Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$226,008,896,357
Number of Records: 
1,807
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 CompaniesTotal Penalty $Number of Records
Bank of America$58,170,630,098115
JPMorgan Chase$29,684,489,39096
Citigroup$17,215,818,31464
Wells Fargo$14,710,307,58890
Deutsche Bank$12,489,545,40328
Royal Bank of Scotland$12,428,920,00015
Goldman Sachs$9,602,492,86026
BNP Paribas$9,542,129,75011
Credit Suisse$9,233,499,63018
Morgan Stanley$5,463,432,43550


Individual Penalty Records:

Download results as CSV or XML
Company Parent Primary Offense Typesort icon Year Agency Penalty Amount
Fifth Third Bancorp Fifth Third Bancorp accounting fraud or deficiencies 2013 SEC $6,500,000
JPMorgan & Co. JPMorgan Chase accounting fraud or deficiencies 2013 SEC $200,000,000
Capital One Financial Corporation Capital One Financial accounting fraud or deficiencies 2013 SEC $3,500,000
Deutsche Bank Securities Deutsche Bank accounting fraud or deficiencies 2014 CFTC $3,000,000
JPMorgan Chase Bank JPMorgan Chase accounting fraud or deficiencies 2012 CFTC $20,000,000
INTL FCStone INTL FCStone accounting fraud or deficiencies 2016 SEC $150,000
KeyBanc Capital Markets Inc. KeyCorp accounting fraud or deficiencies 2016 SEC $175,000
Ocwen Financial Corp. Ocwen Financial accounting fraud or deficiencies 2016 SEC $2,000,000
First Bancorp First Bancorp (North Carolina) accounting fraud or deficiencies 2015 SEC $275,000
Hampton Roads Bankshares Union Bankshares Corp. accounting fraud or deficiencies 2014 SEC $200,000
Wilmington Trust M&T Bank accounting fraud or deficiencies 2014 SEC $18,500,000
Assurant Inc. Assurant accounting fraud or deficiencies 2010 SEC $3,500,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2006 DOJ_CRIMINAL $25,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2004 DOJ_CRIMINAL $80,000,000
PNC ICLC Corp. PNC Financial Services accounting fraud or deficiencies 2003 DOJ_CRIMINAL $115,000,000
Zurich Financial Services Zurich Insurance accounting fraud or deficiencies 2008 SEC $25,000,000
First BanCorp First Bancorp (Puerto Rico) accounting fraud or deficiencies 2007 SEC $8,500,000
The BISYS Group Citigroup accounting fraud or deficiencies 2007 SEC $25,000,000
RenaissanceRe Holdings Ltd. RenaissanceRe Holdings accounting fraud or deficiencies 2007 SEC $15,000,000
MBIA Inc. MBIA accounting fraud or deficiencies 2007 SEC $50,000,000
Doral Financial Corporation Doral Financial accounting fraud or deficiencies 2006 SEC $25,000,000
Federal National Mortgage Association (Fannie Mae) Fannie Mae accounting fraud or deficiencies 2006 SEC $400,000,000
Huntington Bancshares, Inc. Huntington Bancshares accounting fraud or deficiencies 2005 SEC $7,500,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce accounting fraud or deficiencies 2003 SEC $80,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2003 SEC $10,000,000
Citigroup, Inc. Citigroup accounting fraud or deficiencies 2003 SEC $101,000,000
Citigroup, Inc. Citigroup accounting fraud or deficiencies 2003 SEC $19,000,000
J.P. Morgan Chase & Co. JPMorgan Chase accounting fraud or deficiencies 2003 SEC $135,000,000
Merrill Lynch & Co. Inc. Bank of America accounting fraud or deficiencies 2003 SEC $80,000,000
Park National Corporation Park National Corp. accounting fraud or deficiencies 2016 SEC $500,000
Credit Suisse AG Credit Suisse accounting fraud or deficiencies 2016 SEC $90,000,000
HomeStreet Inc HomeStreet Inc. accounting fraud or deficiencies 2017 SEC $500,000
Citigroup Citigroup accounting fraud or deficiencies 2018 SEC $10,500,000
Wells Fargo & Company Wells Fargo Americans with Disabilities Act 2011 DOJ_RIGHTS $16,055,000
Gibraltar Private Bank and Trust Company Gibraltar Private Bank and Trust anti-money-laundering deficiencies 2016 FINCEN $4,000,000
Oppenheimer & Co., Inc. Oppenheimer Holdings anti-money-laundering deficiencies 2015 FINCEN $20,000,000
J.P. Morgan Chase Bank, N.A. JPMorgan Chase anti-money-laundering deficiencies 2014 FINCEN $461,000,000
Wachovia Bank Wells Fargo anti-money-laundering deficiencies 2010 FINCEN $110,000,000
HSBC Holdings plc HSBC Bank USA N.A. HSBC anti-money-laundering deficiencies 2012 DOJ_CRIMINAL $1,256,000,000
MoneyGram International Inc. MoneyGram International anti-money-laundering deficiencies 2012 DOJ_CRIMINAL $100,000,000
JPMorgan Chase Bank JPMorgan Chase anti-money-laundering deficiencies 2014 USAO $1,700,000,000
Lebanese Canadian Bank Lebanese Canadian Bank anti-money-laundering deficiencies 2013 USAO $102,000,000
American Express Bank International American Express anti-money-laundering deficiencies 2007 DOJ_CRIMINAL $55,000,000
BankAtlantic BB&T anti-money-laundering deficiencies 2006 DOJ_CRIMINAL $10,000,000
