Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Current Parent Company Summary

Current Parent Company Name: Capital One Financial
Ownership Structure: publicly traded (ticker symbol COF)
Headquartered in: Virginia
Major Industry: financial services
Specific Industry: banking
Penalty total since 2000$774,853,432
Number of records: 17
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$515,055,0329
consumer-protection-related offenses$253,590,0005
employment-related offenses$6,200,0002
environment-related offenses$8,4001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
anti-money-laundering deficiencies$390,000,0002
consumer protection violation$165,740,0002
banking violation$119,205,0325
privacy violation$73,000,0001
Servicemembers Civil Relief Act$12,000,0001
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual 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. The totals 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 list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyPrimary Offense TypeYear sort iconAgencyPenalty Amount
Capital One Bankbanking violation2005WI-AG$80,032
Capital One, National Associationbanking violation2009OCC$125,000
CAPITAL ONE NATIONAL ASSOCIATIONenvironmental violation2010TX-ENV$8,400
Capital One Bank (USA) N.A.bankruptcy professional violation2011DOJ_UTP$2,350,000
Capital One Bank (U.S.A.), N.A.consumer protection violation2012CFPB$165,000,000
Capital One Bank (USA), National Associationbanking violation2012OCC$35,000,000
Capital One N.A.Servicemembers Civil Relief Act2012DOJ_RIGHTS$12,000,000
Capital Onewage and hour violation2012private lawsuit-federal$3,200,000
Capital One Financial Corporationaccounting fraud or deficiencies2013SEC$3,500,000
Chevy Chase Bank F.S.B.mortgage abuses2013DOJ_RIGHTS$2,850,000
Capital One, National Associationbanking violation2014OCC$4,000,000
Capital Onewage and hour violation2015private lawsuit-federal$3,000,000
Capital Oneconsumer protection violation2015MO-AG$740,000
Capital Oneprivacy violation2015private lawsuit-federal$73,000,000
Capital One Bank (USA), National Associationanti-money-laundering deficiencies2018OCC$100,000,000
Capital One Bank (USA), National Associationbanking violation2020OCC$80,000,000
Capital One, National Associationanti-money-laundering deficiencies2021FINCEN$290,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.