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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 Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
U.S. Bank National AssociationU.S. Bancorpdiscriminatory practices (non-employment)2014HUD$11,489
U.S. Bank National AssociationU.S. Bancorpdiscriminatory practices (non-employment)2013HUD$12,000
U.S. Bank, National AssociationU.S. Bancorpmortgage abuses2011HUD$1,200,000
U.S. BankU.S. Bancorpwage and hour violation2008WHD$140,787
U.S. BancorpU.S. Bancorpwage and hour violation2006WHD$140,788
U.S. Bank National AssociationU.S. Bancorpbanking violation2017OCC$15,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2017OCC$183,920
U.S. BancorpU.S. Bancorpmortgage abuses2018FED$4,400,000
U.S. Bank Municipal Securities GroupU.S. Bancorpinvestor protection violation2015SEC$60,000
US BancorpU.S. Bancorpbanking violation2018FED$15,000,000
U.S. BancorpU.S. Bancorpanti-money-laundering deficiencies2018USAO$453,000,000
U.S. Bank National AssociationU.S. Bancorpanti-money-laundering deficiencies2018OCC$75,000,000
U.S. Bank National AssociationU.S. Bancorpanti-money-laundering deficiencies2018FINCEN$70,000,000
US BANKU.S. Bancorpwage and hour violation2014IL-DOL$131,922
U.S. BancorpU.S. Bancorpwage and hour violation2017private lawsuit-federal$7,000,000
U.S. BancorpU.S. Bancorpwage and hour violation2017private lawsuit-federal$1,150,000
U.S. BankU.S. Bancorpwage and hour violation2015private lawsuit-federal$3,031,075
U.S. BancorpU.S. Bancorpwage and hour violation2014private lawsuit-federal$6,450,000
Union BankU.S. Bancorpwage and hour violation2012private lawsuit-federal$3,500,000
U.S. Bank National AssociationU.S. Bancorpinvestor protection violation2005SEC$500,000
U.S. Bank Pension PlanU.S. Bancorpbenefit plan administrator violation2012private lawsuit-federal$9,600,000
MUFG Securities Americas Inc.U.S. Bancorpinvestor protection violation2018SEC$1,400,000
MUFG Union Bank, National AssociationU.S. Bancorpbanking violation2019OCC$109,667
U.S. BancorpU.S. Bancorpconsumer protection violation2005CA-AG$2,600,000
US BankU.S. Bancorpprivacy violation2000MULTI-AG$2,000,000
US Bank NAU.S. Bancorpconsumer protection violation2003NY-AG$33,500
US BankU.S. Bancorphousing code violation2016CA-LACA$13,500,000
U.S. Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2020SEC$15,992,441
MUFG Bank Ltd.U.S. Bancorpbanking violation2019NY-DFS$33,000,000
U.S. Bank National AssociationU.S. Bancorpwage and hour violation2020private lawsuit-federal$6,500,000
U.S. BancorpU.S. Bancorpdiscriminatory practices (non-employment)2005private lawsuit-federal$2,495,000
U.S. Bank National AssociationU.S. Bancorpmortgage abuses2020DOJ_UTP$29,000,000
U.S. BankU.S. Bancorpprivacy violation2019private lawsuit-federal$2,670,336
US Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2010FINRA$275,000
U.S. BankU.S. Bancorpconsumer protection violation2021MA-AG$230,000
U.S. BankU.S. Bancorpbanking violation2022CFPB$37,500,000
MUFG Bank Ltd.U.S. Bancorpprice-fixing or anti-competitive practices2020private lawsuit-federal$985,000
MUFG Bank, Ltd.U.S. Bancorpprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
U.S. Bank NAU.S. Bancorpconsumer protection violation2016private lawsuit-federal$14,050,000
U.S. Bank NAU.S. Bancorpconsumer protection violation2015private lawsuit-federal$44,500,000
U.S. Bank NAU.S. Bancorpconsumer protection violation2015private lawsuit-federal$34,500,000
U.S. Bank National AssociationU.S. Bancorpconsumer protection violation2015private lawsuit-federal$6,000,000
Union Bank N.A.U.S. Bancorpconsumer protection violation2012private lawsuit-federal$35,000,000
US Bank N.A.U.S. Bancorpconsumer protection violation2014private lawsuit-federal$55,000,000
MUFG Union Bank, National AssociationU.S. Bancorpbanking violation2023OCC$15,000,000
MUFG Bank, Ltd.U.S. Bancorpprice-fixing or anti-competitive practices2023private lawsuit-federal$750,000
MUFG Bank, Ltd.U.S. Bancorpprice-fixing or anti-competitive practices2023private lawsuit-federal$30,000,000
U.S. BankU.S. Bancorpconsumer protection violation2023CFPB$20,700,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2023OCC$15,000,000
U.S. Bancorp Investments Inc.U.S. Bancorpinvestor protection violation2024SEC$8,000,000
