Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
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$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
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 Typesort icon Year Agency Penalty Amount
East West Bank East West Bancorp banking violation 2007 FED $16,245
First Interstate Bank First Interstate Bancsystem banking violation 2005 FED $15,750
Citigroup Inc. Citigroup banking violation 2004 FED $70,000,000
Credit Agricole S.A. Credit Agricole banking violation 2004 FED $8,000,000
Dexia, S.A. Dexia banking violation 2002 FED $50,000
U.S. Trust Corporation Bank of America banking violation 2001 FED $5,000,000
National City Bank PNC Financial Services banking violation 2009 OCC $34,265
Wells Fargo Bank, National Association Wells Fargo banking violation 2009 OCC $51,205
First Tennessee Bank National Association First Horizon National banking violation 2009 OCC $100,000
First National Bank of Omaha First National of Nebraska banking violation 2009 OCC $100,000
Capital One, National Association Capital One Financial banking violation 2009 OCC $125,000
Old National Bank Old National Bancorp banking violation 2008 OCC $56,000
Northern Trust, National Association Northern Trust banking violation 2008 OCC $125,000
Wachovia Bank, National Association Wells Fargo banking violation 2008 OCC $168,900,000
Keybank National Association KeyCorp banking violation 2007 OCC $27,750
First Tennessee Bank National Association First Horizon National banking violation 2007 OCC $125,000
Lasalle Bank MidWest National Association Bank of America banking violation 2007 OCC $125,000
Lasalle Bank National Association Bank of America banking violation 2007 OCC $79,524
U.S. Bank National Association U.S. Bancorp banking violation 2006 OCC $125,000
First National Bank of Omaha First National of Nebraska banking violation 2006 OCC $25,000
Seacoast National Bank Seacoast Banking Corporation of Florida banking violation 2006 OCC $16,500
Lasalle Bank MidWest National Association Bank of America banking violation 2005 OCC $6,250,000
First Tennessee Bank National Association First Horizon National banking violation 2005 OCC $180,000
Wells Fargo Bank, National Association Wells Fargo banking violation 2005 OCC $115,000
City National Bank Royal Bank of Canada banking violation 2005 OCC $750,000
First National Bank of Omaha First National of Nebraska banking violation 2005 OCC $20,000
Old National Bank Old National Bancorp banking violation 2004 OCC $12,500
Old National Bank Old National Bancorp banking violation 2004 OCC $7,500
National City Bank PNC Financial Services banking violation 2003 OCC $56,800
Bank of China Bank of China banking violation 2002 OCC $10,000,000
JPMorgan Chase & Co. JPMorgan Chase banking violation 2016 FED $61,900,000
Customers Bank Customers Bancorp banking violation 2016 FED $960,000
Banco Bilbao Vizcaya Argentaria, S.A. Banco Bilbao Vizcaya Argentaria banking violation 2016 FED $27,000,000
HSBC Bank USA, National Association HSBC banking violation 2017 OCC $32,500,000
ServiceLink Holdings, LLC Fidelity National Financial banking violation 2017 FED $65,000,000
First Tennessee Bank National Association First Horizon National banking violation 2017 OCC $1,000,000
SunTrust Bank Truist Financial banking violation 2017 FED $1,501,000
Bank of New York Mellon Corporation Bank of New York Mellon banking violation 2017 FED $3,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2017 OCC $15,000,000
Rabobank National Association Rabobank banking violation 2017 OCC $58,000
UMB Bank, NA UMB Financial Corp. banking violation 2017 OCC $1,500,000
HSBC Holdings HSBC banking violation 2017 FED $175,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2017 OCC $183,920
Goldman Sachs Bank USA Goldman Sachs banking violation 2018 FED $90,000
Citibank N.A. Citigroup banking violation 2017 OCC $452,000
US Bancorp U.S. Bancorp banking violation 2018 FED $15,000,000
Flagstar Bank, FSB Flagstar Bancorp banking violation 2016 OCC $500,000
First Niagara Bank, National Association KeyCorp banking violation 2016 OCC $2,000,000
