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)
Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2003 SEC $32,500,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler data submission deficiencies 2002 SEC $1,650,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2002 SEC $100,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2003 MT-SEC $2,625,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2002 NE-DBF $5,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2003 MULTI-FIN (*) $12,500,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler investor protection violation 2002 FINRA (*) $1,650,000
U.S. Bank U.S. Bancorp consumer protection violation 2014 CFPB $53,000,000
U.S. Bank U.S. Bancorp banking violation 2013 CFPB $3,200,000
U.S. Bank U.S. Bancorp banking violation 2013 OCC $208,156,501
U.S. Bank U.S. Bancorp False Claims Act and related 2014 DOJ_CIVIL $200,000,000
U.S. Bank U.S. Bancorp wage and hour violation 2008 WHD $140,787
U.S. Bank U.S. Bancorp wage and hour violation 2015 private lawsuit-federal $3,031,075
U.S. Bank U.S. Bancorp privacy violation 2019 private lawsuit-federal $2,670,336
U.S. Bank U.S. Bancorp consumer protection violation 2021 MA-AG $230,000
U.S. Bank Municipal Securities Group U.S. Bancorp investor protection violation 2015 SEC $60,000
U.S. Bank National Association U.S. Bancorp banking violation 2016 OCC $10,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2014 OCC $51,900,000
U.S. Bank National Association U.S. Bancorp investor protection violation 2015 CFTC $18,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2006 OCC $125,000
U.S. Bank National Association U.S. Bancorp discriminatory practices (non-employment) 2014 HUD $11,489
U.S. Bank National Association U.S. Bancorp discriminatory practices (non-employment) 2013 HUD $12,000
U.S. Bank National Association U.S. Bancorp banking violation 2017 OCC $15,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2017 OCC $183,920
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 OCC $75,000,000
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 FINCEN $70,000,000
U.S. Bank National Association U.S. Bancorp investor protection violation 2005 SEC $500,000
U.S. Bank National Association U.S. Bancorp wage and hour violation 2020 private lawsuit-federal $6,500,000
U.S. Bank National Association U.S. Bancorp mortgage abuses 2020 DOJ_UTP $29,000,000
U.S. Bank Pension Plan U.S. Bancorp benefit plan administrator violation 2012 private lawsuit-federal $9,600,000
U.S. Bank, National Association U.S. Bancorp mortgage abuses 2011 HUD $1,200,000
U.S. Central Federal Credit Union U.S. Central Federal Credit Union wage and hour violation 2008 WHD $111,319
U.S. Pension Trust Corp. and U.S. College Trust Corp. U.S. Pension Trust Corp. investor protection violation 2010 SEC $112,600,000
U.S. Trust Corporation Bank of America banking violation 2001 FED $5,000,000
U.S. Trust Corporation Bank of America anti-money-laundering deficiencies 2001 NY-DFS $5,000,000
UBS UBS toxic securities abuses 2016 NCUA $69,800,000
UBS UBS toxic securities abuses 2017 NCUA $445,000,000
UBS UBS wage and hour violation 2015 private lawsuit-federal $1,312,500
UBS UBS wage and hour violation 2012 private lawsuit-federal $1,400,000
UBS UBS wage and hour violation 2007 private lawsuit-federal $44,000,000
UBS UBS wage and hour violation 2007 private lawsuit-federal $45,000,000
UBS UBS investor protection violation 2010 MI-AG $117,000,000
UBS (USA) Inc UBS economic sanction violation 2003 OFAC $14,750
UBS (USA) Inc UBS economic sanction violation 2003 OFAC $5,000
UBS AG UBS price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $160,000,000
UBS AG UBS banking violation 2015 FED $342,000,000
UBS AG UBS interest rate benchmark manipulation 2015 DOJ_CRIMINAL $203,000,000
UBS AG UBS investor protection violation 2015 SEC $19,500,000
UBS AG UBS interest rate benchmark manipulation 2014 CFTC $290,000,000
UBS AG UBS interest rate benchmark manipulation 2012 CFTC $700,000,000
UBS AG UBS economic sanction violation 2015 OFAC $1,700,100
