
Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A. JPMorgan Chase consumer protection violation 2013 CFPB $329,000,000
Credit Agricole Corporate and Investment Bank Credit Agricole economic sanction violation 2015 OFAC $329,593,585
Goldman Sachs Goldman Sachs mortgage abuses 2013 FED $330,000,000
Countrywide Financial Corporation Bank of America mortgage abuses 2011 DOJ_RIGHTS $335,000,000
Citibank, N.A. Citigroup consumer protection violation 2018 CFPB $335,000,000
Bank of New York Mellon Corporation Bank of New York Mellon benefit plan administrator violation 2015 private lawsuit-federal $335,000,000
Standard Chartered Bank Standard Chartered anti-money-laundering deficiencies 2012 NY-DFS $340,000,000
UBS AG UBS banking violation 2015 FED $342,000,000
BARCLAYS BANK PLC Barclays foreign exchange market manipulation 2015 FED $342,000,000
CITIGROUP INC. Citigroup banking violation 2015 FED $342,000,000
JPMORGAN CHASE & CO. JPMorgan Chase banking violation 2015 FED $342,000,000
Citibank, National Association Citigroup banking violation 2014 OCC $350,000,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2014 OCC $350,000,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2014 OCC $350,000,000
Massachusetts Financial Services Co. Sun Life Financial investor protection violation 2004 NY-AG $350,000,000
BNP Paribas S.A. BNP Paribas foreign exchange market manipulation 2017 NY-DFS $350,000,000
State Farm Lloyds State Farm Insurance insurance violation 2015 TX-INS $352,500,000
Rabobank National Association Rabobank anti-money-laundering deficiencies 2018 DOJ_CRIMINAL $368,701,259
Bank of America N.A. Bank of America banking violation 2012 DOJ_RIGHTS $370,000,000
HSBC Holdings HSBC economic sanction violation 2012 OFAC $375,000,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC Bank of America investor protection violation 2005 SEC $375,000,000
Banc of America Capital Management LLC et al. Bank of America investor protection violation 2004 NY-AG (*) $375,000,000
State Street Bank and Trust Company State Street Corp. investor protection violation 2016 SEC $382,400,000
Credit Agricole Credit Agricole economic sanction violation 2015 NY-DFS $385,000,000
Royal Bank of Scotland plc Royal Bank of Scotland foreign exchange market manipulation 2015 DOJ_CRIMINAL $395,000,000
Citimortgage Inc. and Citibank N.A. Citigroup toxic securities abuses 2013 FHFA $395,000,000
Barclays Barclays interest rate benchmark manipulation 2015 CFTC $400,000,000
Federal National Mortgage Association (Fannie Mae) Fannie Mae accounting fraud or deficiencies 2006 SEC $400,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. Citigroup investor protection violation 2003 SEC $400,000,000
Marsh and McLennan Marsh & McLennan investor protection violation 2009 MULTI-AG $400,000,000
Salomon Smith Barney Inc. Morgan Stanley investor protection violation 2002 MULTI-AG (*) $400,000,000
Citibank, National Association Citigroup banking violation 2020 OCC $400,000,000
Bank of America Bank of America toxic securities abuses 2013 FHFA $404,000,000
UniCredit Group UniCredit economic sanction violation 2019 NY-DFS $405,000,000
JP Morgan Ventures Energy Corporation JPMorgan Chase energy market manipulation 2013 FERC $410,000,000
Citigroup Citigroup mortgage abuses 2012 MULTI-AG (*) $413,041,577
UniCredit Group UniCredit economic sanction violation 2019 DOJ_CRIMINAL $413,536,632
Merrill Lynch Bank of America investor protection violation 2016 SEC $415,000,000
SunTrust Mortgage Inc. Truist Financial False Claims Act and related 2014 DOJ_CIVIL $418,000,000
Societe Generale SA Societe Generale economic sanction violation 2018 NY-DFS $420,000,000
Deutsche Bank AG Deutsche Bank anti-money-laundering deficiencies 2017 NY-DFS $425,000,000
UBS UBS toxic securities abuses 2017 NCUA $445,000,000
U.S. Bancorp U.S. Bancorp anti-money-laundering deficiencies 2018 USAO $453,000,000
TD Ameritrade, Inc. Charles Schwab Corp. investor protection violation 2009 MULTI-AG $456,000,000
J.P. Morgan Chase Bank, N.A. JPMorgan Chase anti-money-laundering deficiencies 2014 FINCEN $461,000,000
HSBC Bank USA NA HSBC mortgage abuses 2016 DOJ $470,000,000
Rabobank Rabobank interest rate benchmark manipulation 2013 CFTC $475,000,000
Societe Generale S.A. Societe Generale interest rate benchmark manipulation 2018 CFTC $475,000,000
