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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$339,976,074,213
Number of Records: 6,952
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$82,898,016,192264
JPMorgan Chase$36,107,446,133199
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
Goldman Sachs$16,399,485,79387
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,148,363,95019
Credit Suisse$10,732,400,12649

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 ParentPrimary Offense Type sort iconYearAgencyPenalty Amount
Wells Fargo Bank, National AssociationWells FargoServicemembers Civil Relief Act2016OCC$20,000,000
PHH Mortgage CorporationOcwen FinancialServicemembers Civil Relief Act2019DOJ_RIGHTS$750,000
Santander Consumer USA Inc, dba Chrysler CapitalBanco SantanderServicemembers Civil Relief Act2021DOJ_RIGHTS$134,282
Deutsche Bank AGDeutsche Banktax violations2010USAO$553,633,153
Bank Julius Baer & Co. Ltd.Julius Baer Grouptax violations2016DOJ_TAX$547,000,000
Union Bancaire PriveeUnion Bancaire Priveetax violations2016DOJ_TAX$187,000,000
Coutts & Co LtdNatWest Group PLCtax violations2015DOJ_TAX$78,484,000
Credit Agricole (Suisse) SACredit Agricoletax violations2015DOJ_TAX$99,211,000
Deutsche Bank (Suisse) SADeutsche Banktax violations2015DOJ_TAX$31,026,000
BNP Paribas (Suisse) SABNP Paribastax violations2015DOJ_TAX$59,783,000
Standard Chartered Bank (Switzerland) SA, en liquidationStandard Charteredtax violations2015DOJ_TAX$6,337,000
BBVA Suiza S.A.Banco Bilbao Vizcaya Argentariatax violations2015DOJ_TAX$10,390,000
Societe Generale Private Banking (Suisse) SASociete Generaletax violations2015DOJ_TAX$17,807,000
Societe Generale Private Banking (Lugano-Svizzera)Societe Generaletax violations2015DOJ_TAX$1,363,000
Bank Leumi GroupBank Leumitax violations2014DOJ_TAX$270,000,000
Credit Suisse AGCredit Suissetax violations2014DOJ_TAX$1,800,000,000
UBS AGUBStax violations2009DOJ_TAX$780,000,000
UBS AGUBStax violations2009SEC$200,000,000
Louis Dreyfus Commodities Grand Junction LLCLouis Dreyfustax violations2017ATTTB$14,000
Deutsche BankDeutsche Banktax violations2017USAO$95,000,000
Zurich Life Insurance Company LtdZurich Insurancetax violations2019DOJ_TAX$5,115,000
American Express Centurion BankAmerican Expresstax violations2012CT-AG$14,970
American International Group, Inc.American International Grouptax violations2006MI-AG$5,279,484
Brown & Brown Insurance of Arizona, Inc.Brown & Browntax violations2014CT-AG$37,650
John Hancock Assignment Co.Manulife Financialtax violations2014CT-AG$38,910
Pacific Resources Benefits Advisors, LLCBrown & Browntax violations2014CT-AG$5,400
Pioneer Credit Recovery, Inc.Navienttax violations2013CT-AG$12,255
HSBC Private Bank (Suisse) SAHSBCtax violations2019USAO$192,350,000
Union Bancaire Privee, UBP SAUnion Bancaire Priveetax violations2020DOJ_TAX$14,000,000
Coutts & Co Ltd.NatWest Group PLCtax violations2019DOJ_TAX$27,900,000
Bank Hapoalim B.M,Bank Hapoalimtax violations2020FED$37,350,000
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd.Bank Hapoalimtax violations2020DOJ_TAX$616,910,000
Credit Suisse AGCredit Suissetax violations2014NY-DFS$715,000,000
Bank LeumiBank Leumitax violations2014NY-DFS$130,000,000
Bank Hapoalim B.M.Bank Hapoalimtax violations2020NY-DFS$220,000,000
Swiss Life Holding AG et al.Swiss Life Grouptax violations2021DOJ_TAX$77,374,337
Farmers Insurance Exchange, Truck Insurance Exchange and Fire Insurance ExchangeFarmers Insurance Exchangetelecommunications violation2015MO-AG$575,000
Morgan Stanley & Co. LLCMorgan Stanleytoxic securities abuses2016FDIC$62,950,000
Goldman SachsGoldman Sachstoxic securities abuses2016DOJ$5,060,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2016DOJ$2,600,000,000
Citigroup Inc.Citigrouptoxic securities abuses2014DOJ$7,000,000,000
JPMorgan ChaseJPMorgan Chasetoxic securities abuses2013DOJ$13,000,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2014SEC$275,000,000
Merrill LynchBank of Americatoxic securities abuses2013SEC$131,800,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2013SEC$153,700,000
UBS SecuritiesUBStoxic securities abuses2013SEC$50,000,000
