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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.

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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Barclays Bank PLCBarclaystoxic securities abuses2013MA-AG$36,100,000
Barclays Capital Inc.Barclaysinvestor protection violation2016NY-AG$35,000,000
Barclays Capital Inc.Barclaystoxic securities abuses2016VA-AG$9,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2018DOJ_CRIMINAL$12,896,011
Barclays PLCBarclaysForeign Corrupt Practices Act2019SEC$6,308,726
Barclays plcBarclayseconomic sanction violation2010NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $149,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2015NY-DFS$485,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2015NY-DFS$150,000,000
Barclays Bank PLCBarclaysworkplace whistleblower retaliation2018NY-DFS$15,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2016FINRA$1,300,000
Barclays Capital, Inc.Barclaysinvestor protection violation2015FINRA$13,750,000
Barclays Capital Inc.Barclaysinvestor protection violation2014FINRA$5,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2014FINRA$1,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2013FINRA$3,750,000
Barclays Capital Inc.Barclaysinvestor protection violation2011FINRA$3,000,000
Barclays Capital Inc.Barclaystoxic securities abuses2021NM-AG$4,642,857
Barclays Bank PLCBarclaysinvestor protection violation2022CFTC$75,000,000
Barclays Bank PLCBarclaysinvestor protection violation2022SEC$361,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2022SEC$125,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2020private lawsuit-federal$7,100,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2020private lawsuit-federal$19,975,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2018private lawsuit-federal$120,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2018private lawsuit-federal$384,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2018private lawsuit-federal$30,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2022private lawsuit-federal$12,500,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2018private lawsuit-federal$29,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Barclays Capital Inc.Barclaysprice-fixing or anti-competitive practices2020private lawsuit-federal$87,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2018private lawsuit-federal$94,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2021private lawsuit-federal$5,700,000
BarclaysPLCBarclaysprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2023private lawsuit-federal$17,750,000
THE BANK OF NEW YORK MELLONBank of New York Mellonbanking violation2012FED$6,000,000
BNY MellonBank of New York MellonForeign Corrupt Practices Act2015SEC$14,800,000
Bank of New York MellonBank of New York Mellonbanking violation2015USAO$714,000,000
BNY Mellon Capital Markets, LLCBank of New York Melloninvestor protection violation2015SEC$120,000
Mellon Bank, N.A.Bank of New York MellonFalse Claims Act and related2007DOJ_CIVIL$16,500,000
The Bank of New YorkBank of New York Melloneconomic sanction violation2005OFAC$5,844
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$137,500
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$34,623
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$27,500
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$5,500
Mellon Bank N.A.Bank of New York Melloneconomic sanction violation2004OFAC$10,400
Bank of New YorkBank of New York Melloneconomic sanction violation2003OFAC$24,750
BNY MellonBank of New York Melloninvestor protection violation2017SEC$6,600,000
Bank of New York Mellon CorporationBank of New York Mellonbanking violation2017FED$3,000,000
The Bank of New YorkBank of New York Mellonanti-money-laundering deficiencies2005USAO$38,000,000
Bank of New York Mellon (Shanghai Branch)Bank of New York Mellonexport control violation2011BIS$30,000
BNY Mellon Securities LLCBank of New York Melloninvestor protection violation2011SEC$24,045,447
Bank of New York MellonBank of New York Mellonbenefit plan administrator violation2015EBSA$84,000,000
Bank of New York MellonBank of New York Mellonbanking violation2018FED$16,000
The Bank Of New YorkBank of New York Melloninvestor protection violation2007SEC$750,000
