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
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. Waddell & Reed Financial Inc. 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
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
The Bank of Nova Scotia Scotiabank investor protection violation 2020 CFTC $77,400,000
Coutts & Co Ltd Royal Bank of Scotland 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
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
Capital One Bank (USA), National Association Capital One Financial banking violation 2020 OCC $80,000,000
Assurant Inc. Assurant insurance violation 2016 MULTI-FIN $80,217,000
Societe Generale S.A. Societe Generale economic sanction violation 2018 FED $81,300,000
Wells Fargo Bank N.A. Wells Fargo bankruptcy professional violation 2015 DOJ_UTP $81,600,000
Branch Banking & Trust Company (BB&T) Truist Financial False Claims Act and related 2016 DOJ_CIVIL $83,000,000
FleetBoston Financial Corp Bank of America benefit plan administrator violation 2008 private lawsuit-federal $83,401,000
Bank of New York Mellon Bank of New York Mellon benefit plan administrator violation 2015 EBSA $84,000,000
Countrywide Financial Corp. Bank of America mortgage abuses 2008 HI-DCCA $84,548,000
Wells Fargo & Company Wells Fargo banking violation 2011 FED $85,000,000
Fifth Third Bancorp Fifth Third Bancorp toxic securities abuses 2015 USAO $85,000,000
Royal Bank of Scotland plc Royal Bank of Scotland interest rate benchmark manipulation 2017 CFTC $85,000,000
USAA Federal Savings Bank USAA banking violation 2020 OCC $85,000,000
Lloyds Banking Group plc Lloyds Banking Group interest rate benchmark manipulation 2014 DOJ_CRIMINAL $86,000,000
Nationstar Mortgage dba Mr. Cooper Mr. Cooper Group consumer protection violation 2020 MULTI-AG (*) $86,300,000
Wells Fargo & Company Wells Fargo banking violation 2012 FED $87,000,000
Deutsche Bank Deutsche Bank Foreign Corrupt Practices Act 2021 DOJ_CRIMINAL $87,091,424
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2004 SEC $87,500,000
Wilmington Trust, N.A. M&T Bank benefit plan administrator violation 2020 EBSA $88,000,000
JPMorgan Chase Bank JPMorgan Chase economic sanction violation 2011 OFAC $88,300,000
State Street Bank and Trust Company State Street Corp. investor protection violation 2019 SEC $88,780,000
Financial Freedom CIT False Claims Act and related 2017 DOJ_CIVIL $89,000,000
State Street Bank And Trust Co. State Street Corp. benefit plan administrator violation 2010 private lawsuit-federal $89,750,000
Credit Suisse AG Credit Suisse accounting fraud or deficiencies 2016 SEC $90,000,000
BNP Paribas USA Inc. BNP Paribas foreign exchange market manipulation 2018 DOJ_ANTITRUST $90,000,000
BNP Paribas Securities Corp. BNP Paribas interest rate benchmark manipulation 2018 CFTC $90,000,000
Banc One Investment Advisors Corporation JPMorgan Chase investor protection violation 2004 NY-AG (*) $90,000,000
Farmers Insurance Exchange Farmers Insurance Exchange wage and hour violation 2001 private lawsuit-state $90,009,208
Credit Agricole S.A. Credit Agricole economic sanction violation 2015 FED $90,300,000
UBS AG UBS price-fixing or anti-competitive practices 2011 MULTI-AG (*) $90,800,000
Sallie Mae Bank SLM Corp. banking violation 2014 FDIC $93,300,000
Western Union Financial Services, Inc. Western Union anti-money-laundering deficiencies 2010 MULTI-AG $94,000,000
Deutsche Bank Deutsche Bank tax violations 2017 USAO $95,000,000
Deutsche Bank Deutsche Bank toxic securities abuses 2017 MD-AG $95,000,000
Vitol Inc. Vitol fraud 2020 CFTC (*) $95,700,000
American Express American Express consumer protection violation 2017 CFPB $96,000,000
Barclays Capital Barclays investor protection violation 2017 SEC $97,037,659
Banamex USA Citigroup anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $97,440,000
AEGON USA Investment Management LLC et al. Aegon investor protection violation 2018 SEC $97,600,000
Ally Financial Inc. and Ally Bank Ally Financial consumer protection violation 2013 CFPB $98,000,000
Citigroup Citigroup wage and hour violation 2008 private lawsuit-federal $98,000,000
American Express American Express consumer protection violation 2012 CFPB $99,100,000
Credit Agricole (Suisse) SA Credit Agricole tax violations 2015 DOJ_TAX $99,211,000
RBS Securities Inc. Royal Bank of Scotland toxic securities abuses 2014 FHFA $99,500,000
Credit Suisse AG Credit Suisse banking violation 2014 FED $100,000,000
STANDARD CHARTERED PLC Standard Chartered banking violation 2012 FED $100,000,000
MoneyGram International Inc. MoneyGram International anti-money-laundering deficiencies 2012 DOJ_CRIMINAL $100,000,000
JPMorgan Chase Bank JPMorgan Chase data submission deficiencies 2015 CFTC $100,000,000
JPMorgan Chase JPMorgan Chase investor protection violation 2013 CFTC $100,000,000
Wells Fargo Bank Wells Fargo banking violation 2016 CFPB $100,000,000
UBS AG UBS economic sanction violation 2004 FED $100,000,000
Janus Capital Management LLC Janus Henderson investor protection violation 2004 SEC $100,000,000
Credit Suisse First Boston Corporation Credit Suisse investor protection violation 2002 SEC $100,000,000
Credit Lyonnais Credit Agricole fraud 2003 USAO $100,000,000
HSBC Holdings plc HSBC fraud 2018 DOJ_CRIMINAL $100,000,000
Capital One Bank (USA), National Association Capital One Financial anti-money-laundering deficiencies 2018 OCC $100,000,000
Barclays Bank PLC Barclays interest rate benchmark manipulation 2016 MULTI-AG $100,000,000
Citibank Citigroup interest rate benchmark manipulation 2018 MULTI-AG $100,000,000
Federated Investors, Inc. Federated Hermes investor protection violation 2005 NY-AG (*) $100,000,000
Merrill Lynch Bank of America investor protection violation 2002 NY-AG $100,000,000
Merrill Lynch & Co. Inc. Bank of America investor protection violation 2002 MULTI-AG (*) $100,000,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2010 MULTI-FIN (*) $100,000,000
Morgan Keegan & Company Raymond James Financial toxic securities abuses 2013 MULTI-FIN (*) $100,000,000
Citigroup, Inc. Citigroup accounting fraud or deficiencies 2003 SEC $101,000,000
Ambac Financial Group et al. Ambac Financial toxic securities abuses 2013 USAO $101,900,000
Lebanese Canadian Bank Lebanese Canadian Bank anti-money-laundering deficiencies 2013 USAO $102,000,000
Morgan Stanley & Co. Morgan Stanley toxic securities abuses 2010 MA-AG $102,000,000
Lloyds Banking Group plc Lloyds Banking Group interest rate benchmark manipulation 2014 CFTC $105,000,000
Barclays Bank PLC Barclays energy market manipulation 2017 FERC $105,000,000
Chase Bank USA N.A. JPMorgan Chase consumer protection violation 2015 MULTI-AG (*) $106,000,000
ConvergEx Group Cowen Inc. investor protection violation 2013 SEC $107,424,429
Countrywide Home Loans, Inc. and BAC Home Loans Servicing LP Bank of America consumer protection violation 2010 FTC $108,000,000
Hunter Wise Hunter Wise Commodities investor protection violation 2014 CFTC $108,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)