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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
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$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
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 Type Year Agency Penalty Amountsort icon
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
Citigroup Global Markets Inc. Citigroup investor protection violation 2003 MULTI-FIN (*) $150,000,000
UBS Securities LLC and UBS Financial Services Inc. UBS investor protection violation 2008 MULTI-FIN (*) $150,000,000
Deutsche Bank AG and Deutsche Bank Trust Co. America Deutsche Bank banking violation 2020 NY-DFS $150,000,000
Goldman Sachs Group Goldman Sachs investor protection violation 2020 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
American International Group American International Group insurance violation 2010 MULTI-FIN $146,500,000
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
Vitol Inc. Vitol Foreign Corrupt Practices Act 2020 DOJ_CRIMINAL $135,000,000
Flagstar Bank Flagstar Bancorp mortgage abuses 2012 USAO $132,800,000
Standard Chartered Bank Standard Chartered economic sanction violation 2012 OFAC (*) $132,000,000
Merrill Lynch Bank of America toxic securities abuses 2013 SEC $131,800,000
HSBC North America Holdings, Inc. HSBC banking violation 2016 FED $131,000,000
JPMorgan Chase & Co. JPMorgan Chase Foreign Corrupt Practices Act 2016 SEC $130,000,000
Bank Leumi Bank Leumi tax violations 2014 NY-DFS $130,000,000
Royal Bank of Scotland plc Royal Bank of Scotland toxic securities abuses 2015 NCUA $129,600,000
Mizuho Financial Group Mizuho Financial investor protection violation 2012 SEC $127,500,000
Ocwen Financial Services Ocwen Financial mortgage abuses 2013 MULTI-AG (*) $127,300,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce investor protection violation 2005 SEC $125,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2003 SEC $125,000,000
MoneyGram International Inc. MoneyGram International anti-money-laundering deficiencies 2018 DOJ_CRIMINAL $125,000,000
AIM Advisors Invesco investor protection violation 2004 MULTI-AG (*) $125,000,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce investor protection violation 2005 NY-AG (*) $125,000,000
H&R Block, Inc. H&R Block discriminatory practices (non-employment) 2011 MA-AG $125,000,000
Morgan Stanley Morgan Stanley investor protection violation 2002 MULTI-AG (*) $125,000,000
Royal Bank of Scotland Royal Bank of Scotland toxic securities abuses 2017 CA-AG $125,000,000
Merrill Lynch Bank of America investor protection violation 2008 MULTI-FIN (*) $125,000,000
MetLife Home Loans LLC MetLife False Claims Act and related 2015 DOJ_CIVIL $123,500,000
Societe Generale Societe Generale toxic securities abuses 2014 FHFA $122,000,000
TD Bank, N.A. Toronto-Dominion Bank consumer protection violation 2020 CFPB $122,000,000
Credit Suisse Securities (USA) Credit Suisse toxic securities abuses 2012 SEC $120,000,000
Goldman Sachs Goldman Sachs foreign exchange market manipulation 2016 CFTC $120,000,000
Allstate Insurance Allstate wage and hour violation 2005 private lawsuit-state $120,000,000
Lender Processing Services, Inc. Fidelity National Financial mortgage abuses 2013 MULTI-AG $120,000,000
RBS Securities, Inc. Royal Bank of Scotland toxic securities abuses 2016 CT-AG $120,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc. Charles Schwab Corp. investor protection violation 2011 SEC $118,000,000
Farmers Insurance Exchange Farmers Insurance Exchange insurance violation 2016 TX-INS $117,500,000
UBS UBS investor protection violation 2010 MI-AG $117,000,000
CompuCredit Corporation Atlanticus Holdings banking violation 2008 FDIC $116,400,000
Barclays Barclays interest rate benchmark manipulation 2015 CFTC $115,000,000
PNC ICLC Corp. PNC Financial Services accounting fraud or deficiencies 2003 DOJ_CRIMINAL $115,000,000
Hartford Financial Services Group, Inc. Hartford Financial Services price-fixing or anti-competitive practices 2007 MULTI-AG $115,000,000
Strong Capital Management Co. Wells Fargo investor protection violation 2004 MULTI-AG (*) $115,000,000
