Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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 Parent Primary Offense Type Year Agencysort icon Penalty Amount
Regions Bank Regions Financial consumer protection violation 2015 CFPB $7,500,000
Wells Fargo Wells Fargo consumer protection violation 2015 CFPB $34,800,000
JPMorgan Chase JPMorgan Chase consumer protection violation 2015 CFPB $900,000
M&T Bank M&T Bank consumer protection violation 2014 CFPB $3,100,000
Flagstar Bank Flagstar Bancorp consumer protection violation 2014 CFPB $37,500,000
U.S. Bank U.S. Bancorp consumer protection violation 2014 CFPB $53,000,000
Amerisave Mortgage Corporation and Novo Appraisal Management Company AmeriSave Mortgage consumer protection violation 2014 CFPB $19,300,000
ACE Cash Express ACE Cash Express consumer protection violation 2014 CFPB $15,000,000
GE Capital Retail Bank, now known as Synchrony Bank Synchrony Financial consumer protection violation 2014 CFPB $225,000,000
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2014 CFPB $550,000,000
Bank of America, N.A. Bank of America consumer protection violation 2014 CFPB $747,000,000
American Express American Express consumer protection violation 2013 CFPB $69,100,000
National City Bank and its successor PNC Bank PNC Financial Services banking violation 2013 CFPB $35,000,000
Ally Financial Inc. and Ally Bank Ally Financial consumer protection violation 2013 CFPB $98,000,000
Ocwen Financial Corporation and Ocwen Loan Servicing Ocwen Financial consumer protection violation 2013 CFPB $2,125,000,000
Cash America International Inc. FirstCash payday lending violation 2013 CFPB $19,000,000
Republic Mortgage Insurance Corporation Old Republic International consumer protection violation 2013 CFPB $100,000
Washington Federal Washington Federal Inc. consumer protection violation 2013 CFPB $34,000
Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A. JPMorgan Chase consumer protection violation 2013 CFPB $329,000,000
U.S. Bank U.S. Bancorp banking violation 2013 CFPB $3,200,000
American Express American Express consumer protection violation 2012 CFPB $99,100,000
Discover Bank Discover Financial Services consumer protection violation 2012 CFPB $214,000,000
Capital One Bank (U.S.A.), N.A. Capital One Financial consumer protection violation 2012 CFPB $165,000,000
Santander Bank, N.A. Banco Santander consumer protection violation 2016 CFPB $10,000,000
BancorpSouth Bank BancorpSouth mortgage abuses 2016 CFPB $10,600,000
Wells Fargo Bank Wells Fargo consumer protection violation 2016 CFPB $4,010,000
First National Bank of Omaha First National of Nebraska consumer protection violation 2016 CFPB $32,250,000
Wells Fargo Bank Wells Fargo banking violation 2016 CFPB $100,000,000
TMX Finance LLC TMX Finance consumer protection violation 2016 CFPB $9,000,000
Navy Federal Credit Union Navy Federal Credit Union consumer protection violation 2016 CFPB $28,500,000
CitiFinancial Servicing and CitiMortgage, Inc. Citigroup consumer protection violation 2017 CFPB $28,800,000
Prospect Mortgage, LLC Homebridge Financial Services consumer protection violation 2017 CFPB $3,500,000
Mastercard International Inc. MasterCard consumer protection violation 2017 CFPB $13,000,000
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2017 CFPB $1,750,000
American Express American Express consumer protection violation 2017 CFPB $96,000,000
JPMorgan Chase Bank, N.A. JPMorgan Chase consumer protection violation 2017 CFPB $4,600,000
Citibank N.A. Citigroup consumer protection violation 2017 CFPB $6,000,000
Wells Fargo Bank N.A. Wells Fargo consumer protection violation 2018 CFPB $500,000,000
TCF National Bank Huntington Bancshares consumer protection violation 2018 CFPB $28,000,000
Citibank, N.A. Citigroup consumer protection violation 2018 CFPB $335,000,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2018 CFPB $11,790,000
Enova International, Inc. Enova International consumer protection violation 2019 CFPB $3,200,000
USAA Federal Savings Bank USAA consumer protection violation 2019 CFPB $15,500,000
Freedom Mortgage Corporation Freedom Mortgage mortgage abuses 2019 CFPB $1,750,000
TD Bank, N.A. Toronto-Dominion Bank consumer protection violation 2020 CFPB $122,000,000
Nationstar Mortgage, LLC dba Mr. Cooper Mr. Cooper Group consumer protection violation 2020 CFPB $74,500,000
Washington Federal Bank, N.A. Washington Federal Inc. consumer protection violation 2020 CFPB $200,000
Encore Capital Group, Inc. Encore Capital Group consumer protection violation 2020 CFPB $15,079,308
