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
IMTT BAYONNE Macquarie railroad safety violation 2014 FRA $5,000
International Matex Tank Terminals Macquarie railroad safety violation 2009 FRA $8,000
International Matex Tank Terminals Macquarie railroad safety violation 2009 FRA $8,000
International Matex Tank Terminals Macquarie railroad safety violation 2009 FRA $18,200
International Matex Tank Terminals Macquarie railroad safety violation 2011 FRA $7,500
International Matex Tank Terminals Macquarie railroad safety violation 2012 FRA $8,000
International Matex Tank Terminals Macquarie railroad safety violation 2012 FRA $12,000
Noble Americas Corp. Vitol railroad safety violation 2012 FRA $15,000
Peter Cremer Company Cremer railroad safety violation 2011 FRA $5,000
Peter Cremer Company Cremer railroad safety violation 2013 FRA $8,000
Xstrata Copper Glencore railroad safety violation 2011 FRA $7,500
Xstrata Copper Glencore railroad safety violation 2012 FRA $12,000
IMTT, INC. Macquarie railroad safety violation 2015 FRA $7,500
IMTT BAYONNE Macquarie railroad safety violation 2008 FRA $5,625
IMTT BAYONNE Macquarie railroad safety violation 2008 FRA $7,500
INTERNATIONAL MATEX TANK TERMINALS Macquarie railroad safety violation 2008 FRA $9,500
INTERNATIONAL MATEX TANK TERMINALS Macquarie railroad safety violation 2008 FRA $8,000
INTERNATIONAL MATEX TANK TERMINALS Macquarie railroad safety violation 2008 FRA $8,000
INTERNATIONAL MATEX TANK TERMINALS Macquarie railroad safety violation 2008 FRA $10,500
IMTT BAYONNE Macquarie railroad safety violation 2016 FRA $8,000
IMTT BAYONNE Macquarie railroad safety violation 2016 FRA $8,000
Louis Dreyfus Company LLC Louis Dreyfus railroad safety violation 2016 FRA $6,000
IMTT Bayonne Macquarie railroad safety violation 2003 FRA $5,000
International Matex Tank Terminals Macquarie railroad safety violation 2002 FRA $9,750
International Matex Tank Terminals Macquarie railroad safety violation 2006 FRA $5,000
International Matex Tank Terminals Macquarie railroad safety violation 2007 FRA $5,250
International Matex Tank Terminals Macquarie railroad safety violation 2007 FRA $14,000
International Matex Tank Terminals Macquarie railroad safety violation 2017 FRA $9,150
International Matex Tank Terminals Macquarie railroad safety violation 2017 FRA $8,250
Louis Dreyfus Company LLC Louis Dreyfus railroad safety violation 2017 FRA $8,250
LANSING TRADE GROUP Lansing Trade Group railroad safety violation 2017 FRA $5,000
Louis Dreyfus Company LLC Louis Dreyfus railroad safety violation 2018 FRA $6,000
Noble Americas Corporation Vitol railroad safety violation 2017 FRA $6,500
IMTT Bayonne Macquarie railroad safety violation 2020 FRA $6,900
IMTT Bayonne Macquarie railroad safety violation 2020 FRA $6,900
IMTT Bayonne Macquarie railroad safety violation 2020 FRA $6,900
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America securities issuance or trading violation 2018 FINRA $5,990,530
Santander Consumer USA Inc. Banco Santander Servicemembers Civil Relief Act 2015 DOJ_RIGHTS $9,350,000
Capital One N.A. Capital One Financial Servicemembers Civil Relief Act 2012 DOJ_RIGHTS $12,000,000
HSBC Finance Corporation HSBC Servicemembers Civil Relief Act 2016 DOJ_RIGHTS $434,500
Wells Fargo Bank N.A. Wells Fargo Servicemembers Civil Relief Act 2016 DOJ_RIGHTS $4,100,000
Wells Fargo Bank N.A., d/b/a Wells Fargo Dealer Services Wells Fargo Servicemembers Civil Relief Act 2017 DOJ_RIGHTS $5,400,000
CitiFinancial Credit Company Citigroup Servicemembers Civil Relief Act 2017 DOJ_RIGHTS $907,000
