Violation Tracker Industry Summary Page
Industry:
financial services
Penalty Total since 2000:
$228,770,992,016
Number of Records:
1,939
Note:
The total includes only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The penalty dollar total above is adjusted to account for the fact that the list of entries below 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. Duplicate 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 | $58,406,055,098 | 119 |
| JPMorgan Chase | $29,715,750,704 | 99 |
| Citigroup | $17,267,715,789 | 68 |
| Wells Fargo | $14,779,993,515 | 93 |
| Deutsche Bank | $12,527,268,086 | 32 |
| Royal Bank of Scotland | $12,429,670,000 | 16 |
| Goldman Sachs | $9,602,492,860 | 26 |
| BNP Paribas | $9,542,129,750 | 11 |
| Credit Suisse | $9,238,499,630 | 19 |
| HSBC | $5,718,137,007 | 40 |
Individual Penalty Records:
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| Company | Parent | Primary Offense Type | Year | Agency |
Penalty Amount |
|---|---|---|---|---|---|
| Bank of America Corporation | Bank of America | mortgage abuses | 2014 | DOJ_CIVIL | $16,650,000,000 |
| JPMorgan Chase | JPMorgan Chase | toxic securities abuses | 2013 | DOJ_CIVIL | $13,000,000,000 |
| Bank of America Corporation | Bank of America | mortgage abuses | 2012 | DOJ_CIVIL | $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 |
| Deutsche Bank | Deutsche Bank | toxic securities abuses | 2017 | DOJ_CIVIL | $7,200,000,000 |
| Citigroup Inc. | Citigroup | toxic securities abuses | 2014 | DOJ_CIVIL | $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_CIVIL | $5,342,200,000 |
| JPMorgan Chase & Co. | JPMorgan Chase | mortgage abuses | 2012 | DOJ_CIVIL | $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_CIVIL | $5,060,000,000 |
| Royal Bank of Scotland Group plc | Royal Bank of Scotland | toxic securities abuses | 2018 | DOJ_CIVIL | $4,900,000,000 |
| Goldman Sachs & Co. | Goldman Sachs | toxic securities abuses | 2014 | FHFA | $3,150,000,000 |
| Bank of America | Bank of America | banking violation | 2013 | OCC | $2,886,578,478 |
| Morgan Stanley | Morgan Stanley | toxic securities abuses | 2016 | DOJ_CIVIL | $2,600,000,000 |
| Citigroup Inc. | Citigroup | mortgage abuses | 2012 | DOJ_CIVIL | $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 |
| Bank of America | Bank of America | toxic securities abuses | 2011 | FHFA | $1,520,000,000 |
| MF Global Holdings Ltd. | MF Global | securities issuance or trading 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 | 2016 | DOJ_CIVIL | $1,200,000,000 |
| Citigroup | Citigroup | toxic securities abuses | 2013 | FHFA | $968,000,000 |
| 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 |
| Deutsche Bank | Deutsche Bank | interest rate benchmark manipulation | 2015 | CFTC | $800,000,000 |
| American International Group, Inc. | American International Group | securities issuance or trading 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 |
| Societe Generale S.A. | Societe Generale | economic sanction violation | 2018 | USAO | $717,200,000 |
| 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 |
| 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 |
| JPMorgan Chase | JPMorgan Chase | False Claims Act | 2014 | DOJ_CIVIL | $614,000,000 |
| CR Intrinsic Investors | SAC Capital | securities issuance or trading violation | 2013 | SEC | $601,747,463 |
| Prudential Equity Group LLC | Prudential Financial | securities issuance or trading violation | 2006 | DOJ_CRIMINAL | $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 |
| Republic New York Securities | HSBC | fraud | 2001 | USAO | $569,000,000 |
| Deutsche Bank AG | Deutsche Bank | tax violations | 2010 | USAO | $553,633,153 |
| SunTrust Mortgage, Inc. | SunTrust Banks | 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 |
| 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 |
| BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. | BC Capital Group | securities issuance or trading violation | 2016 | CFTC | $490,246,741 |
| 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 |
| HSBC Bank USA NA | HSBC | mortgage abuses | 2016 | DOJ_CIVIL | $470,000,000 |
| J.P. Morgan Chase Bank, N.A. | JPMorgan Chase | anti-money-laundering deficiencies | 2014 | FINCEN | $461,000,000 |
| 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 |
| SunTrust Mortgage Inc. | SunTrust Banks | False Claims Act | 2014 | DOJ_CIVIL | $418,000,000 |
| Merrill Lynch | Bank of America | investor protection violation | 2016 | SEC | $415,000,000 |
| JP Morgan Ventures Energy Corporation | JPMorgan Chase | energy market manipulation | 2013 | FERC | $410,000,000 |
| 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 |
| 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 |
| 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 | securities issuance or trading violation | 2005 | SEC | $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 |
| 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 |
| UBS AG | UBS | banking violation | 2015 | FED | $342,000,000 |
| BARCLAYS BANK PLC | Barclays | banking violation | 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 |
| 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 |
| Goldman Sachs | Goldman Sachs | mortgage abuses | 2013 | FED | $330,000,000 |
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