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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$323,889,987,491
Number of Records: 
5,839
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$82,695,676,034210
JPMorgan Chase$34,517,828,993151
Citigroup$25,045,655,764120
Wells Fargo$21,139,073,231172
Deutsche Bank$17,995,700,77855
UBS$16,782,800,91082
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,332,95016
Credit Suisse$10,409,957,62631


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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Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
Bank of America Corporation Bank of America mortgage abuses 2014 DOJ $16,650,000,000
JPMorgan Chase JPMorgan Chase toxic securities abuses 2013 DOJ $13,000,000,000
UBS Securities LLC and UBS Financial Services, Inc. UBS investor protection violation 2008 MULTI-AG $11,150,000,000
Bank of America Corporation Bank of America mortgage abuses 2012 DOJ $10,956,600,000
Bank of America Bank of America toxic securities abuses 2013 FHFA $10,350,000,000
Bank of America Corporation Bank of America toxic securities abuses 2014 FHFA $9,300,000,000
BNP Paribas S.A. BNP Paribas economic sanction violation 2015 DOJ_CRIMINAL $8,973,600,000
Countrywide Home Loans Bank of America mortgage abuses 2008 MULTI-AG $8,680,000,000
Deutsche Bank Deutsche Bank toxic securities abuses 2017 DOJ_CIVIL $7,200,000,000
Citigroup Global Markets, Inc. and Citi Smith Barney Citigroup investor protection violation 2008 MULTI-AG $7,100,000,000
Citigroup Inc. Citigroup toxic securities abuses 2014 DOJ $7,000,000,000
Royal Bank of Scotland PLC Royal Bank of Scotland toxic securities abuses 2017 FHFA $5,500,000,000
Wells Fargo & Company Wells Fargo mortgage abuses 2012 DOJ $5,342,200,000
JPMorgan Chase & Co. JPMorgan Chase mortgage abuses 2012 DOJ $5,333,600,000
Credit Suisse Credit Suisse toxic securities abuses 2017 DOJ_CIVIL $5,280,000,000
Goldman Sachs Goldman Sachs toxic securities abuses 2016 DOJ $5,060,000,000
Royal Bank of Scotland Group plc Royal Bank of Scotland toxic securities abuses 2018 DOJ_CIVIL $4,900,000,000
Banc of America Securities LLC Bank of America investor protection violation 2008 MULTI-AG $4,550,000,000
Morgan Stanley Morgan Stanley investor protection violation 2008 MULTI-AG $3,535,000,000
JP Morgan Chase & Co. JPMorgan Chase investor protection violation 2008 MULTI-AG $3,525,000,000
Merrill Lynch & Co. Bank of America investor protection violation 2008 MULTI-AG $3,458,333,333
Goldman Sachs Group, Inc. Goldman Sachs investor protection violation 2008 MULTI-AG $3,355,833,333
Deutsche Bank Securities, Inc. and Deutsche Bank AG Deutsche Bank investor protection violation 2008 MULTI-AG $3,348,333,333
Goldman Sachs & Co. Goldman Sachs toxic securities abuses 2014 FHFA $3,150,000,000
Countrywide Financial Corporation Bank of America mortgage abuses 2010 MULTI-AG $3,004,100,000
Wells Fargo & Company Wells Fargo fraud 2020 DOJ_CIVIL $3,000,000,000
Bank of America Bank of America banking violation 2013 OCC $2,886,578,478
Morgan Stanley Morgan Stanley toxic securities abuses 2016 DOJ $2,600,000,000
Bank of America Bank of America investor protection violation 2012 MULTI-AG $2,430,000,000
Bank of America Bank of America mortgage abuses 2012 MULTI-AG (*) $2,382,415,075
BNP Paribas S.A. BNP Paribas economic sanction violation 2014 NY-MANDA (*) $2,243,400,000
BNP Paribas BNP Paribas economic sanction violation 2014 NY-DFS $2,240,000,000
Citigroup Inc. Citigroup mortgage abuses 2012 DOJ $2,202,000,000
Ocwen Financial Corporation and Ocwen Loan Servicing Ocwen Financial consumer protection violation 2013 CFPB $2,125,000,000
Wells Fargo Bank, N.A. Wells Fargo toxic securities abuses 2018 DOJ_CIVIL $2,090,000,000
Barclays Capital, Inc. Barclays toxic securities abuses 2018 USAO $2,000,000,000
Wells Fargo Wells Fargo banking violation 2013 OCC $1,991,141,181
JPMorgan Chase JPMorgan Chase banking violation 2013 OCC $1,958,450,341
Deutsche Bank AG Deutsche Bank toxic securities abuses 2013 FHFA $1,925,000,000
SAC Capital SAC Capital insider trading 2013 USAO $1,800,000,000
Credit Suisse AG Credit Suisse tax violations 2014 DOJ_TAX $1,800,000,000
JPMorgan Chase Bank JPMorgan Chase anti-money-laundering deficiencies 2014 USAO $1,700,000,000
American International Group American International Group price-fixing or anti-competitive practices 2006 NY-AG (*) $1,619,000,000
Bank of America Bank of America toxic securities abuses 2011 FHFA $1,520,000,000
