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 Parentsort icon Primary Offense Type Year Agency Penalty Amount
Sovereign Bank N.A. Banco Santander banking violation 2013 OCC $16,086,180
Santander Consumer USA Inc. Banco Santander Servicemembers Civil Relief Act 2015 DOJ_RIGHTS $9,350,000
Santander Bank, N.A. Banco Santander consumer protection violation 2016 CFPB $10,000,000
Santander Bank & Trust (Bahamas) Ltd Banco Santander economic sanction violation 2004 OFAC $20,000
Santander Mortage Corporation Banco Santander wage and hour violation 2004 WHD $62,895
Santander Consumer USA Inc. Banco Santander consumer protection violation 2018 CFPB $11,790,000
Santander Securities LLC Banco Santander investor protection violation 2019 SEC $270,539
Santander Consumer USA Holdings Inc. Banco Santander investor protection violation 2018 SEC $1,500,000
Santander Bank, N.A. Banco Santander consumer protection violation 2015 NY-AG $500,000
Santander Consumer USA Holdings Inc. Banco Santander consumer protection violation 2017 MA-AG $22,000,000
Santander Consumer USA Holdings, Inc. Banco Santander consumer protection violation 2017 DE-AG $3,875,000
Santander Securities LLC Banco Santander consumer protection violation 2019 MA-AG $100,000
Santander USA Holdings Inc. Banco Santander consumer protection violation 2015 MA-AG $5,400,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 MULTI-AG $550,000,000
Santander Consumer USA, Inc. Banco Santander consumer protection violation 2018 CA-DFPI $300,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2018 CT-BKG $100,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2015 NH-BKG $75,000
Santander Securities, LLC Banco Santander investor protection violation 2018 NH-BSR $31,562
Santander Securities, LLC Banco Santander investor protection violation 2019 NH-BSR $50,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 VT-AG $105,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 CFPB $4,750,000
Santander Securities LLC Banco Santander investor protection violation 2015 FINRA $6,421,000
Santander Securities of Puerto Rico Banco Santander investor protection violation 2011 FINRA $2,000,000
Santander Consumer USA, Inc. Banco Santander consumer protection violation 2021 CO-AG $3,065,000
Santander Banco Santander consumer protection violation 2021 MS-AG $3,700,000
BancorpSouth Bank BancorpSouth mortgage abuses 2016 CFPB $10,600,000
BANCORPSOUTH BANK BancorpSouth banking violation 2011 FDIC $46,500
Bank Hapoalim B.M, Bank Hapoalim tax violations 2020 FED $37,350,000
Bank Hapoalim B.M. Bank Hapoalim anti-money-laundering deficiencies 2020 DOJ_CRIMINAL $30,063,317
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd. Bank Hapoalim tax violations 2020 DOJ_TAX $616,910,000
Bank Hapoalim B.M. Bank Hapoalim tax violations 2020 NY-DFS $220,000,000
Bank Leumi Group Bank Leumi tax violations 2014 DOJ_TAX $270,000,000
Bank Leumi Bank Leumi investor protection violation 2016 SEC $1,600,000
Bank Leumi Bank Leumi tax violations 2014 NY-DFS $130,000,000
Bank of America Bank of America price-fixing or anti-competitive practices 2010 DOJ_ANTITRUST $137,300,000
Countrywide Home Loans, Inc. and BAC Home Loans Servicing LP Bank of America consumer protection violation 2010 FTC $108,000,000
Bank of America, N.A. Bank of America consumer protection violation 2014 CFPB $747,000,000
Bank of America, National Association Bank of America banking violation 2015 OCC $1,104,530
Bank of America, National Association Bank of America banking violation 2015 OCC $30,000,000
Bank of America, National Association Bank of America banking violation 2014 OCC $250,000,000
Bank of America, National Association Bank of America banking violation 2014 OCC $25,000,000
Bank of America Bank of America banking violation 2013 OCC $2,886,578,478
BANK OF AMERICA CORPORATION Bank of America banking violation 2015 FED $205,000,000
Bank of America Corporation Bank of America banking violation 2012 FED $175,500,000
Bank of America Corporation Bank of America mortgage abuses 2014 DOJ $16,650,000,000
Bank of America Corporation Bank of America mortgage abuses 2012 DOJ $10,956,600,000
BAC Home Loans Servicing LP fka Countrywide Home Loans Servicing LP Bank of America mortgage abuses 2011 DOJ_CIVIL $20,000,000
