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 CompaniesTotal Penalty $Number of Records
Bank of America$58,406,055,098119
JPMorgan Chase$29,715,750,70499
Citigroup$17,267,715,78968
Wells Fargo$14,779,993,51593
Deutsche Bank$12,527,268,08632
Royal Bank of Scotland$12,429,670,00016
Goldman Sachs$9,602,492,86026
BNP Paribas$9,542,129,75011
Credit Suisse$9,238,499,63019
HSBC$5,718,137,00740


Individual Penalty Records:

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Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
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 securities issuance or trading violation 2004 SEC $325,000,000
SunTrust Mortgage Inc. SunTrust Banks mortgage abuses 2014 DOJ_CIVIL $320,000,000
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_CIVIL $309,600,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2013 OCC $300,000,000
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
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
Morgan Stanley Smith Barney Morgan Stanley financial institution supervision failures 2014 CFTC $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
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
Credit Suisse AG Credit Suisse economic sanction violation 2009 DOJ_CRIMINAL $268,000,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A. JPMorgan Chase investor protection violation 2015 SEC $267,000,000
Commerzbank AG Commerzbank economic sanction violation 2014 OFAC $258,660,796
Bank of America, National Association Bank of America banking violation 2014 OCC $250,000,000
Citibank Citigroup interest rate benchmark manipulation 2016 CFTC $250,000,000
Bear, Stearns & Co., Inc. JPMorgan Chase securities issuance or trading violation 2006 SEC $250,000,000
Alliance Capital Management L.P. AXA securities issuance or trading violation 2003 SEC $250,000,000
HSBC Bank USA, National Association HSBC banking violation 2013 OCC $249,000,000
BNP Paribas S.A. BNP Paribas foreign exchange market manipulation 2017 FED $246,000,000
Aurora Bank FSB Aurora Bank banking violation 2013 OCC $242,418,293
AXA Rosenberg AXA investor protection violation 2011 SEC $242,000,000
Wells Fargo Bank Wells Fargo mortgage abuses 2012 DOJ_RIGHTS $234,300,000
JPMorgan Chase & Co. JPMorgan Chase price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $228,000,000
Morgan Stanley Morgan Stanley mortgage abuses 2013 FED $227,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2012 DOJ_CRIMINAL $227,000,000
GE Capital Retail Bank, now known as Synchrony Bank Synchrony Financial consumer protection violation 2014 CFPB $225,000,000
Morgan Stanley Morgan Stanley toxic securities abuses 2015 NCUA $225,000,000
Massachusetts Financial Services Co. Sun Life Financial securities issuance or trading violation 2004 SEC $225,000,000
Citigroup Inc. Citigroup consumer protection violation 2002 FTC $215,000,000
Discover Bank Discover Financial Services consumer protection violation 2012 CFPB $214,000,000
Och-Ziff Capital Management Group LLC Och-Ziff Capital Management Foreign Corrupt Practices Act 2016 DOJ_CRIMINAL $213,000,000
First Tennessee Bank N.A. First Horizon National False Claims Act 2015 DOJ_CIVIL $212,500,000
BSI SA BSI SA tax violations 2015 DOJ_TAX $211,000,000
U.S. Bank U.S. Bancorp banking violation 2013 OCC $208,156,501
Citigroup, Inc. Citigroup securities issuance or trading violation 2005 SEC $208,000,000
Ally Financial Inc. Ally Financial banking violation 2012 FED $207,000,000
BANK OF AMERICA CORPORATION Bank of America banking violation 2015 FED $205,000,000
UBS AG UBS interest rate benchmark manipulation 2015 DOJ_CRIMINAL $203,000,000
Deutsche Bank AG Deutsche Bank toxic securities abuses 2012 USAO $202,300,000
COMMERZBANK AG Commerzbank banking violation 2015 FED $200,000,000
JPMORGAN CHASE & CO. JPMorgan Chase banking violation 2013 FED $200,000,000
U.S. Bank U.S. Bancorp False Claims Act 2014 DOJ_CIVIL $200,000,000