First National Bank of Omaha First National of Nebraska banking violation 2016 OCC $3,000,000
Wells Fargo Bank N.A. Wells Fargo banking violation 2018 OCC $500,000,000
Citigroup Citigroup banking violation 2018 FED $8,600,000
TCF National Bank TCF Financial Corp. banking violation 2018 OCC $3,000,000
PNC Bank, National Association PNC Financial Services banking violation 2018 OCC $207,245
PNC Bank, National Association PNC Financial Services banking violation 2018 OCC $15,000,000
Bank of China Bank of China banking violation 2018 OCC $12,500,000
Bank of New York Mellon Bank of New York Mellon banking violation 2018 FED $16,000
LendingClub Corporation LendingClub Corp. banking violation 2018 USAO $2,000,000
Republic Bank & Trust Company Republic Bancorp banking violation 2018 FDIC $300,000
Wintrust Financial Corporation Wintrust Financial Corp. banking violation 2019 FED $1,012,500
Citibank, N.A. Citigroup banking violation 2019 OCC $25,000,000
UniCredit, S.p.A. UniCredit banking violation 2019 FED $158,000,000
Standard Chartered plc Standard Chartered banking violation 2019 FED $164,000,000
1st Financial Bank U.S.A. 1st Financial Bank USA banking violation 2005 WI-AG $43,142
Bank of New York Mellon Bank of New York Mellon banking violation 2015 NY-AG $167,500,000
Capital One Bank Capital One Financial banking violation 2005 WI-AG $80,032
FirstBank Puerto Rico First Bancorp (Puerto Rico) banking violation 2019 FDIC $17,700
SunTrust Bank Truist Financial banking violation 2005 WI-AG $10,107
Wells Fargo Bank N.A. Wells Fargo banking violation 2018 MULTI-AG $575,000,000
Wilmington Savings Fund Society, Federal Savings Bank WSFS Financial Corp. banking violation 2019 OCC $85,265
HomeStreet Bank HomeStreet Inc. banking violation 2019 FDIC $1,350,000
German American Bancorp German American Bancorp banking violation 2012 FDIC $15,000
Capmark Bank Capmark Bank banking violation 2012 FDIC $8,500
BANK OF THE WEST BNP Paribas banking violation 2011 FDIC $135,000
REPUBLIC BANK & TRUST COMPANY Republic Bancorp banking violation 2011 FDIC $900,000
CATHAY BANK Cathay General Bancorp banking violation 2011 FDIC $17,710
BANCORPSOUTH BANK BancorpSouth banking violation 2011 FDIC $46,500
GREAT SOUTHERN BANK Great Southern Bancorp banking violation 2011 FDIC $21,935
MAINSOURCE BANK First Financial Bancorp. banking violation 2010 FDIC $22,000
BANK OF THE WEST BNP Paribas banking violation 2010 FDIC $68,200
S&T BANK S&T Bancorp banking violation 2010 FDIC $32,640
BUSEY BANK First Busey Corp. banking violation 2010 FDIC $7,445
CompuCredit Corporation Atlanticus Holdings banking violation 2008 FDIC $806,000
CompuCredit Corporation Atlanticus Holdings banking violation 2008 FDIC $558,000
FIRST BANK First Bancorp (North Carolina) banking violation 2004 FDIC $12,000
Citibank, N.A. Citigroup banking violation 2019 OCC $30,000,000
Citibank, N.A. Citigroup banking violation 2020 OCC $17,998,510
East West Bank East West Bancorp banking violation 2020 FED $129,108
Regions Bank Regions Financial banking violation 2014 AL-SBD $5,000,000
Societe Generale Financial Corporation Societe Generale banking violation 2020 CA-DFPI $10,250
Credit Agricole Credit Agricole banking violation 2004 NY-DFS $5,000,000
Deutsche Bank AG and Deutsche Bank Trust Co. America Deutsche Bank banking violation 2020 NY-DFS $150,000,000
Capital One Bank (USA), National Association Capital One Financial banking violation 2020 OCC $80,000,000
Goldman Sachs Group, Inc. Goldman Sachs banking violation 2020 FED $154,000,000
M&T Bank M&T Bank banking violation 2020 FED $546,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2020 OCC $250,000,000
USAA Federal Savings Bank USAA banking violation 2020 OCC $85,000,000
Morgan Stanley Bank, N.A. Morgan Stanley banking violation 2020 OCC $60,000,000
Citibank, National Association Citigroup banking violation 2020 OCC $400,000,000
CIT Bank, National Association CIT banking violation 2020 OCC $82,500
ASI SERVICES Progressive aviation safety violation 2015 FAA $17,000
ASI SERVICES Progressive aviation safety violation 2015 FAA $27,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)