Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense Type sort iconYearAgencyPenalty Amount
BANK OF AMERICA CORPORATIONBank of Americabanking violation2015FED$205,000,000
ROYAL BANK OF SCOTLAND PLCNatWest Group PLCbanking violation2015FED$274,000,000
UBS AGUBSbanking violation2015FED$342,000,000
CITIGROUP INC.Citigroupbanking violation2015FED$342,000,000
JPMORGAN CHASE & CO.JPMorgan Chasebanking violation2015FED$342,000,000
COMMERZBANK AGCommerzbankbanking violation2015FED$200,000,000
SunTrust Banks, Inc.Truist Financialbanking violation2014FED$160,000,000
Cole Taylor BankFifth Third Bancorpbanking violation2014FED$3,510,000
Regions BankRegions Financialbanking violation2014FED$46,000,000
Credit Suisse AGUBSbanking violation2014FED$100,000,000
THE ROYAL BANK OF SCOTLAND GROUP PLCNatWest Group PLCbanking violation2013FED$50,000,000
Midland States BankMidland States Bancorpbanking violation2013FED$5,645
JPMORGAN CHASE & CO.JPMorgan Chasebanking violation2013FED$200,000,000
HSBC HOLDINGS PLCHSBCbanking violation2012FED$165,000,000
STANDARD CHARTERED PLCStandard Charteredbanking violation2012FED$100,000,000
AMERICAN EXPRESS COMPANYAmerican Expressbanking violation2012FED$9,000,000
METLIFE, INCMetLifebanking violation2012FED$3,200,000
THE BANK OF NEW YORK MELLONBank of New York Mellonbanking violation2012FED$6,000,000
Citigroup Inc.Citigroupbanking violation2012FED$22,000,000
Ally Financial Inc.Ally Financialbanking violation2012FED$207,000,000
Bank of America CorporationBank of Americabanking violation2012FED$175,500,000
JPMorgan Chase & Co., and EMC Mortgage CorporationJPMorgan Chasebanking violation2012FED$275,000,000
Wells Fargo & CompanyWells Fargobanking violation2012FED$87,000,000
Bank of Hampton RoadsAtlantic Union Banksharesbanking violation2011FED$33,600
Wells Fargo & CompanyWells Fargobanking violation2011FED$85,000,000
PlainsCapital Bank and PrimeLendingHilltop Holdingsbanking violation2011FED$30,780
Bank of America N.A.Bank of Americabanking violation2012DOJ_RIGHTS$370,000,000
SunTrust Mortgage Inc.Truist Financialbanking violation2012DOJ_RIGHTS$21,000,000
Citizens Republic Bancorp Inc.Huntington Bancsharesbanking violation2011DOJ_RIGHTS$3,600,000
Bank of New York MellonBank of New York Mellonbanking violation2015USAO$714,000,000
Wells Fargo Bank, N.A.Wells Fargobanking violation2016OCC$70,000,000
Goldman Sachs GroupGoldman Sachsbanking violation2016FED$36,300,000
Wells Fargo BankWells Fargobanking violation2016CFPB$100,000,000
Wells Fargo BankWells Fargobanking violation2016OCC$35,000,000
1ST FINANCIAL BANK USA1st Financial Bank USAbanking violation2009FDIC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $140,000
AFB&TSynovus Financialbanking violation2009FDIC$7,040
BANK OF KENTUCKY, INC., THETruist Financialbanking violation2009FDIC$30,415
American Express Centurion BankAmerican Expressbanking violation2009FDIC$250,000
REPUBLIC BANK & TRUST COMPANYRepublic Bancorpbanking violation2009FDIC$22,000
CITIZENS BUSINESS BANKCVB Financialbanking violation2009FDIC$16,200
WELLS FARGO FINANCIAL BANKWells Fargobanking violation2009FDIC$125,000
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$116,400,000
BANK OF THE CASCADESFirst Interstate Bancsystembanking violation2008FDIC$43,550
UMPQUA BANKUmpqua Holdingsbanking violation2008FDIC$90,240
CATHAY BANKCathay General Bancorpbanking violation2008FDIC$55,500
BUSEY BANKFirst Busey Corp.banking violation2006FDIC$5,200
THE RICHLAND TRUST COMPANYPark National Corp.banking violation2006FDIC$11,100
FIRST BANKFirst Bancorp (North Carolina)banking violation2004FDIC$12,000
NEW YORK COMMUNITY BANKNew York Community Bancorpbanking violation2004FDIC$8,000
THE COLUMBIA BANKFulton Financialbanking violation2002FDIC$7,000
Regions BankRegions Financialbanking violation2009FED$135,000
