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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$331,558,339,161
Number of Records: 
6,166
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$82,764,013,078219
JPMorgan Chase$35,819,302,225162
Citigroup$25,454,366,764125
Wells Fargo$21,358,750,745184
Deutsche Bank$18,286,625,30261
UBS$16,792,860,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,473,904,00028
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
American Express Travel Related Services Co., Inc. American Express economic sanction violation 2007 OFAC $16,625
National Australia Bank Ltd. National Australia Bank economic sanction violation 2007 OFAC $100,000
Wachovia Bank Wells Fargo economic sanction violation 2007 OFAC $11,000
ABN AMRO Bank, N.V. ABN AMRO economic sanction violation 2006 OFAC $40,000,000
Bank of China Bank of China economic sanction violation 2005 OFAC $11,000
Fidelity Brokerage Services, Inc. dba Fidelity Investments Fidelity Investments economic sanction violation 2005 OFAC $63,853
PNC Bank PNC Financial Services economic sanction violation 2005 OFAC $8,200
Seabury & Smith Inc. Marsh & McLennan economic sanction violation 2005 OFAC $46,341
SunTrust Bank Truist Financial economic sanction violation 2005 OFAC $40,423
SunTrust Bank Truist Financial economic sanction violation 2005 OFAC $30,800
The Bank of New York Bank of New York Mellon economic sanction violation 2005 OFAC $5,844
Wachovia Bank Wells Fargo economic sanction violation 2005 OFAC $5,500
Wells Fargo Bank Wells Fargo economic sanction violation 2005 OFAC $42,833
ABN AMRO Bank, Inc ABN AMRO economic sanction violation 2004 OFAC $25,847
American Express American Express economic sanction violation 2004 OFAC $18,391
American Express Bank Ltd. American Express economic sanction violation 2004 OFAC $5,041
American Express Company American Express economic sanction violation 2004 OFAC $5,500
Arab Banking Corp. Arab Banking Corp. economic sanction violation 2004 OFAC $5,500
Bank of America Bank of America economic sanction violation 2004 OFAC $13,573
Bank of China Bank of China economic sanction violation 2004 OFAC $10,000
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $137,500
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $34,623
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $27,500
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $5,500
Bank One JPMorgan Chase economic sanction violation 2004 OFAC $5,500
Bank One JPMorgan Chase economic sanction violation 2004 OFAC $6,682
Barclays Bank PLC Barclays economic sanction violation 2004 OFAC $14,970
California United Bank PacWest Bancorp economic sanction violation 2004 OFAC $7,250
Citibank Citigroup economic sanction violation 2004 OFAC $5,500
Citicorp Vendor Finance Ltd Citigroup economic sanction violation 2004 OFAC $7,379
Commerzbank AG Commerzbank economic sanction violation 2004 OFAC $5,500
Deutsche Bank Deutsche Bank economic sanction violation 2004 OFAC $5,500
First Union Bank Wells Fargo economic sanction violation 2004 OFAC $18,740
Hanmi Bank Hanmi Financial Corp. economic sanction violation 2004 OFAC $7,000
HSBC Bank USA HSBC economic sanction violation 2004 OFAC $5,500
HSBC Bank USA HSBC economic sanction violation 2004 OFAC $8,375
JP Morgan Chase JPMorgan Chase economic sanction violation 2004 OFAC $26,980
JP Morgan Chase & Co. JPMorgan Chase economic sanction violation 2004 OFAC $17,303
JP Morgan Chase & Co. JPMorgan Chase economic sanction violation 2004 OFAC $73,281
JP Morgan Chase Bank JPMorgan Chase economic sanction violation 2004 OFAC $9,748
JP Morgan Chase Bank JPMorgan Chase economic sanction violation 2004 OFAC $18,094
Mellon Bank N.A. Bank of New York Mellon economic sanction violation 2004 OFAC $10,400
Merrill Lynch, Pierce, Fenner & Smith, Inc Bank of America economic sanction violation 2004 OFAC $22,904
Ruesch International, Inc. Western Union economic sanction violation 2004 OFAC $7,811
Santander Bank & Trust (Bahamas) Ltd Banco Santander economic sanction violation 2004 OFAC $20,000
Wachovia Bank Wells Fargo economic sanction violation 2004 OFAC $11,000
Bank of America Bank of America economic sanction violation 2003 OFAC $158,038
Bank of New York Bank of New York Mellon economic sanction violation 2003 OFAC $24,750
Barclays Bank PLC Barclays economic sanction violation 2003 OFAC $10,107
Credit Lyonnais, NY Credit Agricole economic sanction violation 2003 OFAC $5,500