MUFG BANK, LTD.U.S. Bancorpbanking violation2024CT-BKG$10,000
U.S. BANCORP DBA US BANK MT. VERNON IL OFFICEU.S. Bancorpworkplace safety or health violation2015OSHA$8,775
Trustmark National BankTrustmarkbanking violation2012OCC$6,250
Trustmark National BankTrustmarkdiscriminatory practices (non-employment)2021CFPB(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
Trustmark National BankTrustmarkbanking violation2021OCC$4,000,000
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2014CFPB$550,000,000
SunTrust Banks, Inc.Truist Financialbanking violation2014FED$160,000,000
SunTrust Mortgage, Inc.Truist Financialtoxic securities abuses2013FHFA$65,000,000
SunTrust Mortgage Inc.Truist Financialbanking violation2012DOJ_RIGHTS$21,000,000
SunTrust Mortgage Inc.Truist Financialmortgage abuses2014DOJ_CIVIL$320,000,000
SunTrust Mortgage Inc.Truist FinancialFalse Claims Act and related2014DOJ_CIVIL$418,000,000
BANK OF KENTUCKY, INC., THETruist Financialbanking violation2009FDIC$30,415
BankAtlanticTruist Financialanti-money-laundering deficiencies2006DOJ_CRIMINAL$10,000,000
BankAtlanticTruist Financialeconomic sanction violation2008OFAC$7,500
BB&TTruist Financialeconomic sanction violation2007OFAC$10,000
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$40,423
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$30,800
SunTrust Capital Markets Inc.Truist Financialinvestor protection violation2006SEC$125,000
Branch Banking & Trust Company (BB&T)Truist FinancialFalse Claims Act and related2016DOJ_CIVIL$83,000,000
SunTrust Mortgage, Inc.Truist Financialdiscriminatory practices (non-employment)2013HUD$36,000
Branch Banking and Trust (BB&T)Truist Financialemployment discrimination2010EEOC$24,000
SunTrust BankTruist Financialemployment discrimination2014EEOC$300,000
SunTrust Mortgage Inc.Truist Financialwage and hour violation2012WHD$51,518
Branch Banking and Trust CompanyTruist Financialwage and hour violation2011WHD$12,314
BB&TTruist Financialwage and hour violation2011WHD$43,662
SunTrust Bank, Inc.Truist Financialwage and hour violation2006WHD$350,875
Grandbridge Real Estate Capital, LLCTruist Financiallabor relations violation2015NLRB$70,000
SunTrust BankTruist Financialbanking violation2017FED$1,501,000
SunTrust BanksTruist Financialinvestor protection violation2017SEC$1,100,000
BB&T Securities, LLCTruist Financialinvestor protection violation2016SEC$200,000
BB&T Securities, LLCTruist Financialinvestor protection violation2015SEC$200,000
BB&TTruist Financialwage and hour violation2018private lawsuit-federal$72,336
SunTrust MortgageTruist Financialwage and hour violation2012private lawsuit-federal$2,400,000
BB&T Securities, LLCTruist Financialinvestor protection violation2018SEC$100,000
SunTrust Banks, Inc.Truist Financialbenefit plan administrator violation2018private lawsuit-federal$4,750,000
BB&T SecuritiesTruist Financialinvestor protection violation2019SEC$5,709,753
BB&T Securities, LLCTruist Financialinvestor protection violation2019SEC$376,059
BB&T CorporationTruist Financialbenefit plan administrator violation2019private lawsuit-federal$24,000,000
BB&T Leasing CompanyTruist Financialconsumer protection violation2005NY-AG$159,097
BB&T Leasing CorporationTruist Financialconsumer protection violation2006MULTI-AG$6,000,000
SunTrust BankTruist Financialbanking violation2005WI-AG$10,107
SunTrust Mortgage Inc.Truist Financialmortgage abuses2014MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $40,000,000
Branch Banking & Trust Co.Truist Financialeconomic sanction violation2014OFAC$19,125
McGriff, Seibels & Williams of Texas, Inc.Truist Financialeconomic sanction violation2011OFAC$122,408
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2017AR-SEC$13,000
SunTrust Mortgage, Inc.Truist Financialmortgage abuses2016CA-DFPI$50,000
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2019CA-DFPI$349,015
Bank of LouisvilleTruist Financialinvestor protection violation2002KY-INS$27,000,000
Branch Banking and Trust CompanyTruist Financialinvestor protection violation2016SC-SEC$97,500
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2016FINRA$1,500,000
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2011FINRA$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.