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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
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$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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 Agency Penalty Amountsort icon
Morgan Stanley Morgan Stanley toxic securities abuses 2016 NY-AG $550,000,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 MULTI-AG $550,000,000
Bank Julius Baer & Co. Ltd. Julius Baer Group tax violations 2016 DOJ_TAX $547,000,000
UBS Securities Japan Co. Ltd. UBS interest rate benchmark manipulation 2012 DOJ_ANTITRUST $500,000,000
HSBC Bank USA, N.A. HSBC banking violation 2012 OCC $500,000,000
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V. ABN AMRO economic sanction violation 2010 DOJ_CRIMINAL $500,000,000
Wells Fargo Bank N.A. Wells Fargo banking violation 2018 OCC $500,000,000
Wells Fargo Bank N.A. Wells Fargo consumer protection violation 2018 CFPB $500,000,000
Bank of America Bank of America investor protection violation 2013 MULTI-AG $500,000,000
Mercer Marsh & McLennan accounting fraud or deficiencies 2010 AK-AG $500,000,000
Royal Bank of Scotland Royal Bank of Scotland toxic securities abuses 2018 NY-AG $500,000,000
Wells Fargo & Co. Wells Fargo investor protection violation 2020 SEC (*) $500,000,000
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
Barclays Bank PLC Barclays foreign exchange market manipulation 2015 NY-DFS $485,000,000
Household Finance Corp. HSBC mortgage abuses 2002 MULTI-AG $484,000,000
Rabobank Rabobank interest rate benchmark manipulation 2013 CFTC $475,000,000
Societe Generale S.A. Societe Generale interest rate benchmark manipulation 2018 CFTC $475,000,000
Merrill Lynch Bank of America investor protection violation 2009 OH-AG $475,000,000
HSBC Bank USA NA HSBC mortgage abuses 2016 DOJ $470,000,000
J.P. Morgan Chase Bank, N.A. JPMorgan Chase anti-money-laundering deficiencies 2014 FINCEN $461,000,000
TD Ameritrade, Inc. Charles Schwab Corp. investor protection violation 2009 MULTI-AG $456,000,000
U.S. Bancorp U.S. Bancorp anti-money-laundering deficiencies 2018 USAO $453,000,000
UBS UBS toxic securities abuses 2017 NCUA $445,000,000
Deutsche Bank AG Deutsche Bank anti-money-laundering deficiencies 2017 NY-DFS $425,000,000
Societe Generale SA Societe Generale economic sanction violation 2018 NY-DFS $420,000,000
SunTrust Mortgage Inc. Truist Financial False Claims Act and related 2014 DOJ_CIVIL $418,000,000
Merrill Lynch Bank of America investor protection violation 2016 SEC $415,000,000
UniCredit Group UniCredit economic sanction violation 2019 DOJ_CRIMINAL $413,536,632
Citigroup Citigroup mortgage abuses 2012 MULTI-AG (*) $413,041,577
JP Morgan Ventures Energy Corporation JPMorgan Chase energy market manipulation 2013 FERC $410,000,000
UniCredit Group UniCredit economic sanction violation 2019 NY-DFS $405,000,000
Bank of America Bank of America toxic securities abuses 2013 FHFA $404,000,000
Barclays Barclays interest rate benchmark manipulation 2015 CFTC $400,000,000
Federal National Mortgage Association (Fannie Mae) Fannie Mae accounting fraud or deficiencies 2006 SEC $400,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. Citigroup investor protection violation 2003 SEC $400,000,000
Marsh and McLennan Marsh & McLennan investor protection violation 2009 MULTI-AG $400,000,000
Salomon Smith Barney Inc. Morgan Stanley investor protection violation 2002 MULTI-AG (*) $400,000,000
Citibank, National Association Citigroup banking violation 2020 OCC $400,000,000
Royal Bank of Scotland plc Royal Bank of Scotland foreign exchange market manipulation 2015 DOJ_CRIMINAL $395,000,000
Citimortgage Inc. and Citibank N.A. Citigroup toxic securities abuses 2013 FHFA $395,000,000
Credit Agricole Credit Agricole economic sanction violation 2015 NY-DFS $385,000,000
State Street Bank and Trust Company State Street Corp. investor protection violation 2016 SEC $382,400,000
HSBC Holdings HSBC economic sanction violation 2012 OFAC $375,000,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC Bank of America investor protection violation 2005 SEC $375,000,000
Banc of America Capital Management LLC et al. Bank of America investor protection violation 2004 NY-AG (*) $375,000,000
Bank of America N.A. Bank of America banking violation 2012 DOJ_RIGHTS $370,000,000
Rabobank National Association Rabobank anti-money-laundering deficiencies 2018 DOJ_CRIMINAL $368,701,259
State Farm Lloyds State Farm Insurance insurance violation 2015 TX-INS $352,500,000
