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
Flagstar Bank Flagstar Bancorp mortgage abuses 2012 USAO $132,800,000
Standard Chartered Bank Standard Chartered economic sanction violation 2012 OFAC $132,000,000
Merrill Lynch Bank of America toxic securities abuses 2013 SEC $131,800,000
HSBC North America Holdings, Inc. HSBC banking violation 2016 FED $131,000,000
JPMorgan Chase & Co. JPMorgan Chase Foreign Corrupt Practices Act 2016 SEC $130,000,000
Royal Bank of Scotland plc Royal Bank of Scotland toxic securities abuses 2015 NCUA $129,600,000
Mizuho Financial Group Mizuho Financial investor protection violation 2012 SEC $127,500,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce securities issuance or trading violation 2005 SEC $125,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2003 SEC $125,000,000
MoneyGram International Inc. MoneyGram International anti-money-laundering deficiencies 2018 DOJ_CRIMINAL $125,000,000
MetLife Home Loans LLC MetLife False Claims Act 2015 DOJ_CIVIL $123,500,000
Societe Generale Societe Generale toxic securities abuses 2014 FHFA $122,000,000
Credit Suisse Securities (USA) Credit Suisse toxic securities abuses 2012 SEC $120,000,000
Goldman Sachs Goldman Sachs foreign exchange market manipulation 2016 CFTC $120,000,000
Allstate Insurance Allstate wage and hour violation 2005 private lawsuit-state $120,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc. Charles Schwab Corp. investor protection violation 2011 SEC $118,000,000
CompuCredit Corporation Atlanticus Holdings banking violation 2008 FDIC $116,400,000
Barclays Barclays interest rate benchmark manipulation 2015 CFTC $115,000,000
PNC ICLC Corp. PNC Financial Services accounting fraud or deficiencies 2003 DOJ_CRIMINAL $115,000,000
CompuCredit Corporation Atlanticus Holdings consumer protection violation 2008 FTC $114,000,000
Freedom Mortgage Corporation Freedom Mortgage False Claims Act 2016 DOJ_CIVIL $113,000,000
U.S. Pension Trust Corp. and U.S. College Trust Corp. U.S. Pension Trust Corp. investor protection violation 2010 SEC $112,600,000
Wachovia Bank Wells Fargo anti-money-laundering deficiencies 2010 FINCEN $110,000,000
First Horizon National Corporation First Horizon National toxic securities abuses 2014 FHFA $110,000,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2003 SEC $110,000,000
Countrywide Home Loans, Inc. and BAC Home Loans Servicing LP Bank of America consumer protection violation 2010 FTC $108,000,000
Hunter Wise Hunter Wise Commodities securities issuance or trading violation 2014 CFTC $108,000,000
ConvergEx Group Cowen Inc. investor protection violation 2013 SEC $107,424,429
Lloyds Banking Group plc Lloyds Banking Group interest rate benchmark manipulation 2014 CFTC $105,000,000
Barclays Bank PLC Barclays energy market manipulation 2017 FERC $105,000,000
Lebanese Canadian Bank Lebanese Canadian Bank anti-money-laundering deficiencies 2013 USAO $102,000,000
Ambac Financial Group et al. Ambac Financial toxic securities abuses 2013 USAO $101,900,000
Citigroup, Inc. Citigroup accounting fraud or deficiencies 2003 SEC $101,000,000
Credit Suisse AG Credit Suisse banking violation 2014 FED $100,000,000
STANDARD CHARTERED PLC Standard Chartered banking violation 2012 FED $100,000,000
MoneyGram International Inc. MoneyGram International anti-money-laundering deficiencies 2012 DOJ_CRIMINAL $100,000,000
JPMorgan Chase Bank JPMorgan Chase data submission deficiencies 2015 CFTC $100,000,000
JPMorgan Chase JPMorgan Chase securities issuance or trading violation 2013 CFTC $100,000,000
Wells Fargo Bank Wells Fargo banking violation 2016 CFPB $100,000,000
UBS AG UBS economic sanction violation 2004 FED $100,000,000
Janus Capital Management LLC Janus Henderson securities issuance or trading violation 2004 SEC $100,000,000
Credit Suisse First Boston Corporation Credit Suisse securities issuance or trading violation 2002 SEC $100,000,000
Credit Lyonnais Credit Agricole fraud 2003 USAO $100,000,000
HSBC Holdings plc HSBC fraud 2018 DOJ_CRIMINAL $100,000,000
Capital One Bank (USA), National Association Capital One Financial anti-money-laundering deficiencies 2018 OCC $100,000,000
RBS Securities Inc. Royal Bank of Scotland toxic securities abuses 2014 FHFA $99,500,000
Credit Agricole (Suisse) SA Credit Agricole tax violations 2015 DOJ_TAX $99,211,000
American Express American Express consumer protection violation 2012 CFPB $99,100,000
Ally Financial Inc. and Ally Bank Ally Financial consumer protection violation 2013 CFPB $98,000,000
