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
Citizens Republic Bancorp Inc. Huntington Bancshares banking violation 2011 DOJ_RIGHTS $3,600,000
Bank of New York Mellon Bank of New York Mellon banking violation 2015 USAO $714,000,000
Wells Fargo Bank, N.A. Wells Fargo banking violation 2016 OCC $70,000,000
Goldman Sachs Group Goldman Sachs banking violation 2016 FED $36,300,000
Wells Fargo Bank Wells Fargo banking violation 2016 CFPB $100,000,000
Wells Fargo Bank Wells Fargo banking violation 2016 OCC $35,000,000
1ST FINANCIAL BANK USA 1st Financial Bank USA banking violation 2009 FDIC (*) $140,000
AFB&T Synovus Financial banking violation 2009 FDIC $7,040
BANK OF KENTUCKY, INC., THE Truist Financial banking violation 2009 FDIC $30,415
DORAL BANK Doral Financial banking violation 2009 FDIC $38,030
American Express Centurion Bank American Express banking violation 2009 FDIC $250,000
REPUBLIC BANK & TRUST COMPANY Republic Bancorp banking violation 2009 FDIC $22,000
CITIZENS BUSINESS BANK CVB Financial banking violation 2009 FDIC $16,200
WELLS FARGO FINANCIAL BANK Wells Fargo banking violation 2009 FDIC $125,000
CompuCredit Corporation Atlanticus Holdings banking violation 2008 FDIC $116,400,000
BANK OF THE CASCADES First Interstate Bancsystem banking violation 2008 FDIC $43,550
UMPQUA BANK Umpqua Holdings banking violation 2008 FDIC $90,240
CATHAY BANK Cathay General Bancorp banking violation 2008 FDIC $55,500
DORAL BANK Doral Financial banking violation 2007 FDIC $125,000
DORAL BANK Doral Financial banking violation 2007 FDIC $12,000
BUSEY BANK First Busey Corp. banking violation 2006 FDIC $5,200
THE RICHLAND TRUST COMPANY Park National Corp. banking violation 2006 FDIC $11,100
FIRST BANK First Bancorp (North Carolina) banking violation 2004 FDIC $12,000
NEW YORK COMMUNITY BANK New York Community Bancorp banking violation 2004 FDIC $8,000
SCOTIABANK DE PUERTO RICO Scotiabank banking violation 2003 FDIC $8,000
THE COLUMBIA BANK Fulton Financial banking violation 2002 FDIC $7,000
Regions Bank Regions Financial banking violation 2009 FED $135,000
Compass Bank Banco Bilbao Vizcaya Argentaria banking violation 2009 FED $70,625
Heritage Bank of Commerce Heritage Commerce Corp. banking violation 2008 FED $6,840
Capital City Bank Capital City Bank Group banking violation 2007 FED $85,045
Hanmi Bank Hanmi Financial Corp. banking violation 2007 FED $8,835
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
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)