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
Standard Chartered Bank Standard Chartered economic sanction violation 2019 NY-DFS $180,000,000
PNC Bank N.A. PNC Financial Services banking violation 2013 OCC $180,526,382
JPMorgan Chase JPMorgan Chase consumer protection violation 2015 CFPB $186,000,000
Union Bancaire Privee Union Bancaire Privee tax violations 2016 DOJ_TAX $187,000,000
HSBC Holdings plc HSBC economic sanction violation 2012 NY-MANDA (*) $187,500,000
Aon Corporation Aon price-fixing or anti-competitive practices 2005 MULTI-AG $190,000,000
HSBC Private Bank (Suisse) SA HSBC tax violations 2019 USAO $192,350,000
Credit Suisse Group AG Credit Suisse investor protection violation 2014 SEC $196,000,000
Och-Ziff Capital Management Group Sculptor Capital Management Foreign Corrupt Practices Act 2016 SEC $199,045,167
COMMERZBANK AG Commerzbank banking violation 2015 FED $200,000,000
JPMORGAN CHASE & CO. JPMorgan Chase banking violation 2013 FED $200,000,000
U.S. Bank U.S. Bancorp False Claims Act and related 2014 DOJ_CIVIL $200,000,000
JPMorgan & Co. JPMorgan Chase accounting fraud or deficiencies 2013 SEC $200,000,000
Morgan Keegan & Company Raymond James Financial toxic securities abuses 2011 SEC $200,000,000
Barclays PLC Barclays interest rate benchmark manipulation 2012 CFTC $200,000,000
UBS AG UBS tax violations 2009 SEC $200,000,000
Credit Suisse First Boston LLC Credit Suisse investor protection violation 2003 SEC $200,000,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America investor protection violation 2003 SEC $200,000,000
Associated Bank, N.A. Associated Banc-Corp discriminatory practices (non-employment) 2015 HUD $200,000,000
Credit Suisse First Boston Corp. Credit Suisse investor protection violation 2002 MULTI-AG (*) $200,000,000
Deutsche Bank Deutsche Bank economic sanction violation 2015 NY-DFS $200,000,000
Deutsche Bank AG Deutsche Bank toxic securities abuses 2012 USAO $202,300,000
UBS AG UBS interest rate benchmark manipulation 2015 DOJ_CRIMINAL $203,000,000
BANK OF AMERICA CORPORATION Bank of America banking violation 2015 FED $205,000,000
Deutsche Bank AG Deutsche Bank foreign exchange market manipulation 2018 NY-DFS $205,000,000
Ally Financial Inc. Ally Financial banking violation 2012 FED $207,000,000
Citigroup, Inc. Citigroup investor protection violation 2005 SEC $208,000,000
Deutsche Bank AG Deutsche Bank investor protection violation 2006 NY-AG (*) $208,000,000
U.S. Bank U.S. Bancorp banking violation 2013 OCC $208,156,501
MetLife Insurance Company MetLife insurance violation 2019 NY-DFS $208,750,000
BSI SA BSI SA tax violations 2015 DOJ_TAX $211,000,000
First Tennessee Bank N.A. First Horizon National False Claims Act and related 2015 DOJ_CIVIL $212,500,000
Och-Ziff Capital Management Group LLC Sculptor Capital Management Foreign Corrupt Practices Act 2016 DOJ_CRIMINAL $213,000,000
Discover Bank Discover Financial Services consumer protection violation 2012 CFPB $214,000,000
American General Life Insurance American International Group discriminatory practices (non-employment) 2000 private lawsuit-federal $214,000,000
Citigroup Inc. Citigroup consumer protection violation 2002 FTC $215,000,000
Agricultural Bank of China Agricultural Bank of China anti-money-laundering deficiencies 2016 NY-DFS $215,000,000
Deutsche Bank Deutsche Bank interest rate benchmark manipulation 2017 MULTI-AG $220,000,000
Bank Hapoalim B.M. Bank Hapoalim tax violations 2020 NY-DFS $220,000,000
GE Capital Retail Bank, now known as Synchrony Bank Synchrony Financial consumer protection violation 2014 CFPB $225,000,000
Morgan Stanley Morgan Stanley toxic securities abuses 2015 NCUA $225,000,000
Massachusetts Financial Services Co. Sun Life Financial investor protection violation 2004 SEC $225,000,000
Goldman Sachs Goldman Sachs toxic securities abuses 2016 MULTI-AG (*) $225,000,000
Janus Capital Management Janus Henderson investor protection violation 2004 MULTI-AG $225,000,000
Ocwen Loan Servicing, LLC Ocwen Financial mortgage abuses 2017 CA-DFPI $225,000,000
Morgan Stanley Morgan Stanley mortgage abuses 2013 FED $227,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2012 DOJ_CRIMINAL $227,000,000
JPMorgan Chase & Co. JPMorgan Chase price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $228,000,000
UBS Securities LLC UBS toxic securities abuses 2018 NY-AG $230,000,000
Wells Fargo Bank Wells Fargo mortgage abuses 2012 DOJ_RIGHTS $234,300,000