Citigroup Citigroup wage and hour violation 2008 private lawsuit-federal $98,000,000
AEGON USA Investment Management LLC et al. Aegon investor protection violation 2018 SEC $97,600,000
Banamex USA Citigroup anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $97,440,000
Barclays Capital Barclays investor protection violation 2017 SEC $97,037,659
American Express American Express consumer protection violation 2017 CFPB $96,000,000
Deutsche Bank Deutsche Bank tax violations 2017 USAO $95,000,000
Sallie Mae Bank SLM Corp. banking violation 2014 FDIC $93,300,000
Credit Agricole S.A. Credit Agricole banking violation 2015 FED $90,300,000
Farmers Insurance Exchange Farmers Insurance Exchange wage and hour violation 2001 private lawsuit-state $90,009,208
Credit Suisse AG Credit Suisse accounting fraud or deficiencies 2016 SEC $90,000,000
BNP Paribas USA Inc. BNP Paribas foreign exchange market manipulation 2018 DOJ_ANTITRUST $90,000,000
BNP Paribas Securities Corp. BNP Paribas interest rate benchmark manipulation 2018 CFTC $90,000,000
Financial Freedom CIT False Claims Act 2017 DOJ_CIVIL $89,000,000
JPMorgan Chase Bank JPMorgan Chase economic sanction violation 2011 OFAC $88,300,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2004 SEC $87,500,000
Wells Fargo & Company Wells Fargo banking violation 2012 FED $87,000,000
Lloyds Banking Group plc Lloyds Banking Group interest rate benchmark manipulation 2014 DOJ_CRIMINAL $86,000,000
Wells Fargo & Company Wells Fargo banking violation 2011 FED $85,000,000
Fifth Third Bancorp Fifth Third Bancorp toxic securities abuses 2015 USAO $85,000,000
Royal Bank of Scotland plc Royal Bank of Scotland interest rate benchmark manipulation 2017 CFTC $85,000,000
Bank of New York Mellon Bank of New York Mellon benefit plan administrator violation 2015 EBSA $84,000,000
Branch Banking & Trust Company (BB&T) BB&T False Claims Act 2016 DOJ_CIVIL $83,000,000
Societe Generale S.A. Societe Generale economic sanction violation 2018 FED $81,300,000
BNP Paribas BNP Paribas False Claims Act 2014 DOJ_CIVIL $80,000,000
American International Group, Inc. American International Group accounting fraud or deficiencies 2004 DOJ_CRIMINAL $80,000,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce accounting fraud or deficiencies 2003 SEC $80,000,000
Bear, Stearns & Co. Inc. JPMorgan Chase investor protection violation 2003 SEC $80,000,000
J.P. Morgan Securities Inc. JPMorgan Chase investor protection violation 2003 SEC $80,000,000
Lehman Brothers Inc. Lehman Brothers investor protection violation 2003 SEC $80,000,000
UBS Warburg LLC UBS investor protection violation 2003 SEC $80,000,000
Merrill Lynch & Co. Inc. Bank of America accounting fraud or deficiencies 2003 SEC $80,000,000
MetLife Bank MetLife banking violation 2013 OCC $78,536,455
General American Life Insurance Company, Inc. MetLife False Claims Act 2002 DOJ_CIVIL $76,000,000
Citigroup Inc. Citigroup toxic securities abuses 2010 SEC $75,000,000
J.P. Morgan Securities Inc. JPMorgan Chase kickbacks and bribery 2009 SEC $75,000,000
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2004 SEC $75,000,000
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 OCC $75,000,000
PHH Corp. Ocwen Financial False Claims Act 2017 DOJ_CIVIL $74,453,802
Wegelin & Co Wegelin & Co tax violations 2013 DOJ_TAX $74,000,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc. Deutsche Bank securities issuance or trading violation 2018 SEC $73,200,000
Bank of America Bank of America wage and hour violation 2013 private lawsuit-federal $73,000,000
Federated Investors, Inc. Federated Investors Inc. investor protection violation 2005 SEC $72,000,000
JPMorgan Securities JPMorgan Chase kickbacks and bribery 2016 DOJ_CRIMINAL $72,000,000
Franklin American Mortgage Company Citizens Financial Group mortgage abuses 2015 DOJ_CIVIL $70,000,000
Wells Fargo Bank, N.A. Wells Fargo banking violation 2016 OCC $70,000,000
Citigroup Inc. Citigroup banking violation 2004 FED $70,000,000
Citibank N.A. Citigroup anti-money-laundering deficiencies 2018 OCC $70,000,000
Deutsche Bank Securities Inc. Deutsche Bank interest rate benchmark manipulation 2018 CFTC $70,000,000
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 FINCEN $70,000,000
UBS UBS toxic securities abuses 2016 NCUA $69,800,000
American Express American Express consumer protection violation 2013 CFPB $69,100,000
American Skandia Investment Services, Inc. Prudential Financial investor protection violation 2009 SEC $68,000,000
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