Dreyfus CorporationBank of New York Melloninvestor protection violation2000SEC$950,000
Bank of New York Mellon CorporationBank of New York Mellonbenefit plan administrator violation2015private lawsuit-federal$335,000,000
Bank of New York Mellon CorporationBank of New York Mellonbenefit plan administrator violation2009private lawsuit-federal$2,200,000
Bank of New York MellonBank of New York Melloninvestor protection violation2018SEC$54,000,000
Bank of New York MellonBank of New York Melloninvestor protection violation2013FL-AG$28,000,000
Bank of New York MellonBank of New York Mellonemployment discrimination2010NJ-AG$188,037
Bank of New York MellonBank of New York Mellonbanking violation2015NY-AG$167,500,000
Bank of New York Mellon Corp.Bank of New York Melloninvestor protection violation2011MULTI-AG$1,300,000
BNY Mellon Shareowner ServicesBank of New York Melloninvestor protection violation2010MA-AG$30,000
Dreyfus CorporationBank of New York Melloninvestor protection violation2000NY-AG$2,000,000
Bank of New York MellonBank of New York Melloninvestor protection violation2019CFTC$750,000
Mellon Bank N.A.Bank of New York MellonFalse Claims Act and related2006USAO$18,130,405
BNY Mellon Capital Markets LLCBank of New York Melloninvestor protection violation2011TX-SEC$500,000
BNY Mellon Capital Markets, LLCBank of New York Melloninvestor protection violation2008FINRA$250,000
BNY Mellon Investment Adviser, Inc.Bank of New York Melloninvestor protection violation2022SEC$1,500,000
BNY Mellon Capital Markets LLCBank of New York Melloninvestor protection violation2022SEC$956,833
The Bank of New York Mellon CorporationBank of New York Mellonemployment discrimination2022OFCCP$1,925,000
Bank of New York MellonBank of New York Mellonconsumer protection violation2019private lawsuit-federal$72,500,000
BNY MellonBank of New York Mellonconsumer protection violation2019private lawsuit-federal$10,000,000
Bank of the WestBank of Montrealemployment discrimination2011EEOC$48,000
BMO Harris BankBank of Montrealemployment discrimination2013EEOC$400,000
BMO Harris Bank N.A.Bank of MontrealFamily and Medical Leave Act2015WHD$11,304
Bank of the WestBank of Montrealwage and hour violation2015WHD$33,750
BMO FinancialBank of Montrealwage and hour violation2016private lawsuit-federal$700,000
BMO FinancialBank of Montrealwage and hour violation2015private lawsuit-federal$3,900,000
Harris N.A.Bank of Montrealbenefit plan administrator violation2007EBSA$274,600
BMO Harris Bank, N.A.Bank of Montrealfraud2018USAO$10,000,000
BMO Capital Markets CorporationBank of Montrealinvestor protection violation2019SEC$3,946,000
BANK OF THE WESTBank of Montrealbanking violation2011FDIC$135,000
BANK OF THE WESTBank of Montrealbanking violation2010FDIC$68,200
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp.Bank of Montrealinvestor protection violation2019SEC$37,980,000
BMO Capital Markets Corp.Bank of Montrealinvestor protection violation2019SEC$1,950,000
BMO Capital Markets Corp.Bank of Montrealinvestor protection violation2008FINRA$150,000
Bank of the WestBank of Montrealbanking violation2021FDIC$281,000
Bank Of The WestBank of Montrealwage and hour violation2020CA-LCO$5,783
Bank of the WestBank of Montrealconsumer protection violation2012private lawsuit-federal$18,000,000
BMO HarrisBank of Montrealconsumer protection violation2013private lawsuit-federal$9,400,000
BMO HarrisBank of Montrealconsumer protection violation2013private lawsuit-federal$4,000,000
Bank of MontrealBank of Montrealinvestor protection violation2023CFTC$35,000,000
BMO Capital Markets CorpBank of Montrealinvestor protection violation2023SEC$25,000,000
Bank of HawaiiBank of Hawaiibenefit plan administrator violation2009EBSA$2,500,000
Bank of HawaiiBank of Hawaiiwage and hour violation2018WHD$7,631
Bank of Hawaii Corp.Bank of Hawaiiconsumer protection violation2012private lawsuit-state$9,000,000
Bank of ChinaBank of Chinaeconomic sanction violation2005OFAC$11,000
Bank of ChinaBank of Chinaeconomic sanction violation2004OFAC$10,000
Bank of ChinaBank of Chinabanking violation2002OCC$10,000,000
Bank of ChinaBank of Chinabanking violation2018OCC$12,500,000
Bank of China (UK) LimitedBank of Chinaeconomic sanction violation2021OFAC$2,329,991
Bank of AmericaBank of Americaprice-fixing or anti-competitive practices2010DOJ_ANTITRUST$137,300,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.