Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$317,365,347,106
Number of Records: 
2,876
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$82,630,515,262182
JPMorgan Chase$34,512,629,073139
Citigroup$24,998,997,07298
Wells Fargo$21,102,241,886148
Deutsche Bank$17,970,400,77851
UBS$16,756,803,33165
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98738
Credit Suisse$10,394,957,62629
BNP Paribas$9,892,332,95016


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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Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
Alliance Capital Management L.P. AXA investor protection violation 2003 SEC $250,000,000
HSBC Bank USA, National Association HSBC banking violation 2013 OCC $249,000,000
BNP Paribas S.A. BNP Paribas foreign exchange market manipulation 2017 FED $246,000,000
Aurora Bank FSB Aurora Bank banking violation 2013 OCC $242,418,293
AXA Rosenberg AXA investor protection violation 2011 SEC $242,000,000
Intesa Sanpaolo S.p.A. Intesa Sanpaolo anti-money-laundering deficiencies 2016 NY-DFS $235,000,000
Wells Fargo Bank Wells Fargo mortgage abuses 2012 DOJ_RIGHTS $234,300,000
UBS Securities LLC UBS toxic securities abuses 2018 NY-AG $230,000,000
JPMorgan Chase & Co. JPMorgan Chase price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $228,000,000
Morgan Stanley Morgan Stanley mortgage abuses 2013 FED $227,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2012 DOJ_CRIMINAL $227,000,000
GE Capital Retail Bank, now known as Synchrony Bank Synchrony Financial consumer protection violation 2014 CFPB $225,000,000
Morgan Stanley Morgan Stanley toxic securities abuses 2015 NCUA $225,000,000
Massachusetts Financial Services Co. Sun Life Financial investor protection violation 2004 SEC $225,000,000
Goldman Sachs Goldman Sachs toxic securities abuses 2016 MULTI-AG (*) $225,000,000
Janus Capital Management Janus Henderson investor protection violation 2004 MULTI-AG $225,000,000
Deutsche Bank Deutsche Bank interest rate benchmark manipulation 2017 MULTI-AG $220,000,000
Citigroup Inc. Citigroup consumer protection violation 2002 FTC $215,000,000
Agricultural Bank of China Agricultural Bank of China anti-money-laundering deficiencies 2016 NY-DFS $215,000,000
Discover Bank Discover Financial Services consumer protection violation 2012 CFPB $214,000,000
Och-Ziff Capital Management Group LLC Och-Ziff Capital Management Foreign Corrupt Practices Act 2016 DOJ_CRIMINAL $213,000,000
First Tennessee Bank N.A. First Horizon National False Claims Act and related 2015 DOJ_CIVIL $212,500,000
BSI SA BSI SA tax violations 2015 DOJ_TAX $211,000,000
MetLife Insurance Company MetLife insurance violation 2019 NY-DFS $208,750,000
U.S. Bank U.S. Bancorp banking violation 2013 OCC $208,156,501
Citigroup, Inc. Citigroup investor protection violation 2005 SEC $208,000,000
Deutsche Bank AG Deutsche Bank investor protection violation 2006 NY-AG (*) $208,000,000
Ally Financial Inc. Ally Financial banking violation 2012 FED $207,000,000
BANK OF AMERICA CORPORATION Bank of America banking violation 2015 FED $205,000,000
Deutsche Bank AG Deutsche Bank foreign exchange market manipulation 2018 NY-DFS $205,000,000
UBS AG UBS interest rate benchmark manipulation 2015 DOJ_CRIMINAL $203,000,000
Deutsche Bank AG Deutsche Bank toxic securities abuses 2012 USAO $202,300,000
COMMERZBANK AG Commerzbank banking violation 2015 FED $200,000,000
JPMORGAN CHASE & CO. JPMorgan Chase banking violation 2013 FED $200,000,000
U.S. Bank U.S. Bancorp False Claims Act and related 2014 DOJ_CIVIL $200,000,000
JPMorgan & Co. JPMorgan Chase accounting fraud or deficiencies 2013 SEC $200,000,000
Morgan Keegan & Company Raymond James Financial toxic securities abuses 2011 SEC $200,000,000
Barclays PLC Barclays interest rate benchmark manipulation 2012 CFTC $200,000,000
UBS AG UBS tax violations 2009 SEC $200,000,000
Credit Suisse First Boston LLC Credit Suisse investor protection violation 2003 SEC $200,000,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America investor protection violation 2003 SEC $200,000,000
Associated Bank, N.A. Associated Banc-Corp discriminatory practices (non-employment) 2015 HUD $200,000,000
Credit Suisse First Boston Corp. Credit Suisse investor protection violation 2002 MULTI-AG (*) $200,000,000
Deutsche Bank Deutsche Bank economic sanction violation 2015 NY-DFS $200,000,000
Och-Ziff Capital Management Group Och-Ziff Capital Management Foreign Corrupt Practices Act 2016 SEC $199,045,167
Credit Suisse Group AG Credit Suisse investor protection violation 2014 SEC $196,000,000
HSBC Private Bank (Suisse) SA HSBC tax violations 2019 USAO $192,350,000
Aon Corporation Aon price-fixing or anti-competitive practices 2005 MULTI-AG $190,000,000
HSBC Holdings plc HSBC economic sanction violation 2012 NY-MANDA (*) $187,500,000