Wells Fargo Wells Fargo investor protection violation 2009 CA-AG $1,400,000,000
MF Global Holdings Ltd. MF Global investor protection violation 2014 CFTC $1,312,000,000
Bank of America Bank of America toxic securities abuses 2011 FHFA $1,300,000,000
HSBC Holdings plc HSBC Bank USA N.A. HSBC anti-money-laundering deficiencies 2012 DOJ_CRIMINAL $1,256,000,000
Morgan Stanley Morgan Stanley toxic securities abuses 2014 FHFA $1,250,000,000
Wells Fargo Bank, National Association Wells Fargo False Claims Act and related 2016 DOJ_CIVIL $1,200,000,000
JPMorgan Chase JPMorgan Chase mortgage abuses 2012 MULTI-AG (*) $1,121,188,661
JPMorgan Chase JPMorgan Chase toxic securities abuses 2013 MULTI-AG (*) $1,066,000,000
Wells Fargo Wells Fargo mortgage abuses 2012 MULTI-AG (*) $1,005,233,716
Citigroup Citigroup toxic securities abuses 2013 FHFA $968,000,000
Bank of America Corporation Bank of America mortgage abuses 2014 MULTI-AG (*) $943,000,000
Citicorp Citigroup foreign exchange market manipulation 2015 DOJ_CRIMINAL $925,000,000
Credit Suisse Credit Suisse toxic securities abuses 2014 FHFA $885,000,000
UBS Americas Inc. UBS toxic securities abuses 2013 FHFA $885,000,000
Wells Fargo Bank, National Association Wells Fargo toxic securities abuses 2013 FHFA $869,000,000
RBC Capital Markets Corporation Royal Bank of Canada investor protection violation 2008 MULTI-AG $859,800,000
Marsh & McLennan Companies, Inc. Marsh & McLennan price-fixing or anti-competitive practices 2005 MULTI-AG $850,000,000
Deutsche Bank Deutsche Bank interest rate benchmark manipulation 2015 CFTC $800,000,000
American International Group, Inc. American International Group investor protection violation 2006 SEC $800,000,000
Citibank Citigroup banking violation 2013 OCC $793,492,868
UBS AG UBS tax violations 2009 DOJ_TAX $780,000,000
Deutsche Bank AG Deutsche Bank interest rate benchmark manipulation 2015 DOJ_CRIMINAL $775,000,000
HSBC HSBC toxic securities abuses 2018 USAO $765,000,000
Bank of America, N.A. Bank of America consumer protection violation 2014 CFPB $747,000,000
Citibank N.A. Citigroup consumer protection violation 2015 CFPB $733,800,000
American International Group American International Group investor protection violation 2010 OH-AG $725,000,000
Societe Generale S.A. Societe Generale economic sanction violation 2018 USAO $717,200,000
Credit Suisse AG Credit Suisse tax violations 2014 NY-DFS $715,000,000
Bank of New York Mellon Bank of New York Mellon banking violation 2015 USAO $714,000,000
Barclays PLC Barclays foreign exchange market manipulation 2015 DOJ_CRIMINAL $710,000,000
UBS AG UBS interest rate benchmark manipulation 2012 CFTC $700,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2019 OFAC (*) $657,040,033
Commerzbank AG Commerzbank economic sanction violation 2015 DOJ_CRIMINAL $642,000,000
ING Bank N.V. ING economic sanction violation 2012 DOJ_CRIMINAL $619,000,000
ING Bank N.V. ING economic sanction violation 2012 OFAC (*) $619,000,000
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd. Bank Hapoalim tax violations 2020 DOJ_TAX $616,910,000
JPMorgan Chase JPMorgan Chase False Claims Act and related 2014 DOJ_CIVIL $614,000,000
Commerzbank Commerzbank economic sanction violation 2015 NY-DFS $610,000,000
CR Intrinsic Investors SAC Capital investor protection violation 2013 SEC $601,747,463
Prudential Equity Group LLC Prudential Financial investor protection violation 2006 DOJ_CRIMINAL $600,000,000
Alliance Capital Management AXA investor protection violation 2003 NY-AG (*) $600,000,000
Deutsche Bank Deutsche Bank interest rate benchmark manipulation 2015 NY-DFS $600,000,000
Wells Fargo Wells Fargo toxic securities abuses 2013 FHFA $591,000,000
Western Union Company Western Union anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $586,000,000
Wells Fargo Bank N.A. Wells Fargo banking violation 2018 MULTI-AG $575,000,000
Republic New York Securities HSBC fraud 2001 USAO $569,000,000
Deutsche Bank AG Deutsche Bank tax violations 2010 USAO $553,633,153
UniCredit Bank AG UniCredit economic sanction violation 2019 OFAC (*) $553,380,759
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2014 CFPB $550,000,000
JPMorgan Chase & Co. JPMorgan Chase foreign exchange market manipulation 2015 DOJ_CRIMINAL $550,000,000
Goldman Sachs & Co. Goldman Sachs toxic securities abuses 2010 SEC $550,000,000
HSBC North America Holdings Inc. HSBC toxic securities abuses 2014 FHFA $550,000,000
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
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