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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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
E-Trade Securities LLC and E-Trade Clearing LLC Morgan Stanley anti-money-laundering deficiencies 2009 FINRA $1,000,000
Banc of America Investment Services Inc. Bank of America anti-money-laundering deficiencies 2007 FINRA $3,000,000
ASI SERVICES Progressive aviation safety violation 2015 FAA $17,000
ASI SERVICES Progressive aviation safety violation 2015 FAA $27,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2007 FAA $7,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2005 FAA $5,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2005 FAA $90,000
NEOVIA LOGISTICS Goldman Sachs aviation safety violation 2016 FAA $35,000
NEOVIA LOGISTICS Goldman Sachs aviation safety violation 2015 FAA $5,000
TIAA-CREF TIAA aviation safety violation 2015 FAA $7,500
Neovia Logistics Services Goldman Sachs aviation safety violation 2015 FAA $116,250
Hudson City Savings Bank M&T Bank banking violation 2015 CFPB $32,750,000
National City Bank and its successor PNC Bank PNC Financial Services banking violation 2013 CFPB $35,000,000
U.S. Bank U.S. Bancorp banking violation 2013 CFPB $3,200,000
WEX Bank and Higher One, Inc. WEX Inc. banking violation 2015 FDIC $34,980,000
Citizens Bank Citizens Financial Group banking violation 2015 FDIC $8,800,000
Banamex USA Citigroup banking violation 2015 FDIC $140,000,000
Sallie Mae Bank SLM Corp. banking violation 2014 FDIC $93,300,000
Navient Solutions, Inc. Navient banking violation 2014 FDIC $33,300,000
American Express Centurion Bank American Express banking violation 2013 FDIC $3,600,000
Citizens Bank Citizens Financial Group banking violation 2013 FDIC $6,400,000
American Express Centurion Bank American Express banking violation 2012 FDIC $3,900,000
1st Financial Bank USA 1st Financial Bank USA banking violation 2010 FDIC $10,140,000
Synovus Bank Synovus Financial banking violation 2013 FDIC $135,050
German American Bancorp German American Bancorp banking violation 2013 FDIC $70,000
Doral Bank Doral Financial banking violation 2013 FDIC $135,000
Great Western Bank Great Western Bancorp banking violation 2013 FDIC $40,810
TCF National Bank Huntington Bancshares banking violation 2016 OCC $56,500
HSBC Bank USA, National Association HSBC banking violation 2016 OCC $35,000,000
Gibraltar Private Bank & Trust Co. Gibraltar Private Bank and Trust banking violation 2016 OCC $2,500,000
Santander Bank, National Association Banco Santander banking violation 2016 OCC $3,400,000
U.S. Bank National Association U.S. Bancorp banking violation 2016 OCC $10,000,000
Sun National Bank OceanFirst Financial banking violation 2016 OCC $25,000
Everbank TIAA banking violation 2016 OCC $1,000,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2016 OCC $48,000,000
Citizens Bank, National Association Citizens Financial Group banking violation 2015 OCC $2,000,000
First Financial Bank, National Association First Financial Bancorp. banking violation 2015 OCC $11,700
RBS Citizens, National Association Citizens Financial Group banking violation 2015 OCC $10,000,000
Citibank, N.A. Citigroup banking violation 2015 OCC $35,000,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2015 OCC $30,000,000
Bank of America, National Association Bank of America banking violation 2015 OCC $1,104,530
First National Bank of Pennsylvania F.N.B. Corporation banking violation 2015 OCC $180,720
Wells Fargo Bank, National Association Wells Fargo banking violation 2015 OCC $4,000,000
Bank of America, National Association Bank of America banking violation 2015 OCC $30,000,000
Santander Bank, National Association Banco Santander banking violation 2015 OCC $6,000,000
Keybank National Association KeyCorp banking violation 2015 OCC $5,005
Bank of America, National Association Bank of America banking violation 2014 OCC $250,000,000
Citibank, National Association Citigroup banking violation 2014 OCC $350,000,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2014 OCC $350,000,000