Merrill Lynch Bank of America investor protection violation 2015 SEC $10,900,000
Bank of America Corporation Bank of America investor protection violation 2014 SEC $7,650,000
Merrill Lynch Bank of America toxic securities abuses 2013 SEC $131,800,000
Bank of America Bank of America investor protection violation 2010 SEC $150,000,000
Bank of America Corporation Bank of America toxic securities abuses 2014 FHFA $9,300,000,000
Bank of America Bank of America toxic securities abuses 2013 FHFA $404,000,000
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
Bank of America Bank of America toxic securities abuses 2013 NCUA $165,000,000
Merrill Lynch Bank of America investor protection violation 2014 CFTC $1,200,000
Merrill Lynch Bank of America investor protection violation 2011 CFTC $350,000
Bank of America N.A. Bank of America banking violation 2012 DOJ_RIGHTS $370,000,000
Countrywide Financial Corporation Bank of America mortgage abuses 2011 DOJ_RIGHTS $335,000,000
Bank of America N.A. Bank of America economic sanction violation 2014 OFAC $16,562,700
Merrill Lynch Bank of America investor protection violation 2016 SEC $10,000,000
Merrill Lynch Bank of America investor protection violation 2016 SEC $415,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2015 SEC $500,000
Merrill Lynch Bank of America investor protection violation 2011 SEC $10,000,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC Bank of America data submission deficiencies 2007 CFTC $500,000
U.S. Trust Corporation Bank of America banking violation 2001 FED $5,000,000
Bank of America Bank of America economic sanction violation 2004 OFAC $13,573
Merrill Lynch, Pierce, Fenner & Smith, Inc Bank of America economic sanction violation 2004 OFAC $22,904
Bank of America Bank of America economic sanction violation 2003 OFAC $158,038
Lasalle Bank MidWest National Association Bank of America banking violation 2007 OCC $125,000
Lasalle Bank National Association Bank of America banking violation 2007 OCC $79,524
Lasalle Bank MidWest National Association Bank of America banking violation 2005 OCC $6,250,000
Bank of America Corporation Bank of America investor protection violation 2009 SEC $33,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2009 SEC $7,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2009 SEC $1,000,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2008 SEC $9,763,634
Banc of America Securities LLC Bank of America fraud 2007 SEC $26,000,000
Banc of America Securities LLC Bank of America investor protection violation 2006 SEC $750,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2006 SEC $1,500,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC Bank of America investor protection violation 2005 SEC $375,000,000
FleetBoston Financial Corporation Bank of America investor protection violation 2004 SEC $140,000,000
Banc of America Securities LLC Bank of America investor protection violation 2004 SEC $10,000,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America investor protection violation 2003 SEC $200,000,000
Merrill Lynch & Co. Inc. Bank of America accounting fraud or deficiencies 2003 SEC $80,000,000
Robertson Stephens Inc. Bank of America investor protection violation 2003 SEC $33,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2000 SEC $5,000,000
Merrill Lynch Bank of America investor protection violation 2016 SEC $12,500,000
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
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
Bank of America Corp Bank of America employment discrimination 2013 OFCCP $2,181,593
Bank of America Bank of America employment discrimination 2014 EEOC $110,000
Bank of America Bank of America employment discrimination 2016 EEOC $30,000
Merrill Lynch Bank of America employment discrimination 2008 EEOC $1,550,000
Bank of America, NA Bank of America wage and hour violation 2010 WHD $5,827
Bank of America, N.A. Bank of America wage and hour violation 2010 WHD $18,654
Merrill Lynch & Co., Inc. Bank of America wage and hour violation 2008 WHD $516,924
Bank of America Bank of America Family and Medical Leave Act 2008 WHD $6,500
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)