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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$339,976,074,213
Number of Records: 6,952
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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$82,898,016,192264
JPMorgan Chase$36,107,446,133199
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
Goldman Sachs$16,399,485,79387
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,148,363,95019
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.

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CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
ROYAL BANK OF SCOTLAND PLCNatWest Group PLCbanking violation2015FED$274,000,000
Bank Leumi GroupBank Leumitax violations2014DOJ_TAX$270,000,000
Prudential Equity GroupPrudential Financialinvestor protection violation2006MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000
Prudential Equity GroupPrudential Financialinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000
Credit Suisse AGCredit Suisseeconomic sanction violation2009DOJ_CRIMINAL$268,000,000
Credit Suisse AGCredit Suisseeconomic sanction violation2009NY-MANDA$268,000,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.JPMorgan Chaseinvestor protection violation2015SEC$267,000,000
Louisiana Generating (NRG Energy)Macquarieenvironmental violation2012EPA$264,000,000
Commerzbank AGCommerzbankeconomic sanction violation2014OFAC$258,660,796
Bank of America, National AssociationBank of Americabanking violation2014OCC$250,000,000
CitibankCitigroupinterest rate benchmark manipulation2016CFTC$250,000,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2006SEC$250,000,000
Alliance Capital Management L.P.Equitable Holdingsinvestor protection violation2003SEC$250,000,000
Bank of Tokyo Mitsubishi-UFJ, LtdMitsubishi UFJ Financial Groupeconomic sanction violation2013NY-DFS$250,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2020OCC$250,000,000
Wells Fargo Bank, National AssociationWells Fargobanking violation2021OCC$250,000,000
HSBC Bank USA, National AssociationHSBCbanking violation2013OCC$249,000,000
BNP Paribas S.A.BNP Paribasforeign exchange market manipulation2017FED$246,000,000
AXA RosenbergAXAinvestor protection violation2011SEC$242,000,000
Intesa Sanpaolo S.p.A.Intesa Sanpaoloanti-money-laundering deficiencies2016NY-DFS$235,000,000
Wells Fargo BankWells Fargomortgage abuses2012DOJ_RIGHTS$234,300,000
UBS Securities LLCUBStoxic securities abuses2018NY-AG$230,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$228,000,000
Morgan StanleyMorgan Stanleymortgage abuses2013FED$227,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2012DOJ_CRIMINAL$227,000,000
GE Capital Retail Bank, now known as Synchrony BankSynchrony Financialconsumer protection violation2014CFPB$225,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2015NCUA$225,000,000
Massachusetts Financial Services Co.Sun Life Financialinvestor protection violation2004SEC$225,000,000
Goldman SachsGoldman Sachstoxic securities abuses2016MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $225,000,000
Janus Capital ManagementJanus Hendersoninvestor protection violation2004MULTI-AG$225,000,000
Ocwen Loan Servicing, LLCOcwen Financialmortgage abuses2017CA-DFPI$225,000,000
Deutsche BankDeutsche Bankinterest rate benchmark manipulation2017MULTI-AG$220,000,000
Bank Hapoalim B.M.Bank Hapoalimtax violations2020NY-DFS$220,000,000
Citigroup Inc.Citigroupconsumer protection violation2002FTC$215,000,000
Agricultural Bank of ChinaAgricultural Bank of Chinaanti-money-laundering deficiencies2016NY-DFS$215,000,000
Discover BankDiscover Financial Servicesconsumer protection violation2012CFPB$214,000,000
American General Life InsuranceAmerican International Groupdiscriminatory practices (non-employment)2000private lawsuit-federal$214,000,000
Och-Ziff Capital Management Group LLCSculptor Capital ManagementForeign Corrupt Practices Act2016DOJ_CRIMINAL$213,000,000
First Tennessee Bank N.A.First Horizon NationalFalse Claims Act and related2015DOJ_CIVIL$212,500,000
MetLife Insurance CompanyMetLifeinsurance violation2019NY-DFS$208,750,000
U.S. BankU.S. Bancorpbanking violation2013OCC$208,156,501
Citigroup, Inc.Citigroupinvestor protection violation2005SEC$208,000,000
Deutsche Bank AGDeutsche Bankinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $208,000,000
Ally Financial Inc.Ally Financialbanking violation2012FED$207,000,000
BANK OF AMERICA CORPORATIONBank of Americabanking violation2015FED$205,000,000
Deutsche Bank AGDeutsche Bankforeign exchange market manipulation2018NY-DFS$205,000,000
