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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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
Fifth Third Bancorp Fifth Third Bancorp accounting fraud or deficiencies 2013 SEC $6,500,000
JPMorgan & Co. JPMorgan Chase accounting fraud or deficiencies 2013 SEC $200,000,000
Capital One Financial Corporation Capital One Financial accounting fraud or deficiencies 2013 SEC $3,500,000
Deutsche Bank Securities Deutsche Bank accounting fraud or deficiencies 2014 CFTC $3,000,000
JPMorgan Chase Bank JPMorgan Chase accounting fraud or deficiencies 2012 CFTC $20,000,000
INTL FCStone StoneX Group accounting fraud or deficiencies 2016 SEC $150,000
KeyBanc Capital Markets Inc. KeyCorp accounting fraud or deficiencies 2016 SEC $175,000
Ocwen Financial Corp. Ocwen Financial accounting fraud or deficiencies 2016 SEC $2,000,000
First Bancorp First Bancorp (North Carolina) accounting fraud or deficiencies 2015 SEC $275,000
Hampton Roads Bankshares Atlantic Union Bankshares accounting fraud or deficiencies 2014 SEC $200,000
Wilmington Trust M&T Bank accounting fraud or deficiencies 2014 SEC $18,500,000
Assurant Inc. Assurant accounting fraud or deficiencies 2010 SEC $3,500,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2006 DOJ_CRIMINAL $25,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2004 DOJ_CRIMINAL $80,000,000
PNC ICLC Corp. PNC Financial Services accounting fraud or deficiencies 2003 DOJ_CRIMINAL $115,000,000
Zurich Financial Services Zurich Insurance accounting fraud or deficiencies 2008 SEC $25,000,000
First BanCorp First Bancorp (Puerto Rico) accounting fraud or deficiencies 2007 SEC $8,500,000
The BISYS Group Citigroup accounting fraud or deficiencies 2007 SEC $25,000,000
RenaissanceRe Holdings Ltd. RenaissanceRe Holdings accounting fraud or deficiencies 2007 SEC $15,000,000
MBIA Inc. MBIA accounting fraud or deficiencies 2007 SEC $50,000,000
Doral Financial Corporation Doral Financial accounting fraud or deficiencies 2006 SEC $25,000,000
Federal National Mortgage Association (Fannie Mae) Fannie Mae accounting fraud or deficiencies 2006 SEC $400,000,000
Huntington Bancshares, Inc. Huntington Bancshares accounting fraud or deficiencies 2005 SEC $7,500,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce accounting fraud or deficiencies 2003 SEC $80,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2003 SEC $10,000,000
Citigroup, Inc. Citigroup accounting fraud or deficiencies 2003 SEC $101,000,000
Citigroup, Inc. Citigroup accounting fraud or deficiencies 2003 SEC $19,000,000
J.P. Morgan Chase & Co. JPMorgan Chase accounting fraud or deficiencies 2003 SEC $135,000,000
Merrill Lynch & Co. Inc. Bank of America accounting fraud or deficiencies 2003 SEC $80,000,000
Park National Corporation Park National Corp. accounting fraud or deficiencies 2016 SEC $500,000
Credit Suisse AG Credit Suisse accounting fraud or deficiencies 2016 SEC $90,000,000
HomeStreet Inc HomeStreet Inc. accounting fraud or deficiencies 2017 SEC $500,000
Citigroup Citigroup accounting fraud or deficiencies 2018 SEC $10,500,000
Mercer Marsh & McLennan accounting fraud or deficiencies 2010 AK-AG $500,000,000
Citigroup, Inc. Citigroup accounting fraud or deficiencies 2003 NY-MANDA $25,000,000
J.P. Morgan Chase & Co. JPMorgan Chase accounting fraud or deficiencies 2003 NY-MANDA $25,000,000
TIAA-CREF Individual & Institutional Services LLC TIAA accounting fraud or deficiencies 2021 SEC $97,000,000
Wells Fargo & Company Wells Fargo Americans with Disabilities Act 2011 DOJ_RIGHTS $16,055,000
Bank of America, N.A. Bank of America Americans with Disabilities Act 2020 DOJ_RIGHTS $300,000
Gibraltar Private Bank and Trust Company Gibraltar Private Bank and Trust anti-money-laundering deficiencies 2016 FINCEN $4,000,000
Oppenheimer & Co., Inc. Oppenheimer Holdings anti-money-laundering deficiencies 2015 FINCEN $20,000,000
J.P. Morgan Chase Bank, N.A. JPMorgan Chase anti-money-laundering deficiencies 2014 FINCEN $461,000,000
Wachovia Bank Wells Fargo anti-money-laundering deficiencies 2010 FINCEN $110,000,000
HSBC Holdings plc HSBC Bank USA N.A. HSBC anti-money-laundering deficiencies 2012 DOJ_CRIMINAL $1,256,000,000
MoneyGram International Inc. MoneyGram International anti-money-laundering deficiencies 2012 DOJ_CRIMINAL $100,000,000
JPMorgan Chase Bank JPMorgan Chase anti-money-laundering deficiencies 2014 USAO $1,700,000,000
Lebanese Canadian Bank Lebanese Canadian Bank anti-money-laundering deficiencies 2013 USAO $102,000,000
American Express Bank International American Express anti-money-laundering deficiencies 2007 DOJ_CRIMINAL $55,000,000
BankAtlantic Truist Financial anti-money-laundering deficiencies 2006 DOJ_CRIMINAL $10,000,000
Riggs Bank National Association PNC Financial Services anti-money-laundering deficiencies 2004 OCC $25,000,000
Israel Discount Bank Israel Discount Bank anti-money-laundering deficiencies 2006 FINCEN $12,000,000
Oppenheimer & Company, Inc. Oppenheimer Holdings anti-money-laundering deficiencies 2005 FINCEN $2,800,000