CompuCredit Corporation Atlanticus Holdings consumer protection violation 2008 FTC $114,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2012 NY-MANDA (*) $113,500,000
Freedom Mortgage Corporation Freedom Mortgage False Claims Act and related 2016 DOJ_CIVIL $113,000,000
Student Loan Xpress, Inc. CIT consumer protection violation 2009 MULTI-AG $112,825,000
U.S. Pension Trust Corp. and U.S. College Trust Corp. U.S. Pension Trust Corp. investor protection violation 2010 SEC $112,600,000
Wachovia Bank Wells Fargo anti-money-laundering deficiencies 2010 FINCEN $110,000,000
First Horizon National Corporation First Horizon National toxic securities abuses 2014 FHFA $110,000,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2003 SEC $110,000,000
Goldman Sachs Goldman Sachs investor protection violation 2002 MULTI-AG (*) $110,000,000
Ally Financial Ally Financial mortgage abuses 2012 MULTI-AG (*) $109,628,425
Countrywide Home Loans, Inc. and BAC Home Loans Servicing LP Bank of America consumer protection violation 2010 FTC $108,000,000
Hunter Wise Hunter Wise Commodities investor protection violation 2014 CFTC $108,000,000
ConvergEx Group Cowen Inc. investor protection violation 2013 SEC $107,424,429
Chase Bank USA N.A. JPMorgan Chase consumer protection violation 2015 MULTI-AG (*) $106,000,000
Lloyds Banking Group plc Lloyds Banking Group interest rate benchmark manipulation 2014 CFTC $105,000,000
Barclays Bank PLC Barclays energy market manipulation 2017 FERC $105,000,000
Lebanese Canadian Bank Lebanese Canadian Bank anti-money-laundering deficiencies 2013 USAO $102,000,000
Morgan Stanley & Co. Morgan Stanley toxic securities abuses 2010 MA-AG $102,000,000
Ambac Financial Group et al. Ambac Financial toxic securities abuses 2013 USAO $101,900,000
Citigroup, Inc. Citigroup accounting fraud or deficiencies 2003 SEC $101,000,000
Credit Suisse AG Credit Suisse banking violation 2014 FED $100,000,000
STANDARD CHARTERED PLC Standard Chartered banking violation 2012 FED $100,000,000
MoneyGram International Inc. MoneyGram International anti-money-laundering deficiencies 2012 DOJ_CRIMINAL $100,000,000
JPMorgan Chase Bank JPMorgan Chase data submission deficiencies 2015 CFTC $100,000,000
JPMorgan Chase JPMorgan Chase investor protection violation 2013 CFTC $100,000,000
Wells Fargo Bank Wells Fargo banking violation 2016 CFPB $100,000,000
UBS AG UBS economic sanction violation 2004 FED $100,000,000
Janus Capital Management LLC Janus Henderson investor protection violation 2004 SEC $100,000,000
Credit Suisse First Boston Corporation Credit Suisse investor protection violation 2002 SEC $100,000,000
Credit Lyonnais Credit Agricole fraud 2003 USAO $100,000,000
HSBC Holdings plc HSBC fraud 2018 DOJ_CRIMINAL $100,000,000
Capital One Bank (USA), National Association Capital One Financial anti-money-laundering deficiencies 2018 OCC $100,000,000
Barclays Bank PLC Barclays interest rate benchmark manipulation 2016 MULTI-AG $100,000,000
Citibank Citigroup interest rate benchmark manipulation 2018 MULTI-AG $100,000,000
Federated Investors, Inc. Federated Hermes investor protection violation 2005 NY-AG (*) $100,000,000
Merrill Lynch Bank of America investor protection violation 2002 NY-AG $100,000,000
Merrill Lynch & Co. Inc. Bank of America investor protection violation 2002 MULTI-AG (*) $100,000,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2010 MULTI-FIN (*) $100,000,000
Morgan Keegan & Company Raymond James Financial toxic securities abuses 2013 MULTI-FIN (*) $100,000,000
RBS Securities Inc. Royal Bank of Scotland toxic securities abuses 2014 FHFA $99,500,000
Credit Agricole (Suisse) SA Credit Agricole tax violations 2015 DOJ_TAX $99,211,000
American Express American Express consumer protection violation 2012 CFPB $99,100,000
Ally Financial Inc. and Ally Bank Ally Financial consumer protection violation 2013 CFPB $98,000,000
Citigroup Citigroup wage and hour violation 2008 private lawsuit-federal $98,000,000
AEGON USA Investment Management LLC et al. Aegon investor protection violation 2018 SEC $97,600,000
Banamex USA Citigroup anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $97,440,000
Barclays Capital Barclays investor protection violation 2017 SEC $97,037,659
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)