UBS AGUBSinterest rate benchmark manipulation2015DOJ_CRIMINAL$203,000,000
Deutsche Bank AGDeutsche Banktoxic securities abuses2012USAO$202,300,000
COMMERZBANK AGCommerzbankbanking violation2015FED$200,000,000
JPMORGAN CHASE & CO.JPMorgan Chasebanking violation2013FED$200,000,000
U.S. BankU.S. BancorpFalse Claims Act and related2014DOJ_CIVIL$200,000,000
JPMorgan & Co.JPMorgan Chaseaccounting fraud or deficiencies2013SEC$200,000,000
Morgan Keegan & CompanyRaymond James Financialtoxic securities abuses2011SEC$200,000,000
Barclays PLCBarclaysinterest rate benchmark manipulation2012CFTC$200,000,000
UBS AGUBStax violations2009SEC$200,000,000
Credit Suisse First Boston LLCCredit Suisseinvestor protection violation2003SEC$200,000,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2003SEC$200,000,000
Associated Bank, N.A.Associated Banc-Corpdiscriminatory practices (non-employment)2015HUD$200,000,000
Credit Suisse First Boston Corp.Credit Suisseinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $200,000,000
Deutsche BankDeutsche Bankeconomic sanction violation2015NY-DFS$200,000,000
Och-Ziff Capital Management GroupSculptor Capital ManagementForeign Corrupt Practices Act2016SEC$199,045,167
Credit Suisse Group AGCredit Suisseinvestor protection violation2014SEC$196,000,000
HSBC Private Bank (Suisse) SAHSBCtax violations2019USAO$192,350,000
Aon CorporationAonprice-fixing or anti-competitive practices2005MULTI-AG$190,000,000
HSBC Holdings plcHSBCeconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $187,500,000
Union Bancaire PriveeUnion Bancaire Priveetax violations2016DOJ_TAX$187,000,000
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.investor protection violation2022SEC$187,000,000
JPMorgan ChaseJPMorgan Chaseconsumer protection violation2015CFPB$186,000,000
PNC Bank N.A.PNC Financial Servicesbanking violation2013OCC$180,526,382
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLCCitigroupinvestor protection violation2015SEC$180,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2019NY-DFS$180,000,000
Bank of America CorporationBank of Americabanking violation2012FED$175,500,000
Credit Suisse Group AGCredit Suissefraud2021DOJ_CRIMINAL$175,500,000
CitigroupCitigroupinterest rate benchmark manipulation2016CFTC$175,000,000
Lloyds TSB Bank PLCLloyds Banking Groupeconomic sanction violation2009DOJ_CRIMINAL$175,000,000
HSBC HoldingsHSBCbanking violation2017FED$175,000,000
Lloyds TSB Bank plcLloyds Banking Groupeconomic sanction violation2009NY-MANDA$175,000,000
Zurich American Insurance CompanyZurich Insuranceprice-fixing or anti-competitive practices2006MULTI-AG$171,700,000
Commerzbank AGCommerzbankeconomic sanction violation2015NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $171,000,000
Wachovia Bank, National AssociationWells Fargobanking violation2008OCC$168,900,000
Bank of New York MellonBank of New York Mellonbanking violation2015NY-AG$167,500,000
Capital One Bank (U.S.A.), N.A.Capital One Financialconsumer protection violation2012CFPB$165,000,000
HSBC HOLDINGS PLCHSBCbanking violation2012FED$165,000,000
Bank of AmericaBank of Americatoxic securities abuses2013NCUA$165,000,000
Standard Chartered plcStandard Charteredbanking violation2019FED$164,000,000
Societe GeneraleSociete Generaleeconomic sanction violation2018NY-MANDA$162,800,000
UBS AGUBSprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$160,000,000
SunTrust Banks, Inc.Truist Financialbanking violation2014FED$160,000,000
Barclays Bank PLCBarclaysinterest rate benchmark manipulation2012DOJ_CRIMINAL$160,000,000
Merrill LynchBank of Americaemployment discrimination2013private lawsuit-federal$160,000,000
MetLifeMetLifediscriminatory practices (non-employment)2002NY-DFS$160,000,000
Citimortgage Inc.Citigroupmortgage abuses2012USAO$158,300,000
UniCredit, S.p.A.UniCreditbanking violation2019FED$158,000,000
Deutsche Bank AGDeutsche Bankinterest rate benchmark manipulation2017FED$156,600,000
Credit Agricole Corporate and Investment Bank (CACIB)Credit Agricoleeconomic sanction violation2015USAO$156,000,000
Credit Agricole Corporate and Investment BankCredit Agricoleeconomic sanction violation2015NY-MANDA$156,000,000
Goldman Sachs Group, Inc.Goldman Sachsbanking violation2020FED$154,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2013SEC$153,700,000
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2011SEC$153,600,000
Clearstream Banking SADeutsche Borseeconomic sanction violation2014OFAC$152,000,000
RBS PLC and RBS Securities JapanNatWest Group PLCinterest rate benchmark manipulation2014DOJ_ANTITRUST$150,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.