« Return to search form

Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$336,354,784,532
Number of Records: 
7,048
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$82,901,469,908264
JPMorgan Chase$36,060,746,133196
Citigroup$25,540,645,217156
Wells Fargo$21,874,892,841221
Deutsche Bank$18,341,457,30276
UBS$16,854,236,33499
Goldman Sachs$16,386,580,99666
NatWest Group PLC$13,516,771,85733
BNP Paribas$12,147,863,95019
Credit Suisse$10,732,400,12649


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
State Street Corp. State Street Corp. consumer protection violation 2019 MA-AG $53,500,000
Societe Generale S.A. Societe Generale economic sanction violation 2018 OFAC $53,966,916
Morgan Stanley Morgan Stanley employment discrimination 2004 EEOC $54,000,000
Bank of New York Mellon Bank of New York Mellon investor protection violation 2018 SEC $54,000,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2016 SEC $54,300,000
Goldman Sachs Group, Inc. Goldman Sachs investor protection violation 2018 FED $54,750,000
Goldman Sachs Group Inc. Goldman Sachs foreign exchange market manipulation 2018 NY-DFS $54,750,000
Deutsche Bank AG Deutsche Bank investor protection violation 2015 SEC $55,000,000
American Express Bank International American Express anti-money-laundering deficiencies 2007 DOJ_CRIMINAL $55,000,000
Hartford Financial Services Group, Inc. Hartford Financial Services investor protection violation 2006 SEC $55,000,000
Putnam Investment Management LLC Power Financial Corporation investor protection violation 2004 SEC $55,000,000
Countrywide Financial Corporation Bank of America benefit plan administrator violation 2009 private lawsuit-federal $55,000,000
Deutsche Bank AG Deutsche Bank economic sanction violation 2015 FED $58,000,000
Edward D. Jones & Co. Jones Financial employment discrimination 2021 private lawsuit-federal $58,000,000
American International Group American International Group False Claims Act and related 2007 MA-AG $58,500,000
Wachovia Bank N.A. Wells Fargo price-fixing or anti-competitive practices 2011 MULTI-AG (*) $58,750,000
HSBC HSBC mortgage abuses 2016 MULTI-AG (*) $59,500,000
BNP Paribas (Suisse) SA BNP Paribas tax violations 2015 DOJ_TAX $59,783,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2013 OCC $60,000,000
Sallie Mae Inc. Navient consumer protection violation 2014 DOJ_RIGHTS $60,000,000
State Street Corporation State Street Corp. benefit plan administrator violation 2016 private lawsuit-federal $60,000,000
Goldman Sachs & Co. Goldman Sachs mortgage abuses 2009 MA-AG $60,000,000
Wachovia Securities Wells Fargo investor protection violation 2008 MULTI-AG $60,000,000
Western Union Western Union anti-money-laundering deficiencies 2018 NY-DFS $60,000,000
American-Amicable Life Insurance Company American-Amicable Group insurance violation 2006 MULTI-FIN $60,000,000
Morgan Stanley Bank, N.A. Morgan Stanley banking violation 2020 OCC $60,000,000
Bank of Nova Scotia Scotiabank price-fixing or anti-competitive practices 2020 DOJ_CRIMINAL $60,400,000
JPMorgan Chase & Co. JPMorgan Chase banking violation 2016 FED $61,900,000
Wells Fargo Bank N.A. Wells Fargo benefit plan administrator violation 2014 private lawsuit-federal $62,500,000
Morgan Stanley & Co. LLC Morgan Stanley toxic securities abuses 2016 FDIC $62,950,000
Green Tree Servicing LLC Ditech Holding Corporation consumer protection violation 2015 FTC $63,000,000
M&T Bank Corp. M&T Bank False Claims Act and related 2016 DOJ_CIVIL $64,000,000
Legg Mason Inc. Franklin Resources Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $64,200,000
SunTrust Mortgage, Inc. Truist Financial toxic securities abuses 2013 FHFA $65,000,000
ServiceLink Holdings, LLC Fidelity National Financial banking violation 2017 FED $65,000,000
JPMorgan Chase Bank, N.A. JPMorgan Chase interest rate benchmark manipulation 2018 CFTC $65,000,000
Wells Fargo & Company Wells Fargo investor protection violation 2018 NY-AG $65,000,000
Robinhood Financial LLC Robinhood Markets investor protection violation 2020 SEC $65,000,000
Knight Securities, L.P. Virtu Financial investor protection violation 2004 SEC $66,500,000
Bank of America Bank of America price-fixing or anti-competitive practices 2010 MULTI-AG (*) $67,000,000
OppenheimerFunds Invesco investor protection violation 2010 NM-AG $67,300,000
St. Paul Travelers Companies Inc. Travelers investor protection violation 2005 NM-AG $67,500,000
American Skandia Investment Services, Inc. Prudential Financial investor protection violation 2009 SEC $68,000,000
UBS AG UBS interest rate benchmark manipulation 2018 MULTI-AG $68,000,000
American Express American Express consumer protection violation 2013 CFPB $69,100,000
Robinhood Financial LLC Robinhood Markets investor protection violation 2021 FINRA $69,600,000
UBS UBS toxic securities abuses 2016 NCUA $69,800,000
