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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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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CompanyCurrent ParentPrimary Offense Type sort iconYearAgencyPenalty Amount
E-Trade Securities LLC and E-Trade Clearing LLCMorgan Stanleyanti-money-laundering deficiencies2009FINRA$1,000,000
Banc of America Investment Services Inc.Bank of Americaanti-money-laundering deficiencies2007FINRA$3,000,000
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022OCC$60,000,000
Wells Fargo AdvisorsWells Fargoanti-money-laundering deficiencies2022SEC$7,000,000
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022FINCEN$80,000,000
Danske Bank A/SDanske Bankanti-money-laundering deficiencies2022DOJ_CRIMINAL$2,000,000,000
Danske Bank A/SDanske Bankanti-money-laundering deficiencies2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,000,000
Coinbase Inc.Coinbase Global Inc.anti-money-laundering deficiencies2023NY-DFS$100,000,000
Deutsche Bank AGDeutsche Bankanti-money-laundering deficiencies2023FED$186,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americaanti-money-laundering deficiencies2023FINRA$6,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaanti-money-laundering deficiencies2023SEC$6,000,000
Binance Holdings LimitedBinance Holdingsanti-money-laundering deficiencies2023DOJ_NATSEC$4,316,126,163
Binance Holdings Limited,Binance Holdingsanti-money-laundering deficiencies2023FINCEN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $3,400,000,000
ASI SERVICESProgressiveaviation safety violation2015FAA$17,000
ASI SERVICESProgressiveaviation safety violation2015FAA$27,000
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2007FAA$7,000
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2005FAA$5,000
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2005FAA$90,000
NEOVIA LOGISTICSGoldman Sachsaviation safety violation2016FAA$35,000
NEOVIA LOGISTICSGoldman Sachsaviation safety violation2015FAA$5,000
TIAA-CREFTIAAaviation safety violation2015FAA$7,500
Neovia Logistics ServicesGoldman Sachsaviation safety violation2015FAA$116,250
Hudson City Savings BankM&T Bankbanking violation2015CFPB$32,750,000
National City Bank and its successor PNC BankPNC Financial Servicesbanking violation2013CFPB$35,000,000
U.S. BankU.S. Bancorpbanking violation2013CFPB$3,200,000
WEX Bank and Higher One, Inc.WEX Inc.banking violation2015FDIC$34,980,000
Comenity Bank and Comenity Capital BankBread Financial Holdingsbanking violation2015FDIC$63,950,000
Citizens BankCitizens Financial Groupbanking violation2015FDIC$8,800,000
Banamex USACitigroupbanking violation2015FDIC$140,000,000
Sallie Mae BankSLM Corp.banking violation2014FDIC$93,300,000
Navient Solutions, Inc.Navientbanking violation2014FDIC$33,300,000
American Express Centurion BankAmerican Expressbanking violation2013FDIC$3,600,000
Citizens BankCitizens Financial Groupbanking violation2013FDIC$6,400,000
American Express Centurion BankAmerican Expressbanking violation2012FDIC$3,900,000
1st Financial Bank USA1st Financial Bank USAbanking violation2010FDIC$10,140,000
Synovus BankSynovus Financialbanking violation2013FDIC$135,050
German American BancorpGerman American Bancorpbanking violation2013FDIC$70,000
Great Western BankFirst Interstate Bancsystembanking violation2013FDIC$40,810
TCF National BankHuntington Bancsharesbanking violation2016OCC$56,500
HSBC Bank USA, National AssociationHSBCbanking violation2016OCC$35,000,000
Santander Bank, National AssociationBanco Santanderbanking violation2016OCC$3,400,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2016OCC$10,000,000
Sun National BankOceanFirst Financialbanking violation2016OCC$25,000
EverbankTIAAbanking violation2016OCC$1,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2016OCC$48,000,000
Citizens Bank, National AssociationCitizens Financial Groupbanking violation2015OCC$2,000,000
First Financial Bank, National AssociationFirst Financial Bancorp.banking violation2015OCC$11,700