Capital One, National Association Capital One Financial banking violation 2014 OCC $4,000,000
PNC Bank, National Association PNC Financial Services banking violation 2014 OCC $2,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2014 OCC $51,900,000
Bank of America, National Association Bank of America banking violation 2014 OCC $25,000,000
Old National Bank Old National Bancorp banking violation 2014 OCC $500,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2014 OCC $350,000,000
American Express Bank, FSB American Express banking violation 2013 OCC $7,500,000
TD Bank, National Association Toronto-Dominion Bank banking violation 2013 OCC $37,500,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2013 OCC $60,000,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2013 OCC $300,000,000
Swineford National Bank Fulton Financial banking violation 2013 OCC $33,880
Everbank TIAA banking violation 2013 OCC $37,000,000
RBS Citizens, National Association Citizens Financial Group banking violation 2013 OCC $7,500,000
Seacoast National Bank Seacoast Banking Corporation of Florida banking violation 2013 OCC $26,950
TCF National Bank Huntington Bancshares banking violation 2013 OCC $10,000,000
HSBC Bank USA, National Association HSBC banking violation 2013 OCC $249,000,000
Aurora Bank FSB Aurora Bank banking violation 2013 OCC $242,418,293
Bank of America Bank of America banking violation 2013 OCC $2,886,578,478
Citibank Citigroup banking violation 2013 OCC $793,492,868
JPMorgan Chase JPMorgan Chase banking violation 2013 OCC $1,958,450,341
MetLife Bank MetLife banking violation 2013 OCC $78,536,455
PNC Bank N.A. PNC Financial Services banking violation 2013 OCC $180,526,382
Sovereign Bank N.A. Banco Santander banking violation 2013 OCC $16,086,180
U.S. Bank U.S. Bancorp banking violation 2013 OCC $208,156,501
Wells Fargo Wells Fargo banking violation 2013 OCC $1,991,141,181
HSBC Bank USA, N.A. HSBC banking violation 2012 OCC $500,000,000
American Express Bank, FSB American Express banking violation 2012 OCC $6,500,000
Capital One Bank (USA), National Association Capital One Financial banking violation 2012 OCC $35,000,000
Trustmark National Bank Trustmark banking violation 2012 OCC $6,250
Wells Fargo Bank, National Association Wells Fargo banking violation 2011 OCC $34,500,000
First Niagara Bank, National Association KeyCorp banking violation 2011 OCC $10,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2011 OCC $35,000,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2011 OCC $2,000,000
Zions First National Bank Zions Bancorporation banking violation 2011 OCC $8,000,000
Woodforest National Bank Woodforest National Bank banking violation 2010 OCC $33,000,000
City National Bank Royal Bank of Canada banking violation 2010 OCC $5,250
Wachovia Bank N.A. Wells Fargo banking violation 2010 OCC $50,000,000
HSBC North America Holdings, Inc. HSBC banking violation 2016 FED $131,000,000
INDEPENDENT BANK Independent Bank Corp. (Michigan) banking violation 2015 FED $56,205
BANK OF AMERICA CORPORATION Bank of America banking violation 2015 FED $205,000,000
ROYAL BANK OF SCOTLAND PLC NatWest Group PLC banking violation 2015 FED $274,000,000
UBS AG UBS banking violation 2015 FED $342,000,000
CITIGROUP INC. Citigroup banking violation 2015 FED $342,000,000
JPMORGAN CHASE & CO. JPMorgan Chase banking violation 2015 FED $342,000,000
COMMERZBANK AG Commerzbank banking violation 2015 FED $200,000,000
SunTrust Banks, Inc. Truist Financial banking violation 2014 FED $160,000,000
Cole Taylor Bank Fifth Third Bancorp banking violation 2014 FED $3,510,000
Regions Bank Regions Financial banking violation 2014 FED $46,000,000
Credit Suisse AG Credit Suisse banking violation 2014 FED $100,000,000
THE ROYAL BANK OF SCOTLAND GROUP PLC NatWest Group PLC banking violation 2013 FED $50,000,000
Midland States Bank Midland States Bancorp banking violation 2013 FED $5,645
JPMORGAN CHASE & CO. JPMorgan Chase banking violation 2013 FED $200,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)