AmSouth Regions Financial anti-money-laundering deficiencies 2004 FINCEN $10,000,000
Western Union Company Western Union anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $586,000,000
Deutsche Bank AG Deutsche Bank anti-money-laundering deficiencies 2017 FED $41,000,000
Banamex USA Citigroup anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $97,440,000
Banco Popular de Puerto Rico Popular Inc. anti-money-laundering deficiencies 2003 DOJ_CRIMINAL $21,600,000
M&T Bank M&T Bank anti-money-laundering deficiencies 2014 USAO $560,000
Wachovia Bank N.A. Wells Fargo anti-money-laundering deficiencies 2010 USAO $50,000,000
The Bank of New York Bank of New York Mellon anti-money-laundering deficiencies 2005 USAO $38,000,000
Riggs Bank PNC Financial Services anti-money-laundering deficiencies 2005 USAO $16,000,000
Citibank N.A. Citigroup anti-money-laundering deficiencies 2018 OCC $70,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America anti-money-laundering deficiencies 2017 SEC $13,000,000
Wells Fargo Advisors, LLC Wells Fargo anti-money-laundering deficiencies 2017 SEC $3,500,000
Rabobank National Association Rabobank anti-money-laundering deficiencies 2018 DOJ_CRIMINAL $368,701,259
U.S. Bancorp U.S. Bancorp anti-money-laundering deficiencies 2018 USAO $453,000,000
Rabobank, National Association Rabobank anti-money-laundering deficiencies 2018 OCC $50,000,000
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 OCC $75,000,000
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 FINCEN $70,000,000
Rabobank N.A. Rabobank anti-money-laundering deficiencies 2018 USAO $500,000
MoneyGram International Inc. MoneyGram International anti-money-laundering deficiencies 2018 DOJ_CRIMINAL $125,000,000
Capital One Bank (USA), National Association Capital One Financial anti-money-laundering deficiencies 2018 OCC $100,000,000
UBS Financial Services Inc. UBS anti-money-laundering deficiencies 2018 FINCEN $5,000,000
Western Union Financial Services, Inc. Western Union anti-money-laundering deficiencies 2010 MULTI-AG $94,000,000
Bank of America Corp. Bank of America anti-money-laundering deficiencies 2006 NY-MANDA $7,500,000
Israel Discount Bank of New York Israel Discount Bank anti-money-laundering deficiencies 2005 NY-MANDA $8,500,000
Bank Hapoalim B.M. Bank Hapoalim anti-money-laundering deficiencies 2020 DOJ_CRIMINAL $30,063,317
Industrial Bank of Korea Industrial Bank of Korea anti-money-laundering deficiencies 2020 USAO $51,000,000
U.S. Trust Corporation Bank of America anti-money-laundering deficiencies 2001 NY-DFS $5,000,000
Western Union Financial Services, Inc. Western Union anti-money-laundering deficiencies 2002 NY-DFS $8,000,000
Israel Discount Bank of New York Israel Discount Bank anti-money-laundering deficiencies 2006 NY-DFS $6,000,000
Standard Chartered Bank Standard Chartered anti-money-laundering deficiencies 2012 NY-DFS $340,000,000
Standard Chartered Bank Standard Chartered anti-money-laundering deficiencies 2014 NY-DFS $300,000,000
Agricultural Bank of China Agricultural Bank of China anti-money-laundering deficiencies 2016 NY-DFS $215,000,000
Intesa Sanpaolo S.p.A. Intesa Sanpaolo anti-money-laundering deficiencies 2016 NY-DFS $235,000,000
Deutsche Bank AG Deutsche Bank anti-money-laundering deficiencies 2017 NY-DFS $425,000,000
Western Union Western Union anti-money-laundering deficiencies 2018 NY-DFS $60,000,000
Industrial Bank of Korea Industrial Bank of Korea anti-money-laundering deficiencies 2020 NY-DFS $35,000,000
Interactive Brokers LLC Interactive Brokers Group anti-money-laundering deficiencies 2020 CFTC $12,206,214
Capital One, National Association Capital One Financial anti-money-laundering deficiencies 2021 FINCEN $290,000,000
Interactive Brokers LLC Interactive Brokers Group anti-money-laundering deficiencies 2020 FINRA $15,000,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. BNP Paribas anti-money-laundering deficiencies 2019 FINRA $15,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley anti-money-laundering deficiencies 2018 FINRA $10,000,000
UBS Financial Services Inc. and UBS Securities LLC UBS anti-money-laundering deficiencies 2018 FINRA $5,000,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China anti-money-laundering deficiencies 2018 FINRA $5,300,000
Credit Suisse Securities (USA) LLC Credit Suisse anti-money-laundering deficiencies 2016 FINRA $16,500,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial anti-money-laundering deficiencies 2016 FINRA $17,000,000
Wells Fargo Advisors and Wells Fargo Advisors Financial Network Wells Fargo anti-money-laundering deficiencies 2014 FINRA $1,500,000
Brown Brothers Harriman & Co. Brown Brothers Harriman anti-money-laundering deficiencies 2014 FINRA $8,000,000
Oppenheimer and Co., Inc. Oppenheimer Holdings anti-money-laundering deficiencies 2013 FINRA $1,425,000
Scottrade Charles Schwab Corp. anti-money-laundering deficiencies 2009 FINRA $600,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)