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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 Companies | Total Penalty $ | Number of Records |
| Bank of America | $87,286,650,890 | 328 |
| JPMorgan Chase | $39,340,688,209 | 275 |
| UBS | $31,069,299,125 | 179 |
| Wells Fargo | $27,616,269,231 | 266 |
| Citigroup | $26,945,611,792 | 181 |
| Deutsche Bank | $20,011,467,563 | 99 |
| Goldman Sachs | $17,729,358,987 | 111 |
| NatWest Group PLC | $14,370,701,618 | 43 |
| Morgan Stanley | $10,780,502,443 | 203 |
| BNP Paribas | $10,363,464,666 | 23 |
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.
| Company | Current Parent | Primary Offense Type | Year | Agency  | Penalty Amount |
| NEOVIA LOGISTICS | Goldman Sachs | aviation safety violation | 2015 | FAA | $5,000 |
| TIAA-CREF | TIAA | aviation safety violation | 2015 | FAA | $7,500 |
| Neovia Logistics Services | Goldman Sachs | aviation safety violation | 2015 | FAA | $116,250 |
| Morgan Stanley & Co. LLC | Morgan Stanley | toxic securities abuses | 2016 | FDIC | $62,950,000 |
| WEX Bank and Higher One, Inc. | WEX Inc. | banking violation | 2015 | FDIC | $34,980,000 |
| Comenity Bank and Comenity Capital Bank | Bread Financial Holdings | banking violation | 2015 | FDIC | $63,950,000 |
| 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 |
| Great Western Bank | First Interstate Bancsystem | banking violation | 2013 | FDIC | $40,810 |
| 1ST FINANCIAL BANK USA | 1st Financial Bank USA | banking violation | 2009 | FDIC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $140,000 |
| AFB&T | Synovus Financial | banking violation | 2009 | FDIC | $7,040 |
| BANK OF KENTUCKY, INC., THE | Truist Financial | banking violation | 2009 | FDIC | $30,415 |
| American Express Centurion Bank | American Express | banking violation | 2009 | FDIC | $250,000 |
| REPUBLIC BANK & TRUST COMPANY | Republic Bancorp | banking violation | 2009 | FDIC | $22,000 |
| CITIZENS BUSINESS BANK | CVB Financial | banking violation | 2009 | FDIC | $16,200 |
| WELLS FARGO FINANCIAL BANK | Wells Fargo | banking violation | 2009 | FDIC | $125,000 |
| CompuCredit Corporation | Atlanticus Holdings | banking violation | 2008 | FDIC | $116,400,000 |
| BANK OF THE CASCADES | First Interstate Bancsystem | banking violation | 2008 | FDIC | $43,550 |
| UMPQUA BANK | Umpqua Holdings | banking violation | 2008 | FDIC | $90,240 |
| CATHAY BANK | Cathay General Bancorp | banking violation | 2008 | FDIC | $55,500 |
| BUSEY BANK | First Busey Corp. | banking violation | 2006 | FDIC | $5,200 |
| THE RICHLAND TRUST COMPANY | Park National Corp. | banking violation | 2006 | FDIC | $11,100 |
| FIRST BANK | First Bancorp (North Carolina) | banking violation | 2004 | FDIC | $12,000 |
| NEW YORK COMMUNITY BANK | New York Community Bancorp | banking violation | 2004 | FDIC | $8,000 |
| THE COLUMBIA BANK | Fulton Financial | banking violation | 2002 | FDIC | $7,000 |
| Republic Bank & Trust Company | Republic Bancorp | banking violation | 2018 | FDIC | $300,000 |
| FirstBank Puerto Rico | First Bancorp (Puerto Rico) | banking violation | 2019 | FDIC | $17,700 |
| HomeStreet Bank | HomeStreet Inc. | banking violation | 2019 | FDIC | $1,350,000 |
| German American Bancorp | German American Bancorp | banking violation | 2012 | FDIC | $15,000 |
| BANK OF THE WEST | Bank of Montreal | banking violation | 2011 | FDIC | $135,000 |
| REPUBLIC BANK & TRUST COMPANY | Republic Bancorp | banking violation | 2011 | FDIC | $900,000 |
| CATHAY BANK | Cathay General Bancorp | banking violation | 2011 | FDIC | $17,710 |
| BANCORPSOUTH BANK | Cadence Bank | banking violation | 2011 | FDIC | $46,500 |
| GREAT SOUTHERN BANK | Great Southern Bancorp | banking violation | 2011 | FDIC | $21,935 |
| MAINSOURCE BANK | First Financial Bancorp. | banking violation | 2010 | FDIC | $22,000 |
| BANK OF THE WEST | Bank of Montreal | banking violation | 2010 | FDIC | $68,200 |
| S&T BANK | S&T Bancorp | banking violation | 2010 | FDIC | $32,640 |
| BUSEY BANK | First Busey Corp. | banking violation | 2010 | FDIC | $7,445 |
| CompuCredit Corporation | Atlanticus Holdings | banking violation | 2008 | FDIC | $806,000 |
| CompuCredit Corporation | Atlanticus Holdings | banking violation | 2008 | FDIC | $558,000 |
| FIRST BANK | First Bancorp (North Carolina) | banking violation | 2004 | FDIC | $12,000 |
| Glacier Bank | Glacier Bancorp | banking violation | 2020 | FDIC | $16,750 |