Citibank, National Association Citigroup banking violation 2014 OCC $350,000,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2014 OCC $350,000,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2014 OCC $350,000,000
Massachusetts Financial Services Co. Sun Life Financial investor protection violation 2004 NY-AG $350,000,000
BNP Paribas S.A. BNP Paribas foreign exchange market manipulation 2017 NY-DFS $350,000,000
UBS AG UBS banking violation 2015 FED $342,000,000
BARCLAYS BANK PLC Barclays foreign exchange market manipulation 2015 FED $342,000,000
CITIGROUP INC. Citigroup banking violation 2015 FED $342,000,000
JPMORGAN CHASE & CO. JPMorgan Chase banking violation 2015 FED $342,000,000
Standard Chartered Bank Standard Chartered anti-money-laundering deficiencies 2012 NY-DFS $340,000,000
Countrywide Financial Corporation Bank of America mortgage abuses 2011 DOJ_RIGHTS $335,000,000
Citibank, N.A. Citigroup consumer protection violation 2018 CFPB $335,000,000
Bank of New York Mellon Corporation Bank of New York Mellon benefit plan administrator violation 2015 private lawsuit-federal $335,000,000
Goldman Sachs Goldman Sachs mortgage abuses 2013 FED $330,000,000
Credit Agricole Corporate and Investment Bank Credit Agricole economic sanction violation 2015 OFAC $329,593,585
Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A. JPMorgan Chase consumer protection violation 2013 CFPB $329,000,000
Rabobank Rabobank interest rate benchmark manipulation 2013 DOJ_CRIMINAL $325,000,000
Barclays Capital Inc. Barclays toxic securities abuses 2015 NCUA $325,000,000
Royal Bank of Scotland plc Royal Bank of Scotland interest rate benchmark manipulation 2013 CFTC $325,000,000
Invesco Funds Group, Inc. Invesco investor protection violation 2004 SEC $325,000,000
Ameriquest Mortgage Citigroup consumer protection violation 2006 MULTI-AG $325,000,000
Invesco Funds Group Invesco investor protection violation 2004 MULTI-AG (*) $325,000,000
SunTrust Mortgage Inc. Truist Financial mortgage abuses 2014 DOJ_CIVIL $320,000,000
UniCredit Bank AG UniCredit economic sanction violation 2019 NY-MANDA $316,000,000
State Street Bank and Trust Company State Street Corp. investor protection violation 2010 SEC $313,300,000
Citibank Citigroup interest rate benchmark manipulation 2014 CFTC $310,000,000
JPMorgan Chase Bank JPMorgan Chase interest rate benchmark manipulation 2014 CFTC $310,000,000
Ally Financial Inc. (formerly GMAC) Ally Financial mortgage abuses 2012 DOJ $309,600,000
ING Bank, NV ING economic sanction violation 2012 NY-MANDA (*) $309,500,000
Providian Financial Corp. JPMorgan Chase consumer protection violation 2000 CA-AG $305,500,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2013 OCC $300,000,000
FleetBoston Financial Corp. Bank of America investor protection violation 2004 NY-AG (*) $300,000,000
State Street Bank & Trust Co. State Street Corp. investor protection violation 2010 MA-AG (*) $300,000,000
Standard Chartered Bank Standard Chartered anti-money-laundering deficiencies 2014 NY-DFS $300,000,000
J.P. Morgan Chase & Co. JPMorgan Chase toxic securities abuses 2013 CA-AG (*) $298,973,000
Barclays Bank PLC Barclays economic sanction violation 2010 DOJ_CRIMINAL $298,000,000
J.P. Morgan Securities LLC JPMorgan Chase toxic securities abuses 2012 SEC $296,900,000
Allied Home Mortgage Americus Mortgage fraud 2017 USAO $296,298,325
Standard Chartered Bank Standard Chartered economic sanction violation 2019 DOJ_CRIMINAL $292,210,160
Standard Chartered Bank Standard Chartered economic sanction violation 2019 NY-MANDA $292,000,000
Citigroup Inc. Citigroup toxic securities abuses 2014 MULTI-AG (*) $291,750,000
Royal Bank of Scotland plc Royal Bank of Scotland interest rate benchmark manipulation 2014 CFTC $290,000,000
UBS AG UBS interest rate benchmark manipulation 2014 CFTC $290,000,000
Citigroup Citigroup toxic securities abuses 2011 SEC $285,000,000
Barclays Bank PLC Barclays toxic securities abuses 2014 FHFA $280,000,000
JPMorgan Chase & Co., and EMC Mortgage Corporation JPMorgan Chase banking violation 2012 FED $275,000,000
Morgan Stanley Morgan Stanley toxic securities abuses 2014 SEC $275,000,000
HSBC Bank HSBC interest rate benchmark manipulation 2014 CFTC $275,000,000
Bear Stearns JPMorgan Chase investor protection violation 2012 MI-AG $275,000,000
ROYAL BANK OF SCOTLAND PLC Royal Bank of Scotland banking violation 2015 FED $274,000,000
Bank Leumi Group Bank Leumi tax violations 2014 DOJ_TAX $270,000,000
Prudential Equity Group Prudential Financial investor protection violation 2006 MULTI-AG (*) $270,000,000
Prudential Equity Group Prudential Financial investor protection violation 2006 NY-AG (*) $270,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)