Union Bancaire Privee Union Bancaire Privee tax violations 2016 DOJ_TAX $187,000,000
JPMorgan Chase JPMorgan Chase consumer protection violation 2015 CFPB $186,000,000
PNC Bank N.A. PNC Financial Services banking violation 2013 OCC $180,526,382
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLC Citigroup investor protection violation 2015 SEC $180,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2019 NY-DFS $180,000,000
Bank of America Corporation Bank of America banking violation 2012 FED $175,500,000
Citigroup Citigroup interest rate benchmark manipulation 2016 CFTC $175,000,000
Lloyds TSB Bank PLC Lloyds Banking Group economic sanction violation 2009 DOJ_CRIMINAL $175,000,000
HSBC Holdings HSBC banking violation 2017 FED $175,000,000
Lloyds TSB Bank plc Lloyds Banking Group economic sanction violation 2009 NY-MANDA $175,000,000
Zurich American Insurance Company Zurich Insurance price-fixing or anti-competitive practices 2006 MULTI-AG $171,700,000
Commerzbank AG Commerzbank economic sanction violation 2015 NY-MANDA (*) $171,000,000
Wachovia Bank, National Association Wells Fargo banking violation 2008 OCC $168,900,000
Bank of New York Mellon Bank of New York Mellon banking violation 2015 NY-AG $167,500,000
Capital One Bank (U.S.A.), N.A. Capital One Financial consumer protection violation 2012 CFPB $165,000,000
HSBC HOLDINGS PLC HSBC banking violation 2012 FED $165,000,000
Bank of America Bank of America toxic securities abuses 2013 NCUA $165,000,000
Standard Chartered plc Standard Chartered banking violation 2019 FED $164,000,000
Societe Generale Societe Generale economic sanction violation 2018 NY-MANDA $162,800,000
UBS AG UBS price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $160,000,000
SunTrust Banks, Inc. Truist Financial banking violation 2014 FED $160,000,000
Barclays Bank PLC Barclays interest rate benchmark manipulation 2012 DOJ_CRIMINAL $160,000,000
Merrill Lynch Bank of America employment discrimination 2013 private lawsuit-federal $160,000,000
Citimortgage Inc. Citigroup mortgage abuses 2012 USAO $158,300,000
UniCredit, S.p.A. UniCredit banking violation 2019 FED $158,000,000
Deutsche Bank AG Deutsche Bank interest rate benchmark manipulation 2017 FED $156,600,000
Credit Agricole Corporate and Investment Bank (CACIB) Credit Agricole economic sanction violation 2015 USAO $156,000,000
Credit Agricole Corporate and Investment Bank Credit Agricole economic sanction violation 2015 NY-MANDA $156,000,000
RBS Securities Inc. Royal Bank of Scotland toxic securities abuses 2013 SEC $153,700,000
J.P. Morgan Securities LLC JPMorgan Chase toxic securities abuses 2011 SEC $153,600,000
Clearstream Banking SA Deutsche Borse economic sanction violation 2014 OFAC $152,000,000
RBS PLC and RBS Securities Japan Royal Bank of Scotland interest rate benchmark manipulation 2014 DOJ_ANTITRUST $150,000,000
Bank of America Bank of America investor protection violation 2010 SEC $150,000,000
DB Group Services (UK) Limited Deutsche Bank interest rate benchmark manipulation 2017 DOJ_ANTITRUST $150,000,000
JPMorgan Chase Bank, N.A. JPMorgan Chase benefit plan administrator violation 2012 private lawsuit-federal $150,000,000
Countrywide Financial Corporation Bank of America mortgage abuses 2009 PA-AG $150,000,000
JPMorgan Chase JPMorgan Chase investor protection violation 2015 MULTI-AG $150,000,000
Morgan Stanley Morgan Stanley investor protection violation 2019 CA-AG $150,000,000
Barclays Bank PLC Barclays foreign exchange market manipulation 2015 NY-DFS $150,000,000
Barclays plc Barclays economic sanction violation 2010 NY-MANDA (*) $149,000,000
Wachovia Bank N.A. Wells Fargo price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $148,000,000
Deutsche Bank Securities Deutsche Bank toxic securities abuses 2011 NCUA $145,000,000
Banamex USA Citigroup banking violation 2015 FDIC $140,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. Ameriprise Financial investor protection violation 2005 SEC $140,000,000
FleetBoston Financial Corporation Bank of America investor protection violation 2004 SEC $140,000,000
Nationwide Life Insurance Nationwide benefit plan administrator violation 2015 private lawsuit-federal $140,000,000
Bank of America Bank of America price-fixing or anti-competitive practices 2010 DOJ_ANTITRUST $137,300,000
JPMorgan Chase Bank N.A. JPMorgan Chase investor protection violation 2018 SEC $135,100,000
J.P. Morgan Chase & Co. JPMorgan Chase accounting fraud or deficiencies 2003 SEC $135,000,000
State Farm State Farm Insurance wage and hour violation 2005 private lawsuit-state $135,000,000
Credit Suisse AG Credit Suisse foreign exchange market manipulation 2017 NY-DFS $135,000,000
Flagstar Bank Flagstar Bancorp mortgage abuses 2012 USAO $132,800,000
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