Violation Tracker Industry Summary Page
Industry:
financial services
Penalty Total since 2000:
$330,904,834,105
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 Companies | Total Penalty $ | Number of Records |
Bank of America | $82,737,699,939 | 214 |
JPMorgan Chase | $35,744,240,670 | 158 |
Citigroup | $25,450,155,764 | 122 |
Wells Fargo | $21,340,036,745 | 181 |
Deutsche Bank | $18,156,533,878 | 59 |
UBS | $16,792,800,910 | 83 |
Goldman Sachs | $16,365,468,987 | 44 |
Royal Bank of Scotland | $13,455,904,000 | 27 |
BNP Paribas | $12,132,582,950 | 17 |
Credit Suisse | $10,410,557,626 | 32 |
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.
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or
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Company |
Parent |
Primary Offense Type |
Year |
Agency |
Penalty Amount |
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 |
Citigroup Technology Inc |
Citigroup |
wage and hour violation |
2016 |
WHD |
$1,967,689 |
U.S. Bank |
U.S. Bancorp |
wage and hour violation |
2008 |
WHD |
$140,787 |
H & R Block |
H&R Block |
wage and hour violation |
2015 |
WHD |
$257,577 |
Transamerica Life Insurance Company |
Aegon |
wage and hour violation |
2015 |
WHD |
$70,143 |
GUARANTEED RATE, INC. |
Guaranteed Rate Inc. |
wage and hour violation |
2015 |
WHD |
$12,548 |
Download results as 
or
XML (maximum 10,000; for access to larger downloads contact
Phil Mattera)