Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$331,558,339,161
Number of Records: 
6,166
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$82,764,013,078219
JPMorgan Chase$35,819,302,225162
Citigroup$25,454,366,764125
Wells Fargo$21,358,750,745184
Deutsche Bank$18,286,625,30261
UBS$16,792,860,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,473,904,00028
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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
OZ Management LP Sculptor Capital Management data submission deficiencies 2015 SEC $4,250,000
Scottrade Charles Schwab Corp. data submission deficiencies 2014 SEC $2,500,000
Citigroup Private Bank GP, Inc. Citigroup data submission deficiencies 2009 CFTC $100,000
J.P. Morgan Futures, Inc. JPMorgan Chase data submission deficiencies 2009 CFTC $300,000
UBS Fund Advisor, LLC UBS data submission deficiencies 2009 CFTC $50,000
BNP Paribas Commodity Futures, Ltd. BNP Paribas data submission deficiencies 2008 CFTC $25,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC Bank of America data submission deficiencies 2007 CFTC $500,000
A.G. Edwards & Sons, Inc. Wells Fargo data submission deficiencies 2003 CFTC $45,000
Prudential Securities, Inc. Wells Fargo data submission deficiencies 2002 CFTC $65,000
Williams Power Company Inc. JPMorgan Chase data submission deficiencies 2006 DOJ_CRIMINAL $50,000,000
Morgan Stanley & Co. Morgan Stanley data submission deficiencies 2006 SEC $10,000,000
Deutsche Bank Securities Inc. Deutsche Bank data submission deficiencies 2002 SEC $1,650,000
Goldman, Sachs & Co. Goldman Sachs data submission deficiencies 2002 SEC $1,650,000
Morgan Stanley & Co. Incorporated Morgan Stanley data submission deficiencies 2002 SEC $1,650,000
Salomon Smith Barney Inc. Morgan Stanley data submission deficiencies 2002 SEC $1,650,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler data submission deficiencies 2002 SEC $1,650,000
Barclays Bank PLC Barclays data submission deficiencies 2016 CFTC $500,000
Wells Fargo Bank, N.A. Wells Fargo data submission deficiencies 2016 CFTC $400,000
Societe Generale Societe Generale data submission deficiencies 2016 CFTC $450,000
Morgan Stanley Morgan Stanley data submission deficiencies 2017 CFTC $350,000
Citibank N.A. Citigroup data submission deficiencies 2017 CFTC $550,000
Convergex Execution Solutions LLC Cowen Inc. data submission deficiencies 2018 SEC $2,750,000
Compass Bank Banco Bilbao Vizcaya Argentaria discriminatory practices (non-employment) 2007 DOJ_RIGHTS $1,750,000
AIG Federal Savings Bank and Wilmington Finance Inc. American International Group discriminatory practices (non-employment) 2010 DOJ_RIGHTS $6,100,000
Union Savings Bank and Guardian Savings Bank Union Savings Bank discriminatory practices (non-employment) 2016 DOJ_RIGHTS $9,000,000
First Tennessee Bank First Horizon National discriminatory practices (non-employment) 2016 HUD $1,900,000
Associated Bank, N.A. Associated Banc-Corp discriminatory practices (non-employment) 2015 HUD $200,000,000
Wells Fargo Home Mortgage Wells Fargo discriminatory practices (non-employment) 2014 HUD $5,000,000
Midland States Bancorp Midland States Bancorp discriminatory practices (non-employment) 2014 HUD $15,950,000
U.S. Bank National Association U.S. Bancorp discriminatory practices (non-employment) 2014 HUD $11,489
Freedom Mortgage Corporation Freedom Mortgage discriminatory practices (non-employment) 2014 HUD $104,000
Bank of America Bank of America discriminatory practices (non-employment) 2013 HUD $45,000
Bank of America Bank of America discriminatory practices (non-employment) 2013 HUD $22,449
SunTrust Mortgage, Inc. Truist Financial discriminatory practices (non-employment) 2013 HUD $36,000
PNC Mortgage PNC Financial Services discriminatory practices (non-employment) 2013 HUD $15,000
U.S. Bank National Association U.S. Bancorp discriminatory practices (non-employment) 2013 HUD $12,000
Bank of America Bank of America discriminatory practices (non-employment) 2013 HUD $7,500
Bank of America Bank of America discriminatory practices (non-employment) 2012 HUD $161,180
Home Loan Center, Inc. LendingTree discriminatory practices (non-employment) 2012 HUD $15,000
Charles Schwab Bank Charles Schwab Corp. discriminatory practices (non-employment) 2011 HUD $30,000
Fifth Third Bank Fifth Third Bancorp discriminatory practices (non-employment) 2006 HUD $125,000
JPMorgan Chase JPMorgan Chase discriminatory practices (non-employment) 2017 USAO $53,000,000
Citizens Bank of Pennsylvania Citizens Financial Group discriminatory practices (non-employment) 2016 HUD $115,000
Farmers Insurance Exchange Farmers Insurance Exchange discriminatory practices (non-employment) 2017 HUD $15,000
Bank of America Bank of America discriminatory practices (non-employment) 2006 MA-AG $50,000
CIT Group, Inc., and CIT Bank, N.A., dba OneWest Bank CIT discriminatory practices (non-employment) 2019 HUD $7,300,000
Farmers Insurance Group Zurich Insurance discriminatory practices (non-employment) 2001 OH-AG $4,300,000
Guardian Life Insurance Company of America Guardian Life Insurance discriminatory practices (non-employment) 2009 NY-AG $500,000
