« Return to search form

Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$325,206,110,617
Number of Records: 
5,976
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$82,700,046,034213
JPMorgan Chase$34,530,243,993154
Citigroup$25,045,655,764120
Wells Fargo$21,199,943,231179
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,582,95017
Credit Suisse$10,409,957,62631


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 INTL FCStone 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 Union Bankshares Corp. 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
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
ASI SERVICES Progressive aviation safety violation 2015 FAA $17,000
ASI SERVICES Progressive aviation safety violation 2015 FAA $27,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2007 FAA $7,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2005 FAA $5,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2005 FAA $90,000
TIAA-CREF TIAA aviation safety violation 2015 FAA $7,500
Hudson City Savings Bank M&T Bank banking violation 2015 CFPB $32,750,000
National City Bank and its successor PNC Bank PNC Financial Services banking violation 2013 CFPB $35,000,000
U.S. Bank U.S. Bancorp banking violation 2013 CFPB $3,200,000
WEX Bank and Higher One, Inc. WEX Inc. banking violation 2015 FDIC $34,980,000
Citizens Bank Citizens Financial Group banking violation 2015 FDIC $8,800,000
Banamex USA Citigroup banking violation 2015 FDIC $140,000,000
Sallie Mae Bank SLM Corp. banking violation 2014 FDIC $93,300,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)