Franklin American Mortgage Company Citizens Financial Group mortgage abuses 2015 DOJ_CIVIL $70,000,000
Wells Fargo Bank, N.A. Wells Fargo banking violation 2016 OCC $70,000,000
Citigroup Inc. Citigroup banking violation 2004 FED $70,000,000
Citibank N.A. Citigroup anti-money-laundering deficiencies 2018 OCC $70,000,000
Deutsche Bank Securities Inc. Deutsche Bank interest rate benchmark manipulation 2018 CFTC $70,000,000
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 FINCEN $70,000,000
ACE American Insurance Company ET AL. Chubb Limited False Claims Act and related 2010 NY-AG $70,000,000
Allstate Texas Lloyd's Allstate insurance violation 2008 TX-INS $71,300,000
Federated Investors, Inc. Federated Hermes investor protection violation 2005 SEC $72,000,000
JPMorgan Securities JPMorgan Chase kickbacks and bribery 2016 DOJ_CRIMINAL $72,000,000
Wells Fargo Bank, N.A. Wells Fargo banking violation 2021 USAO $72,600,000
Bank of America Bank of America wage and hour violation 2013 private lawsuit-federal $73,000,000
Capital One Capital One Financial privacy violation 2015 private lawsuit-federal $73,000,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2018 SEC $73,200,000
Wegelin & Co Wegelin & Co tax violations 2013 DOJ_TAX $74,000,000
State Farm State Farm Insurance consumer protection violation 2008 MS-AG $74,000,000
Premera Blue Cross Premera Blue Cross privacy violation 2020 private lawsuit-federal $74,000,000
PHH Corp. Ocwen Financial False Claims Act and related 2017 DOJ_CIVIL $74,453,802
Nationstar Mortgage, LLC dba Mr. Cooper Mr. Cooper Group consumer protection violation 2020 CFPB $74,500,000
Citigroup Inc. Citigroup toxic securities abuses 2010 SEC $75,000,000
J.P. Morgan Securities Inc. JPMorgan Chase kickbacks and bribery 2009 SEC $75,000,000
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2004 SEC $75,000,000
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 OCC $75,000,000
Merrill Lynch & Co., Inc. Bank of America benefit plan administrator violation 2009 private lawsuit-federal $75,000,000
JPMorgan Chase JPMorgan Chase price-fixing or anti-competitive practices 2011 MULTI-AG (*) $75,000,000
Waddell & Reed, Inc. Macquarie investor protection violation 2006 NY-AG (*) $75,000,000
Credit Suisse First Boston LLC Credit Suisse investor protection violation 2003 MULTI-FIN (*) $75,000,000
JPMorgan Chase JPMorgan Chase benefit plan administrator violation 2019 private lawsuit-federal $75,000,000
JPMorgan Chase Bank, N.A. JPMorgan Chase investor protection violation 2021 CFTC $75,000,000
State Street Bank and Trust Co. State Street Corp. investor protection violation 2016 MA-AG (*) $75,500,000
General American Life Insurance Company, Inc. MetLife False Claims Act and related 2002 DOJ_CIVIL $76,000,000
St. Paul Travelers Travelers price-fixing or anti-competitive practices 2006 MULTI-AG $77,000,000
OppenheimerFunds, Inc. Invesco investor protection violation 2009 IL-AG $77,230,000
Swiss Life Holding AG et al. Swiss Life Group tax violations 2021 DOJ_TAX $77,374,337
The Bank of Nova Scotia Scotiabank investor protection violation 2020 CFTC $77,400,000
Coutts & Co Ltd NatWest Group PLC tax violations 2015 DOJ_TAX $78,484,000
MetLife Bank MetLife banking violation 2013 OCC $78,536,455
Wells Fargo & Company Wells Fargo benefit plan administrator violation 2020 private lawsuit-federal $79,000,000
Bank Julius Baer & Co. Ltd. Julius Baer Group money laundering 2021 DOJ_CRIMINAL $79,000,000
BNP Paribas BNP Paribas False Claims Act and related 2014 DOJ_CIVIL $80,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2004 DOJ_CRIMINAL $80,000,000
Strong Capital Management, Inc. Wells Fargo investor protection violation 2004 SEC $80,000,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce accounting fraud or deficiencies 2003 SEC $80,000,000
Bear, Stearns & Co. Inc. JPMorgan Chase investor protection violation 2003 SEC $80,000,000
J.P. Morgan Securities Inc. JPMorgan Chase investor protection violation 2003 SEC $80,000,000
Lehman Brothers Inc. Lehman Brothers investor protection violation 2003 SEC $80,000,000
UBS Warburg LLC UBS investor protection violation 2003 SEC $80,000,000
Merrill Lynch & Co. Inc. Bank of America accounting fraud or deficiencies 2003 SEC $80,000,000
ACE, Ltd Chubb Limited price-fixing or anti-competitive practices 2006 MULTI-AG $80,000,000
Bear Stearns & Co. LLC JPMorgan Chase investor protection violation 2002 MULTI-AG (*) $80,000,000
Deutsche Bank Deutsche Bank investor protection violation 2002 MULTI-AG $80,000,000
J.P. Morgan Chase & Co. JPMorgan Chase investor protection violation 2002 MULTI-AG (*) $80,000,000
Lehman Brothers Inc. Lehman Brothers investor protection violation 2002 MULTI-AG (*) $80,000,000
UBS Warburg LLC UBS investor protection violation 2002 MULTI-AG (*) $80,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)