Intesa Sanpaolo S.p.A. Intesa Sanpaolo anti-money-laundering deficiencies 2016 NY-DFS $235,000,000
AXA Rosenberg AXA investor protection violation 2011 SEC $242,000,000
Aurora Bank FSB Aurora Bank banking violation 2013 OCC $242,418,293
BNP Paribas S.A. BNP Paribas foreign exchange market manipulation 2017 FED $246,000,000
HSBC Bank USA, National Association HSBC banking violation 2013 OCC $249,000,000
Bank of America, National Association Bank of America banking violation 2014 OCC $250,000,000
Citibank Citigroup interest rate benchmark manipulation 2016 CFTC $250,000,000
Bear, Stearns & Co., Inc. JPMorgan Chase investor protection violation 2006 SEC $250,000,000
Alliance Capital Management L.P. Equitable Holdings investor protection violation 2003 SEC $250,000,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2020 OCC $250,000,000
Commerzbank AG Commerzbank economic sanction violation 2014 OFAC $258,660,796
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A. JPMorgan Chase investor protection violation 2015 SEC $267,000,000
Credit Suisse AG Credit Suisse economic sanction violation 2009 DOJ_CRIMINAL $268,000,000
Credit Suisse AG Credit Suisse economic sanction violation 2009 NY-MANDA $268,000,000
Bank Leumi Group Bank Leumi tax violations 2014 DOJ_TAX $270,000,000
Prudential Equity Group Prudential Financial investor protection violation 2006 MULTI-AG (*) $270,000,000
Prudential Equity Group Prudential Financial investor protection violation 2006 NY-AG (*) $270,000,000
ROYAL BANK OF SCOTLAND PLC Royal Bank of Scotland banking violation 2015 FED $274,000,000
JPMorgan Chase & Co., and EMC Mortgage Corporation JPMorgan Chase banking violation 2012 FED $275,000,000
Morgan Stanley Morgan Stanley toxic securities abuses 2014 SEC $275,000,000
HSBC Bank HSBC interest rate benchmark manipulation 2014 CFTC $275,000,000
Bear Stearns JPMorgan Chase investor protection violation 2012 MI-AG $275,000,000
Barclays Bank PLC Barclays toxic securities abuses 2014 FHFA $280,000,000
Citigroup Citigroup toxic securities abuses 2011 SEC $285,000,000
Royal Bank of Scotland plc Royal Bank of Scotland interest rate benchmark manipulation 2014 CFTC $290,000,000
UBS AG UBS interest rate benchmark manipulation 2014 CFTC $290,000,000
Capital One, National Association Capital One Financial anti-money-laundering deficiencies 2021 FINCEN $290,000,000
Citigroup Inc. Citigroup toxic securities abuses 2014 MULTI-AG (*) $291,750,000
Standard Chartered Bank Standard Chartered economic sanction violation 2019 NY-MANDA $292,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2019 DOJ_CRIMINAL $292,210,160
Allied Home Mortgage Americus Mortgage fraud 2017 USAO $296,298,325
J.P. Morgan Securities LLC JPMorgan Chase toxic securities abuses 2012 SEC $296,900,000
Barclays Bank PLC Barclays economic sanction violation 2010 DOJ_CRIMINAL $298,000,000
J.P. Morgan Chase & Co. JPMorgan Chase toxic securities abuses 2013 CA-AG (*) $298,973,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2013 OCC $300,000,000
FleetBoston Financial Corp. Bank of America investor protection violation 2004 NY-AG (*) $300,000,000
State Street Bank & Trust Co. State Street Corp. investor protection violation 2010 MA-AG (*) $300,000,000
Standard Chartered Bank Standard Chartered anti-money-laundering deficiencies 2014 NY-DFS $300,000,000
Providian Financial Corp. JPMorgan Chase consumer protection violation 2000 CA-AG $305,500,000
ING Bank, NV ING economic sanction violation 2012 NY-MANDA (*) $309,500,000
Ally Financial Inc. (formerly GMAC) Ally Financial mortgage abuses 2012 DOJ $309,600,000
Citibank Citigroup interest rate benchmark manipulation 2014 CFTC $310,000,000
JPMorgan Chase Bank JPMorgan Chase interest rate benchmark manipulation 2014 CFTC $310,000,000
State Street Bank and Trust Company State Street Corp. investor protection violation 2010 SEC $313,300,000
UniCredit Bank AG UniCredit economic sanction violation 2019 NY-MANDA $316,000,000
SunTrust Mortgage Inc. Truist Financial mortgage abuses 2014 DOJ_CIVIL $320,000,000
Rabobank Rabobank interest rate benchmark manipulation 2013 DOJ_CRIMINAL $325,000,000
Barclays Capital Inc. Barclays toxic securities abuses 2015 NCUA $325,000,000
Royal Bank of Scotland plc Royal Bank of Scotland interest rate benchmark manipulation 2013 CFTC $325,000,000
Invesco Funds Group, Inc. Invesco investor protection violation 2004 SEC $325,000,000
Ameriquest Mortgage Citigroup consumer protection violation 2006 MULTI-AG $325,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)