Violation Tracker Industry Summary Page
Industry:
financial services
Penalty Total since 2000:
$336,354,784,532
Number of Records:
7,048
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 Companies | Total Penalty $ | Number of Records |
|---|---|---|
| Bank of America | $82,901,469,908 | 264 |
| JPMorgan Chase | $36,060,746,133 | 196 |
| Citigroup | $25,540,645,217 | 156 |
| Wells Fargo | $21,874,892,841 | 221 |
| Deutsche Bank | $18,341,457,302 | 76 |
| UBS | $16,854,236,334 | 99 |
| Goldman Sachs | $16,386,580,996 | 66 |
| NatWest Group PLC | $13,516,771,857 | 33 |
| BNP Paribas | $12,147,863,950 | 19 |
| Credit Suisse | $10,732,400,126 | 49 |
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.
Company |
Parent | Primary Offense Type | Year | Agency | Penalty Amount |
|---|---|---|---|---|---|
| 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 AG | UBS | investor protection violation | 2021 | CFTC | $500,000 |
| 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 |
| UBS Financial Services, Inc. and UBS Securities LLC | UBS | toxic securities abuses | 2008 | MA-AG | $35,000,000 |
| UBS Fund Advisor, LLC | UBS | data submission deficiencies | 2009 | CFTC | $50,000 |
| UBS Global Asset Management | UBS | investor protection violation | 2012 | SEC | $300,000 |