UBS AG UBS investor protection violation 2010 CFTC $130,000
UBS AG UBS economic sanction violation 2004 FED $100,000,000
UBS AG UBS tax violations 2009 DOJ_TAX $780,000,000
UBS AG UBS tax violations 2009 SEC $200,000,000
UBS AG UBS investor protection violation 2018 CFTC $15,000,000
UBS AG UBS interest rate benchmark manipulation 2018 MULTI-AG $68,000,000
UBS AG UBS price-fixing or anti-competitive practices 2011 MULTI-AG (*) $90,800,000
UBS AG UBS price-fixing or anti-competitive practices 2016 WV-AG $325,000
UBS AG UBS environmental violation 2011 CT-ENV $80,000
UBS Americas Inc. UBS toxic securities abuses 2013 FHFA $885,000,000
UBS as successor to Piper Jaffray UBS wage and hour violation 2008 private lawsuit-federal $5,500,000
UBS Financial Services UBS investor protection violation 2014 SEC $56,400
UBS Financial Services UBS investor protection violation 2016 SEC $15,025,882
UBS Financial Services UBS investor protection violation 2011 IN-SEC $677,000
UBS Financial Services UBS investor protection violation 2012 FINRA $2,354,584
UBS Financial Services Inc. UBS investor protection violation 2004 SEC $4,621,768
UBS Financial Services Inc. UBS investor protection violation 2015 SEC $480,000
UBS Financial Services Inc. UBS wage and hour violation 2018 WHD $6,246
UBS Financial Services Inc. UBS investor protection violation 2018 SEC $5,000,000
UBS Financial Services Inc. UBS anti-money-laundering deficiencies 2018 FINCEN $5,000,000
UBS Financial Services Inc. UBS investor protection violation 2006 NJ-AG $24,750,000
UBS Financial Services Inc. UBS investor protection violation 2007 CT-SEC $5,500,000
UBS Financial Services Inc. UBS investor protection violation 2011 NH-BSR $1,000,000
UBS Financial Services Inc. UBS investor protection violation 2012 NH-BSR $72,500
UBS Financial Services Inc. UBS investor protection violation 2019 VA-SEC $288,970
UBS Financial Services Inc. UBS investor protection violation 2014 VT-FIN $325,000
UBS Financial Services Inc. UBS investor protection violation 2013 MULTI-FIN $4,600,000
UBS Financial Services Inc. UBS investor protection violation 2020 SEC $10,000,000
UBS Financial Services Inc. UBS investor protection violation 2019 FINRA $2,000,000
UBS Financial Services Inc. UBS investor protection violation 2004 FINRA $200,666
UBS Financial Services Inc. UBS investor protection violation 2021 SEC $8,112,174
UBS Financial Services Inc. and UBS Securities LLC UBS anti-money-laundering deficiencies 2018 FINRA $5,000,000
UBS Financial Services Inc. of Puerto Rico UBS investor protection violation 2015 SEC $15,000,000
UBS Financial Services Inc. of Puerto Rico UBS investor protection violation 2012 SEC $26,600,000
UBS Financial Services Incorporated of Puerto Rico UBS investor protection violation 2015 FINRA $18,500,000
UBS Financial Services, Inc UBS investor protection violation 2013 MULTI-AG $4,580,000
UBS Financial Services, Inc. UBS wage and hour violation 2007 WHD $27,152
UBS Financial Services, Inc. UBS investor protection violation 2017 SEC $3,500,000
UBS Financial Services, Inc. UBS investor protection violation 2013 DE-AG $70,077
UBS Financial Services, Inc. UBS investor protection violation 2007 NY-AG $23,300,000
UBS Financial Services, Inc. UBS investor protection violation 2013 AK-DBS $64,661
UBS Financial Services, Inc. UBS investor protection violation 2007 MO-SEC $697,210
UBS Financial Services, Inc. UBS investor protection violation 2009 MO-SEC $170,175
UBS Financial Services, Inc. UBS investor protection violation 2006 MT-SEC $4,503,166
UBS FINANCIAL SERVICES, INC. UBS investor protection violation 2007 VA-SEC $100,000
UBS FINANCIAL SERVICES, INC. UBS investor protection violation 2010 VA-SEC $625,000
UBS Financial Services, Inc. UBS investor protection violation 2011 FINRA $10,750,000
UBS Financial Services, Inc. UBS investor protection violation 2009 FINRA $100,000
UBS Financial Services, Inc. UBS investor protection violation 2008 FINRA $1,000,000
UBS Financial Services, Inc. UBS investor protection violation 2007 FINRA $370,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)