Merrill Lynch Bank of America investor protection violation 2009 OH-AG $475,000,000
Household Finance Corp. HSBC mortgage abuses 2002 MULTI-AG $484,000,000
Barclays Bank PLC Barclays foreign exchange market manipulation 2015 NY-DFS $485,000,000
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. BC Capital Group investor protection violation 2016 CFTC $490,246,741
UBS Securities Japan Co. Ltd. UBS interest rate benchmark manipulation 2012 DOJ_ANTITRUST $500,000,000
HSBC Bank USA, N.A. HSBC banking violation 2012 OCC $500,000,000
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V. ABN AMRO economic sanction violation 2010 DOJ_CRIMINAL $500,000,000
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
Bank of America Bank of America investor protection violation 2013 MULTI-AG $500,000,000
Mercer Marsh & McLennan accounting fraud or deficiencies 2010 AK-AG $500,000,000
Royal Bank of Scotland Royal Bank of Scotland toxic securities abuses 2018 NY-AG $500,000,000
Wells Fargo & Co. Wells Fargo investor protection violation 2020 SEC (*) $500,000,000
Bank Julius Baer & Co. Ltd. Julius Baer Group tax violations 2016 DOJ_TAX $547,000,000
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2014 CFPB $550,000,000
JPMorgan Chase & Co. JPMorgan Chase foreign exchange market manipulation 2015 DOJ_CRIMINAL $550,000,000
Goldman Sachs & Co. Goldman Sachs toxic securities abuses 2010 SEC $550,000,000
HSBC North America Holdings Inc. HSBC toxic securities abuses 2014 FHFA $550,000,000
Morgan Stanley Morgan Stanley toxic securities abuses 2016 NY-AG $550,000,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 MULTI-AG $550,000,000
UniCredit Bank AG UniCredit economic sanction violation 2019 OFAC (*) $553,380,759
Deutsche Bank AG Deutsche Bank tax violations 2010 USAO $553,633,153
Republic New York Securities HSBC fraud 2001 USAO $569,000,000
Wells Fargo Bank N.A. Wells Fargo banking violation 2018 MULTI-AG $575,000,000
Western Union Company Western Union anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $586,000,000
Wells Fargo Wells Fargo toxic securities abuses 2013 FHFA $591,000,000
Prudential Equity Group LLC Prudential Financial investor protection violation 2006 DOJ_CRIMINAL $600,000,000
Alliance Capital Management Equitable Holdings investor protection violation 2003 NY-AG (*) $600,000,000
Deutsche Bank Deutsche Bank interest rate benchmark manipulation 2015 NY-DFS $600,000,000
CR Intrinsic Investors SAC Capital investor protection violation 2013 SEC $601,747,463
Commerzbank Commerzbank economic sanction violation 2015 NY-DFS $610,000,000
JPMorgan Chase JPMorgan Chase False Claims Act and related 2014 DOJ_CIVIL $614,000,000
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd. Bank Hapoalim tax violations 2020 DOJ_TAX $616,910,000
ING Bank N.V. ING economic sanction violation 2012 DOJ_CRIMINAL $619,000,000
ING Bank N.V. ING economic sanction violation 2012 OFAC (*) $619,000,000
Commerzbank AG Commerzbank economic sanction violation 2015 DOJ_CRIMINAL $642,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2019 OFAC (*) $657,040,033
UBS AG UBS interest rate benchmark manipulation 2012 CFTC $700,000,000
Barclays PLC Barclays foreign exchange market manipulation 2015 DOJ_CRIMINAL $710,000,000
Bank of New York Mellon Bank of New York Mellon banking violation 2015 USAO $714,000,000
Credit Suisse AG Credit Suisse tax violations 2014 NY-DFS $715,000,000
Societe Generale S.A. Societe Generale economic sanction violation 2018 USAO $717,200,000
American International Group American International Group investor protection violation 2010 OH-AG $725,000,000
Citibank N.A. Citigroup consumer protection violation 2015 CFPB $733,800,000
Bank of America, N.A. Bank of America consumer protection violation 2014 CFPB $747,000,000
HSBC HSBC toxic securities abuses 2018 USAO $765,000,000
Deutsche Bank AG Deutsche Bank interest rate benchmark manipulation 2015 DOJ_CRIMINAL $775,000,000
UBS AG UBS tax violations 2009 DOJ_TAX $780,000,000
Citibank Citigroup banking violation 2013 OCC $793,492,868
Deutsche Bank Deutsche Bank interest rate benchmark manipulation 2015 CFTC $800,000,000
American International Group, Inc. American International Group investor protection violation 2006 SEC $800,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)