Wells Fargo Bank, National Association Wells Fargo Servicemembers Civil Relief Act 2016 OCC $20,000,000
PHH Mortgage Corporation Ocwen Financial Servicemembers Civil Relief Act 2019 DOJ_RIGHTS $750,000
Deutsche Bank AG Deutsche Bank tax violations 2010 USAO $553,633,153
Bank Julius Baer & Co. Ltd. Julius Baer Group tax violations 2016 DOJ_TAX $547,000,000
Union Bancaire Privee Union Bancaire Privee tax violations 2016 DOJ_TAX $187,000,000
Coutts & Co Ltd NatWest Group PLC tax violations 2015 DOJ_TAX $78,484,000
Credit Agricole (Suisse) SA Credit Agricole tax violations 2015 DOJ_TAX $99,211,000
Deutsche Bank (Suisse) SA Deutsche Bank tax violations 2015 DOJ_TAX $31,026,000
BNP Paribas (Suisse) SA BNP Paribas tax violations 2015 DOJ_TAX $59,783,000
Standard Chartered Bank (Switzerland) SA, en liquidation Standard Chartered tax violations 2015 DOJ_TAX $6,337,000
BBVA Suiza S.A. Banco Bilbao Vizcaya Argentaria tax violations 2015 DOJ_TAX $10,390,000
Societe Generale Private Banking (Suisse) SA Societe Generale tax violations 2015 DOJ_TAX $17,807,000
Societe Generale Private Banking (Lugano-Svizzera) Societe Generale tax violations 2015 DOJ_TAX $1,363,000
BSI SA BSI SA tax violations 2015 DOJ_TAX $211,000,000
Bank Leumi Group Bank Leumi tax violations 2014 DOJ_TAX $270,000,000
Credit Suisse AG Credit Suisse tax violations 2014 DOJ_TAX $1,800,000,000
Wegelin & Co Wegelin & Co tax violations 2013 DOJ_TAX $74,000,000
UBS AG UBS tax violations 2009 DOJ_TAX $780,000,000
UBS AG UBS tax violations 2009 SEC $200,000,000
Louis Dreyfus Commodities Grand Junction LLC Louis Dreyfus tax violations 2017 ATTTB $14,000
Deutsche Bank Deutsche Bank tax violations 2017 USAO $95,000,000
Zurich Life Insurance Company Ltd Zurich Insurance tax violations 2019 DOJ_TAX $5,115,000
American Express Centurion Bank American Express tax violations 2012 CT-AG $14,970
American International Group, Inc. American International Group tax violations 2006 MI-AG $5,279,484
Brown & Brown Insurance of Arizona, Inc. Brown & Brown tax violations 2014 CT-AG $37,650
John Hancock Assignment Co. Manulife Financial tax violations 2014 CT-AG $38,910
Pacific Resources Benefits Advisors, LLC Brown & Brown tax violations 2014 CT-AG $5,400
Pioneer Credit Recovery, Inc. Navient tax violations 2013 CT-AG $12,255
HSBC Private Bank (Suisse) SA HSBC tax violations 2019 USAO $192,350,000
Union Bancaire Privee, UBP SA Union Bancaire Privee tax violations 2020 DOJ_TAX $14,000,000
Coutts & Co Ltd. NatWest Group PLC tax violations 2019 DOJ_TAX $27,900,000
Bank Hapoalim B.M, Bank Hapoalim tax violations 2020 FED $37,350,000
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd. Bank Hapoalim tax violations 2020 DOJ_TAX $616,910,000
Credit Suisse AG Credit Suisse tax violations 2014 NY-DFS $715,000,000
Bank Leumi Bank Leumi tax violations 2014 NY-DFS $130,000,000
Bank Hapoalim B.M. Bank Hapoalim tax violations 2020 NY-DFS $220,000,000
Swiss Life Holding AG et al. Swiss Life Group tax violations 2021 DOJ_TAX $77,374,337
Farmers Insurance Exchange, Truck Insurance Exchange and Fire Insurance Exchange Farmers Insurance Exchange telecommunications violation 2015 MO-AG $575,000
Morgan Stanley & Co. LLC Morgan Stanley toxic securities abuses 2016 FDIC $62,950,000
Goldman Sachs Goldman Sachs toxic securities abuses 2016 DOJ $5,060,000,000
Morgan Stanley Morgan Stanley toxic securities abuses 2016 DOJ $2,600,000,000
Citigroup Inc. Citigroup toxic securities abuses 2014 DOJ $7,000,000,000
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. NatWest Group PLC 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
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)