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
Citigroup Inc. Citigroup toxic securities abuses 2014 DOJ $7,000,000,000
JPMorgan Chase JPMorgan Chase toxic securities abuses 2013 DOJ $13,000,000,000
Morgan Stanley Morgan Stanley toxic securities abuses 2014 SEC $275,000,000
Merrill Lynch Bank of America toxic securities abuses 2013 SEC $131,800,000
RBS Securities Inc. Royal Bank of Scotland toxic securities abuses 2013 SEC $153,700,000
UBS Securities UBS toxic securities abuses 2013 SEC $50,000,000
J.P. Morgan Securities LLC JPMorgan Chase toxic securities abuses 2012 SEC $296,900,000
Credit Suisse Securities (USA) Credit Suisse toxic securities abuses 2012 SEC $120,000,000
Wells Fargo Wells Fargo toxic securities abuses 2012 SEC $6,500,000
Option One Mortgage Corporation Ocwen Financial toxic securities abuses 2012 SEC $28,200,000
Citigroup Citigroup toxic securities abuses 2011 SEC $285,000,000
Morgan Keegan & Company Raymond James Financial toxic securities abuses 2011 SEC $200,000,000
J.P. Morgan Securities LLC JPMorgan Chase toxic securities abuses 2011 SEC $153,600,000
Wells Fargo Securities LLC Wells Fargo toxic securities abuses 2011 SEC $11,000,000
Citigroup Inc. Citigroup toxic securities abuses 2010 SEC $75,000,000
Goldman Sachs & Co. Goldman Sachs toxic securities abuses 2010 SEC $550,000,000
HSBC North America Holdings Inc. HSBC toxic securities abuses 2014 FHFA $550,000,000
Goldman Sachs & Co. Goldman Sachs toxic securities abuses 2014 FHFA $3,150,000,000
RBS Securities Inc. Royal Bank of Scotland toxic securities abuses 2014 FHFA $99,500,000
First Horizon National Corporation First Horizon National toxic securities abuses 2014 FHFA $110,000,000
Barclays Bank PLC Barclays toxic securities abuses 2014 FHFA $280,000,000
Bank of America Corporation Bank of America toxic securities abuses 2014 FHFA $9,300,000,000
Credit Suisse Credit Suisse toxic securities abuses 2014 FHFA $885,000,000
Societe Generale Societe Generale toxic securities abuses 2014 FHFA $122,000,000
Morgan Stanley Morgan Stanley toxic securities abuses 2014 FHFA $1,250,000,000
Deutsche Bank AG Deutsche Bank toxic securities abuses 2013 FHFA $1,925,000,000
UBS Americas Inc. UBS toxic securities abuses 2013 FHFA $885,000,000
Wells Fargo Wells Fargo toxic securities abuses 2013 FHFA $591,000,000
Bank of America Bank of America toxic securities abuses 2013 FHFA $404,000,000
Wells Fargo Bank, National Association Wells Fargo toxic securities abuses 2013 FHFA $869,000,000
Citimortgage Inc. and Citibank N.A. Citigroup toxic securities abuses 2013 FHFA $395,000,000
SunTrust Mortgage, Inc. Truist Financial toxic securities abuses 2013 FHFA $65,000,000
Bank of America Bank of America toxic securities abuses 2011 FHFA $1,300,000,000
Bank of America Bank of America toxic securities abuses 2011 FHFA $1,520,000,000
Bank of America Bank of America toxic securities abuses 2013 FHFA $10,350,000,000
Citigroup Citigroup toxic securities abuses 2013 FHFA $968,000,000
UBS UBS toxic securities abuses 2016 NCUA $69,800,000
Credit Suisse Credit Suisse toxic securities abuses 2016 NCUA $50,300,000
Morgan Stanley Morgan Stanley toxic securities abuses 2015 NCUA $225,000,000
Wachovia Wells Fargo toxic securities abuses 2015 NCUA $53,000,000
Barclays Capital Inc. Barclays toxic securities abuses 2015 NCUA $325,000,000
Royal Bank of Scotland plc Royal Bank of Scotland toxic securities abuses 2015 NCUA $129,600,000
Bank of America Bank of America toxic securities abuses 2013 NCUA $165,000,000
HSBC HSBC toxic securities abuses 2012 NCUA $5,250,000
Citigroup Citigroup toxic securities abuses 2011 NCUA $20,500,000
Deutsche Bank Securities Deutsche Bank toxic securities abuses 2011 NCUA $145,000,000
Fifth Third Bancorp Fifth Third Bancorp toxic securities abuses 2015 USAO $85,000,000
Deutsche Bank AG Deutsche Bank toxic securities abuses 2012 USAO $202,300,000
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc. Nomura toxic securities abuses 2016 NCUA $3,000,000
Deutsche Bank Deutsche Bank toxic securities abuses 2017 DOJ_CIVIL $7,200,000,000
Credit Suisse Credit Suisse toxic securities abuses 2017 DOJ_CIVIL $5,280,000,000
UBS UBS toxic securities abuses 2017 NCUA $445,000,000
