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:

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Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
M&T Bank Corp. M&T Bank False Claims Act 2016 DOJ_CIVIL $64,000,000
Green Tree Servicing LLC Ditech Holding Corporation consumer protection violation 2015 FTC $63,000,000
Morgan Stanley & Co. LLC Morgan Stanley toxic securities abuses 2016 FDIC $62,950,000
JPMorgan Chase & Co. JPMorgan Chase banking violation 2016 FED $61,900,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2013 OCC $60,000,000
Sallie Mae Inc. Navient student loan abuses 2014 DOJ_RIGHTS $60,000,000
BNP Paribas (Suisse) SA BNP Paribas tax violations 2015 DOJ_TAX $59,783,000
Deutsche Bank AG Deutsche Bank banking violation 2015 FED $58,000,000
Deutsche Bank AG Deutsche Bank investor protection violation 2015 SEC $55,000,000
American Express Bank International American Express anti-money-laundering deficiencies 2007 DOJ_CRIMINAL $55,000,000
Hartford Financial Services Group, Inc. Hartford Financial Services investor protection violation 2006 SEC $55,000,000
Putnam Investment Management LLC Power Financial Corporation securities issuance or trading violation 2004 SEC $55,000,000
Goldman Sachs Group, Inc. Goldman Sachs securities issuance or trading violation 2018 FED $54,750,000
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2016 SEC $54,300,000
Morgan Stanley Morgan Stanley employment discrimination 2004 EEOC $54,000,000
U.S. Bank U.S. Bancorp consumer protection violation 2014 CFPB $53,000,000
Wachovia Wells Fargo toxic securities abuses 2015 NCUA $53,000,000
JPMorgan Chase JPMorgan Chase discriminatory practices 2017 USAO $53,000,000
Regions Bank Regions Financial False Claims Act 2016 DOJ_CIVIL $52,400,000
Encore Capital Group Encore Capital Group consumer protection violation 2015 CFPB $52,000,000
Ally Financial Inc. Ally Financial toxic securities abuses 2016 USAO $52,000,000
U.S. Bank National Association U.S. Bancorp banking violation 2014 OCC $51,900,000
Credit Suisse Credit Suisse toxic securities abuses 2016 NCUA $50,300,000
Wachovia Bank N.A. Wells Fargo banking violation 2010 OCC $50,000,000
THE ROYAL BANK OF SCOTLAND GROUP PLC Royal Bank of Scotland banking violation 2013 FED $50,000,000
JPMorgan Chase Bank N.A. JPMorgan Chase mortgage abuses 2015 DOJ_CIVIL $50,000,000
UBS Securities UBS toxic securities abuses 2013 SEC $50,000,000
Williams Power Company Inc. JPMorgan Chase data submission deficiencies 2006 DOJ_CRIMINAL $50,000,000
Federal Home Loan Mortgage Corporation (Freddie Mac) Freddie Mac (Federal Home Loan Mortgage Corporation) investor protection violation 2007 SEC $50,000,000
MBIA Inc. MBIA accounting fraud or deficiencies 2007 SEC $50,000,000
AIM Advisors, Inc. and AIM Distributors, Inc. Invesco securities issuance or trading violation 2004 SEC $50,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz investor protection violation 2004 SEC $50,000,000
Franklin Advisers, Inc. Franklin Resources securities issuance or trading violation 2004 SEC $50,000,000
Banc One Investment Advisors Corporation JPMorgan Chase securities issuance or trading violation 2004 SEC $50,000,000
Massachusetts Financial Services Company Sun Life Financial securities issuance or trading violation 2004 SEC $50,000,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2003 SEC $50,000,000
Societe Generale S.A. Societe Generale toxic securities abuses 2017 USAO $50,000,000
Wachovia Bank N.A. Wells Fargo anti-money-laundering deficiencies 2010 USAO $50,000,000
Rabobank, National Association Rabobank anti-money-laundering deficiencies 2018 OCC $50,000,000
Morgan Stanley Morgan Stanley wage and hour violation 2009 private lawsuit-federal $50,000,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2016 OCC $48,000,000
Credit Suisse (Hong Kong) Limited Credit Suisse Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $47,029,916
Nelnet Inc. Nelnet False Claims Act 2010 DOJ_CIVIL $47,000,000
Regions Bank Regions Financial banking violation 2014 FED $46,000,000
American International Group, Inc. American International Group investor protection violation 2004 SEC $46,000,000
Spear, Leeds & Kellogg Specialists LLC Goldman Sachs securities issuance or trading violation 2004 SEC $45,272,478
Citibank Citigroup consumer protection violation 2016 CFPB $45,000,000
Salomon Smith Barney Inc. Morgan Stanley securities issuance or trading violation 2000 SEC $45,000,000
UBS UBS wage and hour violation 2007 private lawsuit-federal $45,000,000
Fireman's Fund Insurance Company Allianz False Claims Act 2015 DOJ_CIVIL $44,000,000