| Bank of the West | Bank of Montreal | banking violation | 2021 | FDIC | $281,000 |
| Umpqua Bank | Umpqua Holdings | banking violation | 2021 | FDIC | $1,800,000 |
| Cadence Bank | Cadence Bank | banking violation | 2022 | FDIC | $320,500 |
| Highmark, Inc. | Highmark Inc. | campaign finance violation | 2005 | FEC | $54,078 |
| Fannie Mae | Fannie Mae | campaign finance violation | 2004 | FEC | $10,000 |
| Branch Banking & Trust Corporation | Truist Financial | campaign finance violation | 2001 | FEC | $22,000 |
| HSBC North America Holdings, Inc. | HSBC | banking violation | 2016 | FED | $131,000,000 |
| Deutsche Bank AG | Deutsche Bank | economic sanction violation | 2015 | FED | $58,000,000 |
| Credit Agricole S.A. | Credit Agricole | economic sanction violation | 2015 | FED | $90,300,000 |
| INDEPENDENT BANK | Independent Bank Corp. (Michigan) | banking violation | 2015 | FED | $56,205 |
| BANK OF AMERICA CORPORATION | Bank of America | banking violation | 2015 | FED | $205,000,000 |
| ROYAL BANK OF SCOTLAND PLC | NatWest Group PLC | banking violation | 2015 | FED | $274,000,000 |
| UBS AG | UBS | banking violation | 2015 | FED | $342,000,000 |
| BARCLAYS BANK PLC | Barclays | price-fixing or anti-competitive practices | 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 |
| COMMERZBANK AG | Commerzbank | banking violation | 2015 | FED | $200,000,000 |
| SunTrust Banks, Inc. | Truist Financial | banking violation | 2014 | FED | $160,000,000 |
| Cole Taylor Bank | Fifth Third Bancorp | banking violation | 2014 | FED | $3,510,000 |
| Regions Bank | Regions Financial | banking violation | 2014 | FED | $46,000,000 |
| Credit Suisse AG | UBS | banking violation | 2014 | FED | $100,000,000 |
| THE ROYAL BANK OF SCOTLAND GROUP PLC | NatWest Group PLC | banking violation | 2013 | FED | $50,000,000 |
| Midland States Bank | Midland States Bancorp | banking violation | 2013 | FED | $5,645 |
| JPMORGAN CHASE & CO. | JPMorgan Chase | banking violation | 2013 | FED | $200,000,000 |
| Goldman Sachs | Goldman Sachs | mortgage abuses | 2013 | FED | $330,000,000 |
| Morgan Stanley | Morgan Stanley | mortgage abuses | 2013 | FED | $227,000,000 |
| HSBC HOLDINGS PLC | HSBC | banking violation | 2012 | FED | $165,000,000 |
| STANDARD CHARTERED PLC | Standard Chartered | banking violation | 2012 | FED | $100,000,000 |
| AMERICAN EXPRESS COMPANY | American Express | banking violation | 2012 | FED | $9,000,000 |
| METLIFE, INC | MetLife | banking violation | 2012 | FED | $3,200,000 |
| THE BANK OF NEW YORK MELLON | Bank of New York Mellon | banking violation | 2012 | FED | $6,000,000 |
| Citigroup Inc. | Citigroup | banking violation | 2012 | FED | $22,000,000 |
| Ally Financial Inc. | Ally Financial | banking violation | 2012 | FED | $207,000,000 |
| Bank of America Corporation | Bank of America | banking violation | 2012 | FED | $175,500,000 |
| JPMorgan Chase & Co., and EMC Mortgage Corporation | JPMorgan Chase | banking violation | 2012 | FED | $275,000,000 |
| Wells Fargo & Company | Wells Fargo | banking violation | 2012 | FED | $87,000,000 |
| Bank of Hampton Roads | Atlantic Union Bankshares | banking violation | 2011 | FED | $33,600 |
| Wells Fargo & Company | Wells Fargo | banking violation | 2011 | FED | $85,000,000 |
| PlainsCapital Bank and PrimeLending | Hilltop Holdings | banking violation | 2011 | FED | $30,780 |
| Goldman Sachs Group | Goldman Sachs | banking violation | 2016 | FED | $36,300,000 |
| Regions Bank | Regions Financial | banking violation | 2009 | FED | $135,000 |
| Compass Bank | PNC Financial Services | banking violation | 2009 | FED | $70,625 |
| Heritage Bank of Commerce | Heritage Commerce Corp. | banking violation | 2008 | FED | $6,840 |
| Capital City Bank | Capital City Bank Group | banking violation | 2007 | FED | $85,045 |
| Hanmi Bank | Hanmi Financial Corp. | banking violation | 2007 | FED | $8,835 |
| East West Bank | East West Bancorp | banking violation | 2007 | FED | $16,245 |
| First Interstate Bank | First Interstate Bancsystem | banking violation | 2005 | FED | $15,750 |
| Citigroup Inc. | Citigroup | banking violation | 2004 | FED | $70,000,000 |
| UBS AG | UBS | economic sanction violation | 2004 | FED | $100,000,000 |
| Credit Agricole S.A. | Credit Agricole | banking violation | 2004 | FED | $8,000,000 |
| U.S. Trust Corporation | Bank of America | banking violation | 2001 | FED | $5,000,000 |