Royal Bank of Scotland PLC Royal Bank of Scotland toxic securities abuses 2017 FHFA $5,500,000,000
RBS Securities Inc. Royal Bank of Scotland toxic securities abuses 2017 USAO $44,000,000
Societe Generale S.A. Societe Generale toxic securities abuses 2017 USAO $50,000,000
Ally Financial Inc. Ally Financial toxic securities abuses 2016 USAO $52,000,000
Ambac Financial Group et al. Ambac Financial toxic securities abuses 2013 USAO $101,900,000
Barclays Capital, Inc. Barclays toxic securities abuses 2018 USAO $2,000,000,000
Royal Bank of Scotland Group plc Royal Bank of Scotland toxic securities abuses 2018 DOJ_CIVIL $4,900,000,000
Wells Fargo Bank, N.A. Wells Fargo toxic securities abuses 2018 DOJ_CIVIL $2,090,000,000
HSBC HSBC toxic securities abuses 2018 USAO $765,000,000
Barclays Bank PLC Barclays toxic securities abuses 2013 MA-AG $36,100,000
Barclays Capital Inc. Barclays toxic securities abuses 2016 VA-AG $9,000,000
Citigroup Citigroup toxic securities abuses 2008 MA-AG $20,000,000
Citigroup Global Markets Inc. Citigroup toxic securities abuses 2016 VA-AG $4,750,000
Citigroup Inc. Citigroup toxic securities abuses 2014 MULTI-AG (*) $291,750,000
Comerica Bank Comerica toxic securities abuses 2008 MI-AG $110,000
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America toxic securities abuses 2016 VA-AG $19,500,000
Credit Suisse Securities (USA) LLC Credit Suisse toxic securities abuses 2016 VA-AG $1,200,000
DB Structured Products, Inc. Deutsche Bank toxic securities abuses 2013 NV-AG $11,500,000
Deutsche Bank Deutsche Bank toxic securities abuses 2017 MD-AG $95,000,000
Deutsche Bank Securities Inc. Deutsche Bank toxic securities abuses 2016 VA-AG $5,621,897
Goldman Sachs Goldman Sachs toxic securities abuses 2016 MULTI-AG (*) $225,000,000
Goldman, Sachs & Co. Goldman Sachs toxic securities abuses 2016 VA-AG $2,900,000
HSBC Securities (USA) Inc. HSBC toxic securities abuses 2016 VA-AG $2,500,000
J.P. Morgan Chase & Co. JPMorgan Chase toxic securities abuses 2013 CA-AG (*) $298,973,000
JPMorgan Chase JPMorgan Chase toxic securities abuses 2013 MULTI-AG (*) $1,066,000,000
Merrill Lynch Bank of America toxic securities abuses 2009 MA-AG $300,000
Merrill Lynch Bank of America toxic securities abuses 2008 MA-AG $13,700,000
Morgan Stanley Morgan Stanley toxic securities abuses 2016 IL-AG $22,500,000
Morgan Stanley Morgan Stanley toxic securities abuses 2016 NY-AG $550,000,000
Morgan Stanley & Co. Morgan Stanley toxic securities abuses 2010 MA-AG $102,000,000
Morgan Stanley & Co. Morgan Stanley toxic securities abuses 2008 MA-AG $1,500,000
Morgan Stanley & Co. LLC Morgan Stanley toxic securities abuses 2016 VA-AG $6,900,000
Morgan Stanley Mortgage Capital Holdings Morgan Stanley toxic securities abuses 2011 NV-AG $28,200,000
RBS Financial Products Royal Bank of Scotland toxic securities abuses 2012 NV-AG $42,000,000
RBS Financial Products Inc. Royal Bank of Scotland toxic securities abuses 2011 MA-AG $52,000,000
RBS Securities Inc. Royal Bank of Scotland toxic securities abuses 2016 VA-AG $10,000,000
RBS Securities, Inc. Royal Bank of Scotland toxic securities abuses 2016 CT-AG $120,000,000
Royal Bank of Scotland Royal Bank of Scotland toxic securities abuses 2017 CA-AG $125,000,000
Royal Bank of Scotland Royal Bank of Scotland toxic securities abuses 2018 IL-AG $20,000,000
Royal Bank of Scotland Royal Bank of Scotland toxic securities abuses 2018 NY-AG $500,000,000
UBS Financial Services, Inc. and UBS Securities LLC UBS toxic securities abuses 2008 MA-AG $35,000,000
UBS Securities LLC UBS toxic securities abuses 2018 NY-AG $230,000,000
UBS Securities LLC UBS toxic securities abuses 2016 VA-AG $850,000
Wells Fargo Wells Fargo toxic securities abuses 2018 IL-AG $17,250,000
Morgan Keegan & Company Raymond James Financial toxic securities abuses 2013 MULTI-FIN (*) $100,000,000
Farmers Insurance Exchange, Truck Insurance Exchange and Fire Insurance Exchange Farmers Insurance Exchange telecommunications violation 2015 MO-AG $575,000
Deutsche Bank AG Deutsche Bank tax violations 2010 USAO $553,633,153
Bank Julius Baer & Co. Ltd. Julius Baer Group tax violations 2016 DOJ_TAX $547,000,000
Union Bancaire Privee Union Bancaire Privee tax violations 2016 DOJ_TAX $187,000,000
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