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
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. NatWest Group PLC 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 NatWest Group PLC 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 NatWest Group PLC toxic securities abuses 2017 FHFA $5,500,000,000
RBS Securities Inc. NatWest Group PLC 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 NatWest Group PLC 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 NatWest Group PLC toxic securities abuses 2012 NV-AG $42,000,000
RBS Financial Products Inc. NatWest Group PLC toxic securities abuses 2011 MA-AG $52,000,000
RBS Securities Inc. NatWest Group PLC toxic securities abuses 2016 VA-AG $10,000,000
RBS Securities, Inc. NatWest Group PLC toxic securities abuses 2016 CT-AG $120,000,000
Royal Bank of Scotland NatWest Group PLC toxic securities abuses 2017 CA-AG $125,000,000
Royal Bank of Scotland NatWest Group PLC toxic securities abuses 2018 IL-AG $20,000,000
Royal Bank of Scotland NatWest Group PLC 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
RBS Financial Products, Inc. NatWest Group PLC toxic securities abuses 2020 MD-AG $18,000,000
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
Prospect Mortgage Homebridge Financial Services wage and hour violation 2015 WHD $211,237
Bank of the West BNP Paribas wage and hour violation 2015 WHD $33,750
BancFirst Insurance Services, Inc. BancFirst wage and hour violation 2014 WHD $20,229
H & R Block H&R Block wage and hour violation 2014 WHD $128,872
H&R Block Eastern Enterprises Inc H&R Block wage and hour violation 2014 WHD $24,928
National Life Insurance Company National Life Group wage and hour violation 2014 WHD $32,087
TMX Finance, LLC TMX Finance wage and hour violation 2014 WHD $10,057
Highmark, Inc Highmark Inc. wage and hour violation 2014 WHD $120,900
The Huntington National Bank Huntington Bancshares wage and hour violation 2013 WHD $32,553
Chemoil Corporation Glencore wage and hour violation 2013 WHD $16,594
UBS, Inc. UBS wage and hour violation 2013 WHD $90,902
MetLife, Inc. MetLife wage and hour violation 2013 WHD $24,296
United American Insurance Company Globe Life Inc. wage and hour violation 2012 WHD $19,791
Ace Cash Express, Inc. ACE Cash Express wage and hour violation 2012 WHD $18,852
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)