Deutsche Bank A.G. Deutsche Bank economic sanction violation 2003 OFAC $5,500
Guy Carpenter & Company, Inc Marsh & McLennan economic sanction violation 2003 OFAC $50,000
HSBC Bank USA HSBC economic sanction violation 2003 OFAC $5,500
HSBC Bank USA HSBC economic sanction violation 2003 OFAC $11,000
National City Bank PNC Financial Services economic sanction violation 2003 OFAC $5,500
Northern Trust, IBC Northern Trust economic sanction violation 2003 OFAC $18,027
Societe Generale Societe Generale economic sanction violation 2003 OFAC $6,600
Societe Generale Societe Generale economic sanction violation 2003 OFAC $11,000
State Street Bank & Trust Co State Street Corp. economic sanction violation 2003 OFAC $22,000
UBS (USA) Inc UBS economic sanction violation 2003 OFAC $14,750
UBS (USA) Inc UBS economic sanction violation 2003 OFAC $5,000
Wells Fargo Bank Wells Fargo economic sanction violation 2003 OFAC $5,500
Toronto-Dominion Bank Toronto-Dominion Bank economic sanction violation 2017 OFAC $516,105
American International Group American International Group economic sanction violation 2017 OFAC $148,698
American Express American Express economic sanction violation 2017 OFAC $204,277
Credit Agricole Corporate and Investment Bank (CACIB) Credit Agricole economic sanction violation 2015 USAO $156,000,000
Societe Generale S.A. Societe Generale economic sanction violation 2018 FED $81,300,000
Societe Generale S.A. Societe Generale economic sanction violation 2018 USAO $717,200,000
Societe Generale S.A. Societe Generale economic sanction violation 2018 OFAC $53,966,916
JPMorgan Chase Bank, N.A. JPMorgan Chase economic sanction violation 2018 OFAC $5,263,171
UniCredit Group UniCredit economic sanction violation 2019 DOJ_CRIMINAL $413,536,632
Standard Chartered Bank Standard Chartered economic sanction violation 2019 DOJ_CRIMINAL $292,210,160
Western Union Financial Services, Inc. Western Union economic sanction violation 2019 OFAC $401,697
UniCredit Bank AG UniCredit economic sanction violation 2019 OFAC (*) $553,380,759
UniCredit Bank Austria AG UniCredit economic sanction violation 2019 OFAC (*) $20,326,340
UniCredit S.p.A. UniCredit economic sanction violation 2019 OFAC (*) $37,316,322
Standard Chartered Bank Standard Chartered economic sanction violation 2019 OFAC (*) $657,040,033
Citigroup Inc. Citigroup economic sanction violation 2014 OFAC $217,841
Branch Banking & Trust Co. Truist Financial economic sanction violation 2014 OFAC $19,125
American International Group, Inc. American International Group economic sanction violation 2014 OFAC $279,038
HSBC Bank USA, N.A. HSBC economic sanction violation 2013 OFAC $32,400
Compass Bank Banco Bilbao Vizcaya Argentaria economic sanction violation 2013 OFAC $19,125
Deutsche Bank Trust Company Americas Deutsche Bank economic sanction violation 2013 OFAC $19,800
American Express Travel Related Services Company, Inc. American Express economic sanction violation 2013 OFAC $5,226,120
Intesa Sanpaolo S.p.A. Intesa Sanpaolo economic sanction violation 2013 OFAC $2,949,030
Wells Fargo Bank, N.A. Wells Fargo economic sanction violation 2013 OFAC $23,937
Commerzbank AG Commerzbank economic sanction violation 2011 OFAC $175,500
Societe Generale Societe Generale economic sanction violation 2011 OFAC $111,259
McGriff, Seibels & Williams of Texas, Inc. Truist Financial economic sanction violation 2011 OFAC $122,408
Metropolitan Life Insurance Company MetLife economic sanction violation 2011 OFAC $22,500
Discover Financial Services Discover Financial Services economic sanction violation 2010 OFAC $8,720
Wells Fargo Bank, N.A Wells Fargo economic sanction violation 2010 OFAC $67,500
Compass Bank Banco Bilbao Vizcaya Argentaria economic sanction violation 2010 OFAC $607,500
UniCredit Bank AG UniCredit economic sanction violation 2019 NY-MANDA $316,000,000
UniCredit Bank Austria AG UniCredit economic sanction violation 2019 NY-MANDA $20,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2019 NY-MANDA $292,000,000
Societe Generale Societe Generale economic sanction violation 2018 NY-MANDA $162,800,000
Credit Agricole Corporate and Investment Bank Credit Agricole economic sanction violation 2015 NY-MANDA $156,000,000
Commerzbank AG Commerzbank economic sanction violation 2015 NY-MANDA (*) $171,000,000
BNP Paribas S.A. BNP Paribas economic sanction violation 2014 NY-MANDA (*) $2,243,400,000
HSBC Holdings plc HSBC economic sanction violation 2012 NY-MANDA (*) $187,500,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)