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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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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CompanyCurrent ParentPrimary Offense Type sort iconYearAgencyPenalty Amount
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$228,000,000
UBS AGUBSprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$160,000,000
Bank of AmericaBank of Americaprice-fixing or anti-competitive practices2010DOJ_ANTITRUST$137,300,000
BARCLAYS BANK PLCBarclaysprice-fixing or anti-competitive practices2015FED$342,000,000
CiticorpCitigroupprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$925,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$550,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$710,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$395,000,000
UBS AGUBSprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$203,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$775,000,000
Lloyds Banking Group plcLloyds Banking Groupprice-fixing or anti-competitive practices2014DOJ_CRIMINAL$86,000,000
RabobankRabobankprice-fixing or anti-competitive practices2013DOJ_CRIMINAL$325,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2012DOJ_CRIMINAL$160,000,000
CitigroupCitigroupprice-fixing or anti-competitive practices2016CFTC$175,000,000
CitibankCitigroupprice-fixing or anti-competitive practices2016CFTC$250,000,000
BarclaysBarclaysprice-fixing or anti-competitive practices2015CFTC$400,000,000
BarclaysBarclaysprice-fixing or anti-competitive practices2015CFTC$115,000,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2015CFTC$800,000,000
CitibankCitigroupprice-fixing or anti-competitive practices2014CFTC$310,000,000
HSBC BankHSBCprice-fixing or anti-competitive practices2014CFTC$275,000,000
JPMorgan Chase BankJPMorgan Chaseprice-fixing or anti-competitive practices2014CFTC$310,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2014CFTC$290,000,000
UBS AGUBSprice-fixing or anti-competitive practices2014CFTC$290,000,000
Lloyds Banking Group plcLloyds Banking Groupprice-fixing or anti-competitive practices2014CFTC$105,000,000
RabobankRabobankprice-fixing or anti-competitive practices2013CFTC$475,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2013CFTC$325,000,000
UBS AGUBSprice-fixing or anti-competitive practices2012CFTC$700,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2012CFTC$200,000,000
Deutsche Bank Energy Trading LLDeutsche Bankprice-fixing or anti-competitive practices2013FERC$1,670,000
JP Morgan Ventures Energy CorporationJPMorgan Chaseprice-fixing or anti-competitive practices2013FERC$410,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2017FERC$105,000,000
Goldman SachsGoldman Sachsprice-fixing or anti-competitive practices2016CFTC$120,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2017CFTC$85,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2017FED$156,600,000
DB Group Services (UK) LimitedDeutsche Bankprice-fixing or anti-competitive practices2017DOJ_ANTITRUST$150,000,000
BNP Paribas S.A.BNP Paribasprice-fixing or anti-competitive practices2017FED$246,000,000
Deutsche Bank Securities Inc.Deutsche Bankprice-fixing or anti-competitive practices2018CFTC$70,000,000
BNP Paribas USA Inc.BNP Paribasprice-fixing or anti-competitive practices2018DOJ_ANTITRUST$90,000,000
Banc of America Securities LLCBank of Americaprice-fixing or anti-competitive practices2010SEC$36,096,442
BNP Paribas Securities Corp.BNP Paribasprice-fixing or anti-competitive practices2018CFTC$90,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseprice-fixing or anti-competitive practices2018CFTC$65,000,000
Societe Generale S.A.Societe Generaleprice-fixing or anti-competitive practices2018CFTC$475,000,000
Bank of America, N.A.Bank of Americaprice-fixing or anti-competitive practices2018CFTC$30,000,000
ICAP Capital Markets LLCCME Groupprice-fixing or anti-competitive practices2018CFTC$50,000,000
Banca IMI Securities Corp.Intesa Sanpaoloprice-fixing or anti-competitive practices2019DOJ_ANTITRUST$2,000,000
ACE GroupChubb Limitedprice-fixing or anti-competitive practices2011OH-AG$1,970,000
ACE LimitedChubb Limitedprice-fixing or anti-competitive practices2007PA-AG$9,000,000
ACE Group Holdings, Inc.Chubb Limitedprice-fixing or anti-competitive practices2007MULTI-AG$4,500,000
ACE, LtdChubb Limitedprice-fixing or anti-competitive practices2006MULTI-AG$80,000,000
American International GroupAmerican International Groupprice-fixing or anti-competitive practices2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,619,000,000
American International GroupAmerican International Groupprice-fixing or anti-competitive practices2010OH-AG$9,000,000
American International Group, Inc.American International Groupprice-fixing or anti-competitive practices2008MULTI-AG$12,500,000
