| Affinion | consumer protection violation | 2013 | MULTI-AG | $30,000,000 |
| Affinion Group Holdings, Inc. | consumer protection violation | 2015 | CFPB | $8,700,000 |
| Affinion Group, Inc. | consumer protection violation | 2010 | NY-AG | $8,000,000 |
| Banc One Investment Advisors Corporation | investor protection violation | 2004 | SEC | $50,000,000 |
| Banc One Investment Advisors Corporation | investor protection violation | 2004 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,000,000 |
| Banc One Securities Corporation | investor protection violation | 2008 | FINRA | $225,000 |
| Banc One Securities Corporation | investor protection violation | 2005 | FINRA | $400,000 |
| Bank One | economic sanction violation | 2004 | OFAC | $5,500 |
| Bank One | economic sanction violation | 2004 | OFAC | $6,682 |
| Bank One, KY, N.A. | discriminatory practices (non-employment) | 2005 | private lawsuit-federal | $6,715,000 |
| Bear Stearns | wage and hour violation | 2010 | private lawsuit-federal | $675,000 |
| Bear Stearns | investor protection violation | 2012 | MI-AG | $275,000,000 |
| Bear Stearns & Co. LLC | investor protection violation | 2002 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000 |
| Bear Stearns Companies Inc. | wage and hour violation | 2003 | WHD | $358,974 |
| Bear Stearns Companies, Inc. | benefit plan administrator violation | 2012 | private lawsuit-federal | $10,000,000 |
| Bear Stearns Companies, LLC | mortgage abuses | 2008 | FTC | $28,000,000 |
| Bear, Stearns & Co. Inc. | investor protection violation | 2003 | SEC | $80,000,000 |
| Bear, Stearns & Co. Inc. | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000 |
| Bear, Stearns & Co. Inc. | investor protection violation | 2004 | FINRA | $4,950,000 |
| Bear, Stearns & Co. Inc. | investor protection violation | 2004 | FINRA | $280,469 |
| Bear, Stearns & Co., Inc. | investor protection violation | 2006 | SEC | $1,500,000 |
| Bear, Stearns & Co., Inc. | investor protection violation | 2006 | SEC | $250,000,000 |
| Bear, Stearns & Co., Inc. | investor protection violation | 2005 | IL-SEC | $10,000 |
| Bear, Stearns & Co., Inc. | investor protection violation | 2008 | FINRA | $150,000 |
| Chase Bank | consumer protection violation | 2006 | MULTI-AG | $3,850,000 |
| Chase Bank | wage and hour violation | 2010 | MI-LEO | $15,000 |
| Chase Bank NA | consumer protection violation | 2012 | private lawsuit-federal | $100,000,000 |
| Chase Bank USA et al. | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $19,500,000 |
| Chase Bank USA N.A. | consumer protection violation | 2015 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $106,000,000 |
| Chase Bank USA, N.A. | consumer protection violation | 2009 | NY-AG | $4,400,000 |
| Chase Bank USA, N.A. | consumer protection violation | 2011 | private lawsuit-federal | $7,800,000 |
| Chase Bank USA, N.A. | consumer protection violation | 2011 | private lawsuit-federal | $4,900,000 |
| Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A. | consumer protection violation | 2013 | CFPB | $329,000,000 |
| Chase Home Finance LLC | consumer protection violation | 2012 | private lawsuit-federal | $56,000,000 |
| Chase Investment Services | investor protection violation | 2005 | FINRA | $290,262 |
| Chase Investment Services | investor protection violation | 2005 | FINRA | $2,000,000 |
| Chase Investment Services Corp. | investor protection violation | 2009 | FINRA | $250,000 |
| Chase Investment Services Corp. | investor protection violation | 2009 | FINRA | $32,500 |
| Chase Investment Services Corp. | investor protection violation | 2005 | FINRA | $60,000 |
| Chase Investment Services Corp. | investor protection violation | 2004 | FINRA | $250,000 |
| Chase Investment Services Corporation | investor protection violation | 2011 | FINRA | $3,600,000 |
| Chase Investment Services Corporation | investor protection violation | 2006 | FINRA | $500,000 |
| Chase Securities, Inc. | investor protection violation | 2001 | FINRA | $10,000 |
| El Paso Electric | environmental violation | 2015 | EPA | $3,800,000 |
| EL PASO ELECTRIC | workplace safety or health violation | 2010 | OSHA | $6,000 |
| El Paso Electric Company | labor relations violation | 2012 | NLRB | $79,692 |
| El Paso Electric Company | labor relations violation | 2009 | NLRB | $11,500 |
| El Paso Electric Company | utility administrative violation | 2010 | NM-PRC | $5,000 |
| El Paso Electric Company | utility service violation | 2018 | TX-PUC | $20,000 |
| El Paso Electric Company | utility service violation | 2016 | TX-PUC | $7,000 |