JPMorgan & Co. JPMorgan Chase accounting fraud or deficiencies 2013 SEC $200,000,000
Morgan Keegan & Company Raymond James Financial toxic securities abuses 2011 SEC $200,000,000
Barclays PLC Barclays interest rate benchmark manipulation 2012 CFTC $200,000,000
UBS AG UBS tax violations 2009 SEC $200,000,000
Credit Suisse First Boston LLC Credit Suisse investor protection violation 2003 SEC $200,000,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America investor protection violation 2003 SEC $200,000,000
Associated Bank, N.A. Associated Banc-Corp discriminatory practices 2015 HUD $200,000,000
Och-Ziff Capital Management Group Och-Ziff Capital Management Foreign Corrupt Practices Act 2016 SEC $199,045,167
Credit Suisse Group AG Credit Suisse investor protection violation 2014 SEC $196,000,000
Union Bancaire Privee Union Bancaire Privee tax violations 2016 DOJ_TAX $187,000,000
JPMorgan Chase JPMorgan Chase consumer protection violation 2015 CFPB $186,000,000
PNC Bank N.A. PNC Financial Services banking violation 2013 OCC $180,526,382
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLC Citigroup investor protection violation 2015 SEC $180,000,000
Bank of America Corporation Bank of America banking violation 2012 FED $175,500,000
Citigroup Citigroup interest rate benchmark manipulation 2016 CFTC $175,000,000
Lloyds TSB Bank PLC Lloyds Banking Group economic sanction violation 2009 DOJ_CRIMINAL $175,000,000
HSBC Holdings HSBC banking violation 2017 FED $175,000,000
Capital One Bank (U.S.A.), N.A. Capital One Financial consumer protection violation 2012 CFPB $165,000,000
HSBC HOLDINGS PLC HSBC banking violation 2012 FED $165,000,000
Bank of America Bank of America toxic securities abuses 2013 NCUA $165,000,000
UBS AG UBS price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $160,000,000
SunTrust Banks, Inc. SunTrust Banks banking violation 2014 FED $160,000,000
Barclays Bank PLC Barclays interest rate benchmark manipulation 2012 DOJ_CRIMINAL $160,000,000
Merrill Lynch Bank of America employment discrimination 2013 private lawsuit-federal $160,000,000
Citimortgage Inc. Citigroup mortgage abuses 2012 USAO $158,300,000
Deutsche Bank AG Deutsche Bank interest rate benchmark manipulation 2017 FED $156,600,000
Credit Agricole Corporate and Investment Bank (CACIB) Credit Agricole economic sanction violation 2015 USAO $156,000,000
RBS Securities Inc. Royal Bank of Scotland toxic securities abuses 2013 SEC $153,700,000
J.P. Morgan Securities LLC JPMorgan Chase toxic securities abuses 2011 SEC $153,600,000
Clearstream Banking SA Deutsche Borse economic sanction violation 2014 OFAC $152,000,000
RBS PLC and RBS Securities Japan Royal Bank of Scotland interest rate benchmark manipulation 2014 DOJ_ANTITRUST $150,000,000
Bank of America Bank of America investor protection violation 2010 SEC $150,000,000
DB Group Services (UK) Limited Deutsche Bank interest rate benchmark manipulation 2017 DOJ_ANTITRUST $150,000,000
Wachovia Bank N.A. Wells Fargo price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $148,000,000
Deutsche Bank Securities Deutsche Bank toxic securities abuses 2011 NCUA $145,000,000
Banamex USA Citigroup banking violation 2015 FDIC $140,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. Ameriprise Financial securities issuance or trading violation 2005 SEC $140,000,000
Strong Capital Management, Inc. Wells Fargo securities issuance or trading violation 2004 SEC $140,000,000
FleetBoston Financial Corporation Bank of America securities issuance or trading violation 2004 SEC $140,000,000
Bank of America Bank of America price-fixing or anti-competitive practices 2010 DOJ_ANTITRUST $137,300,000
J.P. Morgan Chase & Co. JPMorgan Chase accounting fraud or deficiencies 2003 SEC $135,000,000
State Farm State Farm Insurance wage and hour violation 2005 private lawsuit-state $135,000,000
Flagstar Bank Flagstar Bancorp mortgage abuses 2012 USAO $132,800,000
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