Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$344,899,848,624
Number of Records: 
6,989
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$82,898,016,192264
JPMorgan Chase$36,107,446,133199
Citigroup$25,540,645,217156
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
UBS$16,854,318,334101
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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parentsort icon Primary Offense Type Year Agency Penalty Amount
Warburg Dillon Read LLC UBS investor protection violation 2000 SEC $6,680,000
UBS Financial Services UBS investor protection violation 2016 SEC $15,025,882
UBS, Inc. UBS wage and hour violation 2013 WHD $90,902
UBS Financial Services, Inc. UBS wage and hour violation 2007 WHD $27,152
UBS Inc. UBS labor relations violation 2010 NLRB $26,351
UBS UBS toxic securities abuses 2017 NCUA $445,000,000
UBS Financial Services, Inc. UBS investor protection violation 2017 SEC $3,500,000
UBS Financial Services Inc. UBS investor protection violation 2015 SEC $480,000
UBS AG UBS investor protection violation 2018 CFTC $15,000,000
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 as successor to Piper Jaffray UBS wage and hour violation 2008 private lawsuit-federal $5,500,000
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 O'Connor, LLC UBS investor protection violation 2013 SEC $5,297,716
UBS Financial Services Inc. UBS wage and hour violation 2018 WHD $6,246
UBS Securities LLC UBS investor protection violation 2005 SEC $700,000
UBS Global Asset Management UBS benefit plan administrator violation 2006 private lawsuit-federal $5,493,000
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 UBS investor protection violation 2010 MI-AG $117,000,000
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 Financial Services Inc. UBS investor protection violation 2006 NJ-AG $24,750,000
UBS Financial Services, Inc UBS investor protection violation 2013 MULTI-AG $4,580,000
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. and UBS Securities LLC UBS toxic securities abuses 2008 MA-AG $35,000,000
UBS Securities LLC UBS toxic securities abuses 2018 NY-AG $230,000,000
UBS Securities LLC UBS toxic securities abuses 2016 VA-AG $850,000
UBS Securities LLC and UBS Financial Services, Inc UBS investor protection violation 2011 NJ-AG $3,790,487
UBS Securities LLC and UBS Financial Services, Inc. UBS investor protection violation 2008 MULTI-AG $11,150,000,000
UBS Warburg LLC UBS investor protection violation 2002 MULTI-AG (*) $80,000,000
UBS AG UBS price-fixing or anti-competitive practices 2016 WV-AG $325,000
UBS Securities LLC UBS investor protection violation 2010 AK-DBS $733,465
UBS Financial Services, Inc. UBS investor protection violation 2013 AK-DBS $64,661
UBS Financial Services Inc. UBS investor protection violation 2007 CT-SEC $5,500,000
UBS Financial Services UBS investor protection violation 2011 IN-SEC $677,000
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 2011 NH-BSR $1,000,000
UBS Financial Services Inc. UBS investor protection violation 2012 NH-BSR $72,500
UBS Securities LLC UBS investor protection violation 2010 TX-SEC $6,640,432
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 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 Securities LLC and UBS Financial Services Inc. UBS investor protection violation 2008 MULTI-FIN (*) $150,000,000
UBS Warburg and UBS PaineWebber UBS investor protection violation 2003 MULTI-FIN (*) $25,000,000
UBS Financial Services Inc. UBS investor protection violation 2020 SEC $10,000,000
UBS AG UBS environmental violation 2011 CT-ENV $80,000
UBS Financial Services Inc. UBS investor protection violation 2019 FINRA $2,000,000
UBS Financial Services Inc. and UBS Securities LLC UBS anti-money-laundering deficiencies 2018 FINRA $5,000,000