RBS Securities Inc. Royal Bank of Scotland toxic securities abuses 2017 USAO $44,000,000
UBS UBS wage and hour violation 2007 private lawsuit-federal $44,000,000
ConvergEx Group LLC Cowen Inc. fraud 2014 DOJ_CRIMINAL $43,800,000
Merrill Lynch Bank of America wage and hour violation 2010 private lawsuit-federal $43,500,000
Morgan Stanley Morgan Stanley wage and hour violation 2006 private lawsuit-federal $42,500,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2011 private lawsuit-federal $42,000,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America investor protection violation 2018 SEC $42,000,000
ABN AMRO Mortgage Group ABN AMRO mortgage abuses 2006 HUD $41,000,000
Deutsche Bank AG Deutsche Bank anti-money-laundering deficiencies 2017 FED $41,000,000
ABN AMRO Bank, N.V. ABN AMRO economic sanction violation 2006 OFAC $40,000,000
Fred Alger Management, Inc. Alger Associates securities issuance or trading violation 2007 SEC $40,000,000
Goldman, Sachs & Co. Goldman Sachs securities issuance or trading violation 2005 SEC $40,000,000
Morgan Stanley & Co. Morgan Stanley securities issuance or trading violation 2005 SEC $40,000,000
AmSouth Bancorporation Regions Financial fraud 2004 USAO $40,000,000
Wachovia Securities Wells Fargo wage and hour violation 2009 private lawsuit-federal $39,000,000
Paymap Inc. Western Union consumer protection violation 2015 CFPB $38,400,000
The Bank of New York Bank of New York Mellon anti-money-laundering deficiencies 2005 USAO $38,000,000
Washington Mutual Bank JPMorgan Chase wage and hour violation 2009 private lawsuit-federal $38,000,000
Flagstar Bank Flagstar Bancorp consumer protection violation 2014 CFPB $37,500,000
TD Bank, National Association Toronto-Dominion Bank banking violation 2013 OCC $37,500,000
Everbank TIAA banking violation 2013 OCC $37,000,000
Wachovia Corporation Wells Fargo investor protection violation 2004 SEC $37,000,000
Merrill Lynch Bank of America wage and hour violation 2006 private lawsuit-federal $37,000,000
Goldman Sachs Group Goldman Sachs banking violation 2016 FED $36,300,000
Banc of America Securities LLC Bank of America price-fixing or anti-competitive practices 2010 SEC $36,096,442
Bank of America Bank of America wage and hour violation 2016 private lawsuit-federal $36,000,000
State Street Bank and Trust Company State Street Corp. investor protection violation 2017 SEC $35,300,000
Banca IMI Securities Corp. Intesa Sanpaolo investor protection violation 2017 SEC $35,300,000
National City Bank and its successor PNC Bank PNC Financial Services banking violation 2013 CFPB $35,000,000
HSBC Bank USA, National Association HSBC banking violation 2016 OCC $35,000,000
Citibank, N.A. Citigroup banking violation 2015 OCC $35,000,000
Capital One Bank (USA), National Association Capital One Financial banking violation 2012 OCC $35,000,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2011 OCC $35,000,000
Lender Processing Services Inc. Fidelity National Financial mortgage abuses 2013 DOJ_CRIMINAL $35,000,000
Barclays Capital Inc. Barclays investor protection violation 2016 SEC $35,000,000
OppenheimerFunds Inc. Massachusetts Mutual Life Insurance investor protection violation 2012 SEC $35,000,000
Royal Bank of Canada Royal Bank of Canada securities issuance or trading violation 2014 CFTC $35,000,000
Wells Fargo Bank Wells Fargo banking violation 2016 OCC $35,000,000
H&R Block H&R Block wage and hour violation 2012 private lawsuit-federal $35,000,000
WEX Bank and Higher One, Inc. WEX Inc. banking violation 2015 FDIC $34,980,000
Wells Fargo Wells Fargo consumer protection violation 2015 CFPB $34,800,000
Wells Fargo Bank, National Association Wells Fargo banking violation 2011 OCC $34,500,000
Legg Mason Inc. Legg Mason Foreign Corrupt Practices Act 2018 SEC $34,500,000
Navient Solutions, Inc. Navient banking violation 2014 FDIC $33,300,000
Woodforest National Bank Woodforest National Bank banking violation 2010 OCC $33,000,000
Royal Bank of Scotland PLC Royal Bank of Scotland economic sanction violation 2013 OFAC $33,000,000
Bank of America Corporation Bank of America investor protection violation 2009 SEC $33,000,000
Robertson Stephens Inc. Bank of America securities issuance or trading violation 2003 SEC $33,000,000
Hudson City Savings Bank M&T Bank banking violation 2015 CFPB $32,750,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray investor protection violation 2003 SEC $32,500,000
HSBC Bank USA, National Association HSBC banking violation 2017 OCC $32,500,000
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