Aon CorporationAonprice-fixing or anti-competitive practices2005MULTI-AG$190,000,000
Bank of AmericaBank of Americaprice-fixing or anti-competitive practices2010MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $67,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2016MULTI-AG$100,000,000
ChubbChubb Limitedprice-fixing or anti-competitive practices2006MULTI-AG$17,000,000
CitibankCitigroupprice-fixing or anti-competitive practices2018MULTI-AG$100,000,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2017MULTI-AG$220,000,000
E*TradeMorgan Stanleyprice-fixing or anti-competitive practices2012MULTI-AG$100,000
Hartford Financial Services Group, Inc.Hartford Financial Servicesprice-fixing or anti-competitive practices2009CT-AG$1,300,000
Hartford Financial Services Group, Inc.Hartford Financial Servicesprice-fixing or anti-competitive practices2007MULTI-AG$115,000,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinaprice-fixing or anti-competitive practices2019DOJ_ANTITRUST$3,000,000
JPMorgan ChaseJPMorgan Chaseprice-fixing or anti-competitive practices2011MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000
JPMorgan Chase and Co.JPMorgan Chaseprice-fixing or anti-competitive practices2014WV-AG$400,000
Marsh & McLennan Companies, Inc.Marsh & McLennanprice-fixing or anti-competitive practices2005MULTI-AG$850,000,000
Marsh and McLennanMarsh & McLennanprice-fixing or anti-competitive practices2009MULTI-AG$7,000,000
Mastercard International Inc.MasterCardprice-fixing or anti-competitive practices2008WV-AG$6,400,000
Merrill Lynch Commodities Inc.Bank of Americaprice-fixing or anti-competitive practices2019DOJ_CRIMINAL$25,000,000
Royal Bank of CanadaRoyal Bank of Canadaprice-fixing or anti-competitive practices2013WV-AG$175,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2016MULTI-AG$26,750,000
St. Paul TravelersTravelersprice-fixing or anti-competitive practices2006MULTI-AG$77,000,000
TravelersCompanies, Inc.Travelersprice-fixing or anti-competitive practices2007MULTI-AG$6,000,000
UBS AGUBSprice-fixing or anti-competitive practices2018MULTI-AG$68,000,000
UBS AGUBSprice-fixing or anti-competitive practices2011MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,800,000
UBS AGUBSprice-fixing or anti-competitive practices2016WV-AG$325,000
Visa USA Inc.Visaprice-fixing or anti-competitive practices2008WV-AG$6,400,000
Wachovia Bank N.A.Wells Fargoprice-fixing or anti-competitive practices2011MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $58,750,000
Willis Group Holdings Ltd.Willis Towers Watsonprice-fixing or anti-competitive practices2005NY-AG$50,000,000
Zurich American Insurance CompanyZurich Insuranceprice-fixing or anti-competitive practices2006MULTI-AG$171,700,000
Zurich American Insurance CompanyZurich Insuranceprice-fixing or anti-competitive practices2006OH-AG$7,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2018DOJ_CRIMINAL$12,896,011
BGC Financial LPBGC Partnersprice-fixing or anti-competitive practices2019NY-AG$7,500,000
GFI Securities LLCBGC Partnersprice-fixing or anti-competitive practices2019NY-AG$5,000,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2015NY-DFS$600,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2015NY-DFS$485,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2015NY-DFS$150,000,000
BNP Paribas S.A.BNP Paribasprice-fixing or anti-competitive practices2017NY-DFS$350,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2017NY-DFS$135,000,000
Goldman Sachs Group Inc.Goldman Sachsprice-fixing or anti-competitive practices2018NY-DFS$54,750,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2018NY-DFS$205,000,000
Standard Chartered BankStandard Charteredprice-fixing or anti-competitive practices2019NY-DFS$40,000,000
Bank of Nova ScotiaScotiabankprice-fixing or anti-competitive practices2020DOJ_CRIMINAL$60,400,000
Glencore International A.G.Glencoreprice-fixing or anti-competitive practices2022CFTC$1,186,000,000
Stewart Title Guaranty CorporationStewart Information Servicesprice-fixing or anti-competitive practices2022NY-AG$2,500,000
American International Group Inc.American International Groupprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Aon CorporationAonprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.price-fixing or anti-competitive practices2007private lawsuit-federal$28,000,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupprice-fixing or anti-competitive practices2022private lawsuit-federal$35,500,000
Australia and New Zealand Banking Group, Ltd.Australia and New Zealand Banking Groupprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Bank of AmericaBank of Americaprice-fixing or anti-competitive practices2022private lawsuit-federal$26,420,000
Bank of America N.A.Bank of Americaprice-fixing or anti-competitive practices2020private lawsuit-federal$5,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.