RBS Citizens, National AssociationCitizens Financial Groupbanking violation2015OCC$10,000,000
Citibank, N.A.Citigroupbanking violation2015OCC$35,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2015OCC$30,000,000
Bank of America, National AssociationBank of Americabanking violation2015OCC$1,104,530
First National Bank of PennsylvaniaF.N.B. Corporationbanking violation2015OCC$180,720
Wells Fargo Bank, National AssociationWells Fargobanking violation2015OCC$4,000,000
Bank of America, National AssociationBank of Americabanking violation2015OCC$30,000,000
Santander Bank, National AssociationBanco Santanderbanking violation2015OCC$6,000,000
Keybank National AssociationKeyCorpbanking violation2015OCC$5,005
Bank of America, National AssociationBank of Americabanking violation2014OCC$250,000,000
Citibank, National AssociationCitigroupbanking violation2014OCC$350,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2014OCC$350,000,000
Capital One, National AssociationCapital One Financialbanking violation2014OCC$4,000,000
PNC Bank, National AssociationPNC Financial Servicesbanking violation2014OCC$2,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2014OCC$51,900,000
Associated Bank, National AssociationAssociated Banc-Corpbanking violation2014OCC$500,000
Bank of America, National AssociationBank of Americabanking violation2014OCC$25,000,000
Old National BankOld National Bancorpbanking violation2014OCC$500,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2014OCC$350,000,000
American Express Bank, FSBAmerican Expressbanking violation2013OCC$7,500,000
Mutual of Omaha BankFirst Citizens BancSharesbanking violation2013OCC$51,765
TD Bank, National AssociationToronto-Dominion Bankbanking violation2013OCC$37,500,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2013OCC$60,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2013OCC$300,000,000
Swineford National BankFulton Financialbanking violation2013OCC$33,880
EverbankTIAAbanking violation2013OCC$37,000,000
RBS Citizens, National AssociationCitizens Financial Groupbanking violation2013OCC$7,500,000
Seacoast National BankSeacoast Banking Corporation of Floridabanking violation2013OCC$26,950
TCF National BankHuntington Bancsharesbanking violation2013OCC$10,000,000
HSBC Bank USA, National AssociationHSBCbanking violation2013OCC$249,000,000
Bank of AmericaBank of Americabanking violation2013OCC$2,886,578,478
CitibankCitigroupbanking violation2013OCC$793,492,868
JPMorgan ChaseJPMorgan Chasebanking violation2013OCC$1,958,450,341
MetLife BankMetLifebanking violation2013OCC$78,536,455
PNC Bank N.A.PNC Financial Servicesbanking violation2013OCC$180,526,382
Sovereign Bank N.A.Banco Santanderbanking violation2013OCC$16,086,180
U.S. BankU.S. Bancorpbanking violation2013OCC$208,156,501
Wells FargoWells Fargobanking violation2013OCC$1,991,141,181
HSBC Bank USA, N.A.HSBCbanking violation2012OCC$500,000,000
American Express Bank, FSBAmerican Expressbanking violation2012OCC$6,500,000
Capital One Bank (USA), National AssociationCapital One Financialbanking violation2012OCC$35,000,000
Trustmark National BankTrustmarkbanking violation2012OCC$6,250
The Park National BankPark National Corp.banking violation2011OCC$30,415
Wells Fargo Bank, National AssociationWells Fargobanking violation2011OCC$34,500,000
First Niagara Bank, National AssociationKeyCorpbanking violation2011OCC$10,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2011OCC$35,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2011OCC$2,000,000
Zions First National BankZions Bancorporationbanking violation2011OCC$8,000,000
Woodforest National BankWoodforest National Bankbanking violation2010OCC$33,000,000
City National BankRoyal Bank of Canadabanking violation2010OCC$5,250
Wachovia Bank N.A.Wells Fargobanking violation2010OCC$50,000,000
HSBC North America Holdings, Inc.HSBCbanking violation2016FED$131,000,000
INDEPENDENT BANKIndependent Bank Corp. (Michigan)banking violation2015FED$56,205
BANK OF AMERICA CORPORATIONBank of Americabanking violation2015FED$205,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.