Riggs Bank National Association PNC Financial Services anti-money-laundering deficiencies 2004 OCC $25,000,000
Israel Discount Bank Israel Discount Bank anti-money-laundering deficiencies 2006 FINCEN $12,000,000
Oppenheimer & Company, Inc. Oppenheimer Holdings anti-money-laundering deficiencies 2005 FINCEN $2,800,000
AmSouth Regions Financial anti-money-laundering deficiencies 2004 FINCEN $10,000,000
Western Union Company Western Union anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $586,000,000
Deutsche Bank AG Deutsche Bank anti-money-laundering deficiencies 2017 FED $41,000,000
Banamex USA Citigroup anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $97,440,000
Banco Popular de Puerto Rico Popular Inc. anti-money-laundering deficiencies 2003 DOJ_CRIMINAL $21,600,000
M&T Bank M&T Bank anti-money-laundering deficiencies 2014 USAO $560,000
Wachovia Bank N.A. Wells Fargo anti-money-laundering deficiencies 2010 USAO $50,000,000
The Bank of New York Bank of New York Mellon anti-money-laundering deficiencies 2005 USAO $38,000,000
Riggs Bank PNC Financial Services anti-money-laundering deficiencies 2005 USAO $16,000,000
Citibank N.A. Citigroup anti-money-laundering deficiencies 2018 OCC $70,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America anti-money-laundering deficiencies 2017 SEC $13,000,000
Wells Fargo Advisors, LLC Wells Fargo anti-money-laundering deficiencies 2017 SEC $3,500,000
Rabobank National Association Rabobank anti-money-laundering deficiencies 2018 DOJ_CRIMINAL $368,701,259
U.S. Bancorp U.S. Bancorp anti-money-laundering deficiencies 2018 USAO $453,000,000
Rabobank, National Association Rabobank anti-money-laundering deficiencies 2018 OCC $50,000,000
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 OCC $75,000,000
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 FINCEN $70,000,000
Rabobank N.A. Rabobank anti-money-laundering deficiencies 2018 USAO $500,000
ASI SERVICES Progressive aviation safety violation 2015 FAA $17,000
ASI SERVICES Progressive aviation safety violation 2015 FAA $27,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2007 FAA $7,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2005 FAA $5,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2005 FAA $90,000
TIAA-CREF TIAA aviation safety violation 2015 FAA $7,500
Hudson City Savings Bank M&T Bank banking violation 2015 CFPB $32,750,000
National City Bank and its successor PNC Bank PNC Financial Services banking violation 2013 CFPB $35,000,000
U.S. Bank U.S. Bancorp banking violation 2013 CFPB $3,200,000
WEX Bank and Higher One, Inc. WEX Inc. banking violation 2015 FDIC $34,980,000
Citizens Bank Citizens Financial Group banking violation 2015 FDIC $8,800,000
Banamex USA Citigroup banking violation 2015 FDIC $140,000,000
Sallie Mae Bank SLM Corp. banking violation 2014 FDIC $93,300,000
Navient Solutions, Inc. Navient banking violation 2014 FDIC $33,300,000
American Express Centurion Bank American Express banking violation 2013 FDIC $3,600,000
Citizens Bank Citizens Financial Group banking violation 2013 FDIC $6,400,000
American Express Centurion Bank American Express banking violation 2012 FDIC $3,900,000
1st Financial Bank USA 1st Financial Bank USA banking violation 2010 FDIC $10,140,000
Synovus Bank Synovus Financial banking violation 2013 FDIC $135,050
German American Bancorp German American Bancorp banking violation 2013 FDIC $70,000
Woori America Bank Woori Bank banking violation 2012 FDIC $9,070
Doral Bank Doral Financial banking violation 2013 FDIC $135,000
Great Western Bank Great Western Bancorp banking violation 2013 FDIC $40,810
TCF National Bank TCF Financial Corp. banking violation 2016 OCC $56,500
HSBC Bank USA, National Association HSBC banking violation 2016 OCC $35,000,000
Gibraltar Private Bank & Trust Co. Gibraltar Private Bank and Trust banking violation 2016 OCC $2,500,000
Santander Bank, National Association Banco Santander banking violation 2016 OCC $3,400,000
U.S. Bank National Association U.S. Bancorp banking violation 2016 OCC $10,000,000
Sun National Bank OceanFirst Financial banking violation 2016 OCC $25,000
Everbank TIAA banking violation 2016 OCC $1,000,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2016 OCC $48,000,000
Citizens Bank, National Association Citizens Financial Group banking violation 2015 OCC $2,000,000
RBS Citizens, National Association Citizens Financial Group banking violation 2015 OCC $10,000,000
Citibank, N.A. Citigroup banking violation 2015 OCC $35,000,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2015 OCC $30,000,000
Bank of America, National Association Bank of America banking violation 2015 OCC $1,104,530
Download results as CSV or XML