| El Paso Electric Company | utility service violation | 2015 | TX-PUC | $6,000 |
| El Paso Electric Company | utility service violation | 2014 | TX-PUC | $9,000 |
| El Paso Electric Company | utility service violation | 2011 | TX-PUC | $18,000 |
| El Paso Electric Company | utility service violation | 2011 | TX-PUC | $18,000 |
| El Paso Electric Company | utility service violation | 2011 | TX-PUC | $27,000 |
| El Paso Electric Company | utility service violation | 2010 | TX-PUC | $38,000 |
| El Paso Electric Company | utility service violation | 2010 | TX-PUC | $50,000 |
| El Paso Electric Company | utility service violation | 2009 | TX-PUC | $100,000 |
| El Paso Electric Company | utility service violation | 2006 | TX-PUC | $27,000 |
| EL PASO ELECTRIC COMPANY | workplace safety or health violation | 2011 | OSHA | $18,300 |
| EL PASO ELECTRIC COMPANY | workplace safety or health violation | 2015 | OSHA | $7,000 |
| EL PASO ELECTRIC COMPANY | workplace safety or health violation | 2023 | OSHA | $10,000 |
| El Paso Electric Corporation | energy market violation | 2003 | FERC | $15,500,000 |
| First Republic Bank | wage and hour violation | 2012 | WHD | $1,009,644 |
| First Republic Investment Management, Inc. | investor protection violation | 2019 | SEC | $1,005,194 |
| First Republic Investment Management, Inc. | investor protection violation | 2022 | SEC | $1,825,953 |
| First USA | consumer protection violation | 2002 | MULTI-AG | $1,300,000 |
| J P Morgan Chase | Family and Medical Leave Act | 2007 | WHD | $5,008 |
| J P Morgan Chase Bank | wage and hour violation | 2005 | WHD | $6,688 |
| J P Morgan Securities LLC | insurance violation | 2018 | NY-DFS | $11,750 |
| J. P. Morgan Securities Inc. | investor protection violation | 2000 | FINRA | $200,000 |
| J.P. Morgan Chase | discriminatory practices (non-employment) | 2010 | private lawsuit-federal | $1,950,000 |
| J.P. Morgan Chase & Co. | accounting fraud or deficiencies | 2003 | SEC | $135,000,000 |
| J.P. Morgan Chase & Co. | investor protection violation | 2002 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000 |
| J.P. Morgan Chase & Co. | toxic securities abuses | 2013 | CA-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $298,973,000 |
| J.P. Morgan Chase & Co. | accounting fraud or deficiencies | 2003 | NY-MANDA | $25,000,000 |
| J.P. Morgan Chase & Co. and Forum Temporary Services | labor relations violation | 2006 | NLRB | $60,760 |
| J.P. Morgan Chase Bank, N.A. | anti-money-laundering deficiencies | 2014 | FINCEN | $461,000,000 |
| J.P. Morgan Chase Retirement Plan | benefit plan administrator violation | 2010 | private lawsuit-federal | $604,957 |
| J.P. Morgan Chase& Co. | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
| J.P. Morgan Futures, Inc. | data submission deficiencies | 2009 | CFTC | $300,000 |
| J.P. Morgan Investment Management Inc. | investor protection violation | 2015 | SEC | $1,084,210 |
| J.P. Morgan Securities | investor protection violation | 2014 | SEC | $54,000 |
| J.P. Morgan Securities | investor protection violation | 2014 | DE-AG | $51,400 |
| J.P. Morgan Securities | investor protection violation | 2014 | MULTI-FIN | $2,800,000 |
| J.P. Morgan Securities | investor protection violation | 2017 | FINRA | $2,800,000 |
| J.P. Morgan Securities LLC | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
| J.P. Morgan Securities Inc. | kickbacks and bribery | 2009 | SEC | $75,000,000 |
| J.P. Morgan Securities Inc. | investor protection violation | 2003 | SEC | $25,000,000 |
| J.P. Morgan Securities Inc. | investor protection violation | 2003 | SEC | $80,000,000 |
| J.P. Morgan Securities Inc. | investor protection violation | 2005 | SEC | $700,000 |
| J.P. Morgan Securities Inc. | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000 |
| J.P. Morgan Securities LLC | investor protection violation | 2016 | SEC | $4,000,000 |
| J.P. Morgan Securities LLC | toxic securities abuses | 2012 | SEC | $296,900,000 |
| J.P. Morgan Securities LLC | toxic securities abuses | 2011 | SEC | $153,600,000 |
| J.P. Morgan Securities LLC | investor protection violation | 2012 | CFTC | $140,000 |
| J.P. Morgan Securities LLC | investor protection violation | 2015 | SEC | $500,000 |
| J.P. Morgan Securities LLC | investor protection violation | 2017 | CFTC | $900,000 |
| J.P. Morgan Securities LLC | investor protection violation | 2010 | FL-AG | $25,000,000 |
| J.P. Morgan Securities LLC | investor protection violation | 2020 | SEC | $1,822,438 |
| J.P. Morgan Securities LLC | investor protection violation | 2014 | CT-SEC | $53,800 |