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2012SEC$296,900,000
Credit Suisse Securities (USA)Credit Suissetoxic securities abuses2012SEC$120,000,000
Wells FargoWells Fargotoxic securities abuses2012SEC$6,500,000
Option One Mortgage CorporationOcwen Financialtoxic securities abuses2012SEC$28,200,000
CitigroupCitigrouptoxic securities abuses2011SEC$285,000,000
Morgan Keegan & CompanyRaymond James Financialtoxic securities abuses2011SEC$200,000,000
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2011SEC$153,600,000
Wells Fargo Securities LLCWells Fargotoxic securities abuses2011SEC$11,000,000
Citigroup Inc.Citigrouptoxic securities abuses2010SEC$75,000,000
Goldman Sachs & Co.Goldman Sachstoxic securities abuses2010SEC$550,000,000
HSBC North America Holdings Inc.HSBCtoxic securities abuses2014FHFA$550,000,000
Goldman Sachs & Co.Goldman Sachstoxic securities abuses2014FHFA$3,150,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2014FHFA$99,500,000
First Horizon National CorporationFirst Horizon Nationaltoxic securities abuses2014FHFA$110,000,000
Barclays Bank PLCBarclaystoxic securities abuses2014FHFA$280,000,000
Bank of America CorporationBank of Americatoxic securities abuses2014FHFA$9,300,000,000
Credit SuisseCredit Suissetoxic securities abuses2014FHFA$885,000,000
Societe GeneraleSociete Generaletoxic securities abuses2014FHFA$122,000,000
Morgan StanleyMorgan Stanleytoxic securities abuses2014FHFA$1,250,000,000
Deutsche Bank AGDeutsche Banktoxic securities abuses2013FHFA$1,925,000,000
UBS Americas Inc.UBStoxic securities abuses2013FHFA$885,000,000
Wells FargoWells Fargotoxic securities abuses2013FHFA$591,000,000
Bank of AmericaBank of Americatoxic securities abuses2013FHFA$404,000,000
Wells Fargo Bank, National AssociationWells Fargotoxic securities abuses2013FHFA$869,000,000
Citimortgage Inc. and Citibank N.A.Citigrouptoxic securities abuses2013FHFA$395,000,000
SunTrust Mortgage, Inc.Truist Financialtoxic securities abuses2013FHFA$65,000,000
Bank of AmericaBank of Americatoxic securities abuses2011FHFA$1,300,000,000
Bank of AmericaBank of Americatoxic securities abuses2011FHFA$1,520,000,000
Bank of AmericaBank of Americatoxic securities abuses2013FHFA$10,350,000,000
CitigroupCitigrouptoxic securities abuses2013FHFA$968,000,000
UBSUBStoxic securities abuses2016NCUA$69,800,000
Credit SuisseCredit Suissetoxic securities abuses2016NCUA$50,300,000
Morgan StanleyMorgan Stanleytoxic securities abuses2015NCUA$225,000,000
WachoviaWells Fargotoxic securities abuses2015NCUA$53,000,000
Barclays Capital Inc.Barclaystoxic securities abuses2015NCUA$325,000,000
Royal Bank of Scotland plcNatWest Group PLCtoxic securities abuses2015NCUA$129,600,000
Bank of AmericaBank of Americatoxic securities abuses2013NCUA$165,000,000
HSBCHSBCtoxic securities abuses2012NCUA$5,250,000
CitigroupCitigrouptoxic securities abuses2011NCUA$20,500,000
Deutsche Bank SecuritiesDeutsche Banktoxic securities abuses2011NCUA$145,000,000
Fifth Third BancorpFifth Third Bancorptoxic securities abuses2015USAO$85,000,000
Deutsche Bank AGDeutsche Banktoxic securities abuses2012USAO$202,300,000
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc.Nomuratoxic securities abuses2016NCUA$3,000,000
Deutsche BankDeutsche Banktoxic securities abuses2017DOJ_CIVIL$7,200,000,000
Credit SuisseCredit Suissetoxic securities abuses2017DOJ_CIVIL$5,280,000,000
UBSUBStoxic securities abuses2017NCUA$445,000,000
Royal Bank of Scotland PLCNatWest Group PLCtoxic securities abuses2017FHFA$5,500,000,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2017USAO$44,000,000
Societe Generale S.A.Societe Generaletoxic securities abuses2017USAO$50,000,000
Ally Financial Inc.Ally Financialtoxic securities abuses2016USAO$52,000,000
Ambac Financial Group et al.Ambac Financialtoxic securities abuses2013USAO$101,900,000
Barclays Capital, Inc.Barclaystoxic securities abuses2018USAO$2,000,000,000
Royal Bank of Scotland Group plcNatWest Group PLCtoxic securities abuses2018DOJ_CIVIL$4,900,000,000
Wells Fargo Bank, N.A.Wells Fargotoxic securities abuses2018DOJ_CIVIL$2,090,000,000
HSBCHSBCtoxic securities abuses2018USAO$765,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.