UBS Financial Services Incorporated of Puerto Rico UBS investor protection violation 2015 FINRA $18,500,000
UBS Financial Services UBS investor protection violation 2012 FINRA $2,354,584
UBS Securities LLC UBS investor protection violation 2011 FINRA $12,000,000
UBS Financial Services, Inc. UBS investor protection violation 2011 FINRA $10,750,000
UBS Securities UBS investor protection violation 2009 FINRA $268,000
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 Securities, LLC UBS investor protection violation 2008 FINRA $200,000
UBS Financial Services, Inc. UBS investor protection violation 2007 FINRA $370,000
UBS International Inc. UBS investor protection violation 2005 FINRA $10,000
Schwab Capital Markets, L.P. UBS investor protection violation 2004 FINRA $70,000
UBS Securities, L.L.C. UBS investor protection violation 2004 FINRA $10,000
UBS Financial Services Inc. UBS investor protection violation 2004 FINRA $200,666
Schwab Capital Markets UBS investor protection violation 2001 FINRA $12,000
UBS Financial Services Inc. UBS investor protection violation 2021 SEC $8,112,174
UBS AG UBS investor protection violation 2021 CFTC $500,000
UMB Bank, NA UMB Financial Corp. banking violation 2017 OCC $1,500,000
UMB Bank N.A. Investment Banking Division UMB Financial Corp. investor protection violation 2015 SEC $420,000
UMPQUA BANK Umpqua Holdings banking violation 2008 FDIC $90,240
Umpqua Bank Umpqua Holdings wage and hour violation 2015 WA-DLI $15,350
Sterling Financial Corporation Umpqua Holdings benefit plan administrator violation 2013 private lawsuit-federal $3,025,000
Umpqua Bank Umpqua Holdings employment screening violation 2019 private lawsuit-federal $325,000
Umpqua Bank Umpqua Holdings banking violation 2021 FDIC $1,800,000
UniCredit Group UniCredit economic sanction violation 2019 DOJ_CRIMINAL $413,536,632
UniCredit, S.p.A. UniCredit banking violation 2019 FED $158,000,000
UniCredit Bank AG UniCredit economic sanction violation 2019 OFAC (*) $553,380,759
UniCredit Bank Austria AG UniCredit economic sanction violation 2019 OFAC (*) $20,326,340
UniCredit S.p.A. UniCredit economic sanction violation 2019 OFAC (*) $37,316,322
UniCredit Bank AG UniCredit economic sanction violation 2019 NY-MANDA $316,000,000
UniCredit Bank Austria AG UniCredit economic sanction violation 2019 NY-MANDA $20,000,000
UniCredit Group UniCredit economic sanction violation 2019 NY-DFS $405,000,000
Union Bancaire Privee Union Bancaire Privee tax violations 2016 DOJ_TAX $187,000,000
Union Bancaire Privee, UBP SA Union Bancaire Privee tax violations 2020 DOJ_TAX $14,000,000
Union Savings Bank and Guardian Savings Bank Union Savings Bank discriminatory practices (non-employment) 2016 DOJ_RIGHTS $9,000,000
United Community Banks, Inc. United Community Banks Inc. benefit plan administrator violation 2013 private lawsuit-federal $3,500,000
Universal Property & Casualty Insurance Co. Universal Insurance Holdings insurance violation 2004 FL-OFR $47,500
Universal Property & Casualty Insurance Co. Universal Insurance Holdings insurance violation 2009 FL-OFR $99,000
Universal Property & Casualty Insurance Co. Universal Insurance Holdings insurance violation 2013 FL-OFR $1,260,000
Univest Corporation of Pennsylvania Univest Financial Family and Medical Leave Act 2016 WHD $5,076
UNUM Unum wage and hour violation 2011 WA-DLI $15,070
UNUM Life Insurance Company of America Unum benefit plan administrator violation 2010 private lawsuit-federal $5,000,000
Unum Life Insurance Co. Unum False Claims Act and related 2005 MA-AG $650,000
UnumProvident Corporation Unum consumer protection violation 2006 NY-AG $17,400,000
UnumProvident Corporation Unum consumer protection violation 2004 MULTI-AG $15,000,000
Unum Group Unum kickbacks and bribery 2008 USAO $5,550,000
Unum Insurance Co. Unum kickbacks and bribery 2008 CA-MULTI $250,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)