Discover Bank et al. Discover Financial Services consumer protection violation 2020 CFPB $35,000,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 CFPB $4,750,000
Citigroup Citigroup interest rate benchmark manipulation 2016 CFTC $175,000,000
Citibank Citigroup interest rate benchmark manipulation 2016 CFTC $250,000,000
JPMorgan Chase JPMorgan Chase data submission deficiencies 2016 CFTC $225,000
Credit Suisse Credit Suisse investor protection violation 2016 CFTC $665,000
JPMorgan Chase Bank JPMorgan Chase data submission deficiencies 2015 CFTC $100,000,000
BNP Paribas Securities BNP Paribas investor protection violation 2015 CFTC $140,000
Deutsche Bank AG Deutsche Bank data submission deficiencies 2015 CFTC $2,500,000
Morgan Stanley Morgan Stanley investor protection violation 2015 CFTC $300,000
Barclays Barclays interest rate benchmark manipulation 2015 CFTC $400,000,000
Barclays Barclays interest rate benchmark manipulation 2015 CFTC $115,000,000
Deutsche Bank Deutsche Bank interest rate benchmark manipulation 2015 CFTC $800,000,000
Deutsche Bank Securities Deutsche Bank accounting fraud or deficiencies 2014 CFTC $3,000,000
Royal Bank of Canada Royal Bank of Canada investor protection violation 2014 CFTC $35,000,000
Citibank Citigroup interest rate benchmark manipulation 2014 CFTC $310,000,000
HSBC Bank HSBC interest rate benchmark manipulation 2014 CFTC $275,000,000
JPMorgan Chase Bank JPMorgan Chase interest rate benchmark manipulation 2014 CFTC $310,000,000
Royal Bank of Scotland plc NatWest Group PLC interest rate benchmark manipulation 2014 CFTC $290,000,000
UBS AG UBS interest rate benchmark manipulation 2014 CFTC $290,000,000
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2014 CFTC $280,000
Merrill Lynch Bank of America investor protection violation 2014 CFTC $1,200,000
JPMorgan Securities JPMorgan Chase data submission deficiencies 2014 CFTC $650,000
Lloyds Banking Group plc Lloyds Banking Group interest rate benchmark manipulation 2014 CFTC $105,000,000
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2014 CFTC $490,000
Morgan Stanley Capital Group Morgan Stanley investor protection violation 2014 CFTC $200,000
Rabobank Rabobank interest rate benchmark manipulation 2013 CFTC $475,000,000
JPMorgan Chase JPMorgan Chase investor protection violation 2013 CFTC $100,000,000
ABN AMRO Clearing Chicago LLC ABN AMRO investor protection violation 2013 CFTC $1,000,000
Royal Bank of Scotland plc NatWest Group PLC interest rate benchmark manipulation 2013 CFTC $325,000,000
Mizuho Securities USA Inc. Mizuho Financial data submission deficiencies 2013 CFTC $175,000
UBS AG UBS interest rate benchmark manipulation 2012 CFTC $700,000,000
Goldman Sachs Goldman Sachs investor protection violation 2012 CFTC $1,500,000
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2012 CFTC $200,000
JPMorgan Chase Bank JPMorgan Chase investor protection violation 2012 CFTC $600,000
Citigroup Citigroup investor protection violation 2012 CFTC $525,000
Barclays PLC Barclays interest rate benchmark manipulation 2012 CFTC $200,000,000
Morgan Stanley Morgan Stanley investor protection violation 2012 CFTC $5,000,000
JPMorgan Chase Bank JPMorgan Chase accounting fraud or deficiencies 2012 CFTC $20,000,000
Goldman Sachs Execution & Clearing LP Goldman Sachs investor protection violation 2012 CFTC $7,000,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2012 CFTC $140,000
BlackRock Institutional Trust Company NA BlackRock investor protection violation 2012 CFTC $250,000
Merrill Lynch Bank of America investor protection violation 2011 CFTC $350,000
Morgan Stanley Capital Group Morgan Stanley data submission deficiencies 2010 CFTC $14,000,000
UBS Securities UBS data submission deficiencies 2010 CFTC $200,000
Barclays Capital Inc. Barclays investor protection violation 2016 CFTC $800,000
Barclays Bank PLC Barclays investor protection violation 2016 CFTC $560,000
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. BC Capital Group investor protection violation 2016 CFTC $490,246,741
INTL FCStone Markets, LLC INTL FCStone investor protection violation 2015 CFTC $200,000
FCStone, LLC INTL FCStone investor protection violation 2015 CFTC $140,000
ICE Futures U.S. Inc. IntercontinentalExchange Group investor protection violation 2015 CFTC $3,000,000
U.S. Bank National Association U.S. Bancorp investor protection violation 2015 CFTC $18,000,000
MF Global Holdings Ltd. MF Global investor protection violation 2014 CFTC $1,312,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)