Compass BankPNC Financial Servicesbanking violation2009FED$70,625
Heritage Bank of CommerceHeritage Commerce Corp.banking violation2008FED$6,840
Capital City BankCapital City Bank Groupbanking violation2007FED$85,045
Hanmi BankHanmi Financial Corp.banking violation2007FED$8,835
East West BankEast West Bancorpbanking violation2007FED$16,245
First Interstate BankFirst Interstate Bancsystembanking violation2005FED$15,750
Citigroup Inc.Citigroupbanking violation2004FED$70,000,000
Credit Agricole S.A.Credit Agricolebanking violation2004FED$8,000,000
U.S. Trust CorporationBank of Americabanking violation2001FED$5,000,000
National City BankPNC Financial Servicesbanking violation2009OCC$34,265
Wells Fargo Bank, National AssociationWells Fargobanking violation2009OCC$51,205
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2009OCC$100,000
First National Bank of OmahaFirst National of Nebraskabanking violation2009OCC$100,000
Capital One, National AssociationCapital One Financialbanking violation2009OCC$125,000
Old National BankOld National Bancorpbanking violation2008OCC$56,000
Northern Trust, National AssociationNorthern Trustbanking violation2008OCC$125,000
Wachovia Bank, National AssociationWells Fargobanking violation2008OCC$168,900,000
Associated Bank, National AssociationAssociated Banc-Corpbanking violation2007OCC$125,000
Keybank National AssociationKeyCorpbanking violation2007OCC$27,750
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2007OCC$125,000
Lasalle Bank MidWest National AssociationBank of Americabanking violation2007OCC$125,000
Lasalle Bank National AssociationBank of Americabanking violation2007OCC$79,524
U.S. Bank National AssociationU.S. Bancorpbanking violation2006OCC$125,000
First National Bank of OmahaFirst National of Nebraskabanking violation2006OCC$25,000
Seacoast National BankSeacoast Banking Corporation of Floridabanking violation2006OCC$16,500
Lasalle Bank MidWest National AssociationBank of Americabanking violation2005OCC$6,250,000
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2005OCC$180,000
Wells Fargo Bank, National AssociationWells Fargobanking violation2005OCC$115,000
City National BankRoyal Bank of Canadabanking violation2005OCC$750,000
First National Bank of OmahaFirst National of Nebraskabanking violation2005OCC$20,000
Old National BankOld National Bancorpbanking violation2004OCC$12,500
Old National BankOld National Bancorpbanking violation2004OCC$7,500
National City BankPNC Financial Servicesbanking violation2003OCC$56,800
Bank of ChinaBank of Chinabanking violation2002OCC$10,000,000
JPMorgan Chase & Co.JPMorgan Chasebanking violation2016FED$61,900,000
Customers BankCustomers Bancorpbanking violation2016FED$960,000
Banco Bilbao Vizcaya Argentaria, S.A.Banco Bilbao Vizcaya Argentariabanking violation2016FED$27,000,000
HSBC Bank USA, National AssociationHSBCbanking violation2017OCC$32,500,000
ServiceLink Holdings, LLCFidelity National Financialbanking violation2017FED$65,000,000
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2017OCC$1,000,000
SunTrust BankTruist Financialbanking violation2017FED$1,501,000
Bank of New York Mellon CorporationBank of New York Mellonbanking violation2017FED$3,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2017OCC$15,000,000
Rabobank National AssociationRabobankbanking violation2017OCC$58,000
UMB Bank, NAUMB Financial Corp.banking violation2017OCC$1,500,000
HSBC HoldingsHSBCbanking violation2017FED$175,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2017OCC$183,920
Goldman Sachs Bank USAGoldman Sachsbanking violation2018FED$90,000
Citibank N.A.Citigroupbanking violation2017OCC$452,000
US BancorpU.S. Bancorpbanking violation2018FED$15,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.