H&R Block, Inc. H&R Block discriminatory practices (non-employment) 2011 MA-AG $125,000,000
United Services Automobile Association USAA discriminatory practices (non-employment) 2014 MA-AG $50,000
Citigroup Citigroup discriminatory practices (non-employment) 2001 NY-DFS $1,000,000
MetLife MetLife discriminatory practices (non-employment) 2002 NY-DFS $160,000,000
Wells Fargo & Co. Wells Fargo discriminatory practices (non-employment) 2019 private lawsuit-federal $10,000,000
Travelers Indemnity Company Travelers discriminatory practices (non-employment) 2018 private lawsuit-federal $450,000
Wells Fargo Wells Fargo discriminatory practices (non-employment) 2012 private lawsuit-federal $7,500,000
Wells Fargo Bank, N.A. Wells Fargo discriminatory practices (non-employment) 2012 private lawsuit-federal $7,500,000
Wells Fargo Bank N.A. Wells Fargo discriminatory practices (non-employment) 2011 private lawsuit-state $3,520,000
J.P. Morgan Chase JPMorgan Chase discriminatory practices (non-employment) 2010 private lawsuit-federal $1,950,000
HSBC Finance Corporation et al. HSBC discriminatory practices (non-employment) 2010 private lawsuit-federal $6,050,000
John Hancock Life Insurance Company Manulife Financial discriminatory practices (non-employment) 2009 private lawsuit-federal $24,400,000
Allstate Corporation Allstate discriminatory practices (non-employment) 2007 private lawsuit-federal $11,720,000
Liberty National Life Insurance Company Globe Life Inc. discriminatory practices (non-employment) 2006 private lawsuit-federal $9,350,000
Bank of America, NA Bank of America discriminatory practices (non-employment) 2005 private lawsuit-federal $3,670,000
Bank One, KY, N.A. JPMorgan Chase discriminatory practices (non-employment) 2005 private lawsuit-federal $6,715,000
U.S. Bancorp U.S. Bancorp discriminatory practices (non-employment) 2005 private lawsuit-federal $2,495,000
WFS Financial, Inc. Wells Fargo discriminatory practices (non-employment) 2004 private lawsuit-federal $4,550,000
General Motors Acceptance Corp. Ally Financial discriminatory practices (non-employment) 2004 private lawsuit-federal $9,600,000
Cincinnati Life Insurance Company Cincinnati Financial discriminatory practices (non-employment) 2004 private lawsuit-state $1,900,000
Flagstar Bank Flagstar Bancorp discriminatory practices (non-employment) 2004 private lawsuit-federal $1,100,000
American General Life Insurance American International Group discriminatory practices (non-employment) 2000 private lawsuit-federal $214,000,000
JPMorgan Chase Bank JPMorgan Chase discriminatory practices (non-employment) 2021 HUD $50,000
Deutsche Bank AG Deutsche Bank economic sanction violation 2015 FED $58,000,000
Credit Agricole S.A. Credit Agricole economic sanction violation 2015 FED $90,300,000
BNP Paribas S.A. BNP Paribas economic sanction violation 2015 DOJ_CRIMINAL $8,973,600,000
Commerzbank AG Commerzbank economic sanction violation 2015 DOJ_CRIMINAL $642,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2012 DOJ_CRIMINAL $227,000,000
ING Bank N.V. ING economic sanction violation 2012 DOJ_CRIMINAL $619,000,000
Barclays Bank PLC Barclays economic sanction violation 2010 DOJ_CRIMINAL $298,000,000
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V. ABN AMRO economic sanction violation 2010 DOJ_CRIMINAL $500,000,000
Barclays Bank PLC Barclays economic sanction violation 2016 OFAC $2,485,890
Credit Agricole Corporate and Investment Bank Credit Agricole economic sanction violation 2015 OFAC $329,593,585
UBS AG UBS economic sanction violation 2015 OFAC $1,700,100
Navigators Insurance Company Hartford Financial Services economic sanction violation 2015 OFAC $271,815
PayPal Inc. PayPal Holdings economic sanction violation 2015 OFAC $7,658,300
Commerzbank AG Commerzbank economic sanction violation 2014 OFAC $258,660,796
Bank of America N.A. Bank of America economic sanction violation 2014 OFAC $16,562,700
Clearstream Banking SA Deutsche Borse economic sanction violation 2014 OFAC $152,000,000
Royal Bank of Scotland PLC Royal Bank of Scotland economic sanction violation 2013 OFAC $33,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2012 OFAC (*) $132,000,000
HSBC Holdings HSBC economic sanction violation 2012 OFAC $375,000,000
ING Bank N.V. ING economic sanction violation 2012 OFAC (*) $619,000,000
JPMorgan Chase Bank JPMorgan Chase economic sanction violation 2011 OFAC $88,300,000
UBS AG UBS economic sanction violation 2004 FED $100,000,000
Credit Suisse AG Credit Suisse economic sanction violation 2009 DOJ_CRIMINAL $268,000,000
Lloyds TSB Bank PLC Lloyds Banking Group economic sanction violation 2009 DOJ_CRIMINAL $175,000,000
A.G. Edwards and Sons Inc. Wells Fargo economic sanction violation 2008 OFAC $122,358
BankAtlantic Truist Financial economic sanction violation 2008 OFAC $7,500
BB&T Truist Financial economic sanction violation 2007 OFAC $10,000
Citigroup, N. A. Citigroup economic sanction violation 2008 OFAC $16,250
Key Bank National Association KeyCorp economic sanction violation 2008 OFAC $200,000
American Express Travel Related Services Co., Inc. American Express economic sanction violation 2007 OFAC $16,625
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)