Violation Tracker Parent Company Summary
Parent Company Name:
JPMorgan Chase
Ownership Structure:
publicly traded (ticker symbol JPM)
Headquartered in:
New York
Major Industry:
financial services
Specific Industry:
banking & securities
Penalty total since 2000:
$29,619,489,390
Number of records:
95
| Top 10 Primary Offense Types | Penalty Total | Number of Records |
|---|---|---|
| toxic securities abuses | $13,450,500,000 | 3 |
| mortgage abuses | $5,411,600,000 | 3 |
| banking violation | $4,012,350,341 | 13 |
| anti-money-laundering deficiencies | $2,161,000,000 | 2 |
| False Claims Act | $614,000,000 | 1 |
| foreign exchange market manipulation | $550,000,000 | 1 |
| consumer protection violation | $520,500,000 | 4 |
| investor protection violation | $434,054,000 | 7 |
| securities issuance or trading violation | $427,324,210 | 8 |
| energy market manipulation | $410,000,000 | 1 |
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 dollar total above may be 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 list below.
Associated Names:
BANC ONE INVESTMENT ADVISORS; BANK ONE; BEAR STEARNS; BEAR STEARNS COS; CHASE BANK USA NA AND JPMORGAN CHASE BANK NA; JP MORGAN CHASE AND AND FORUM TEMPORARY SVC; JP MORGAN CHASE BANK NA; JP MORGAN FUTURES; JP MORGAN INVESTMENT MGT; JP MORGAN SECURITIES AND JPMORGAN CHASE BANK NA; JP MORGAN VENTURES ENERGY; JPMORGAN AND; JPMORGAN CHASE; JPMORGAN CHASE AND AND EMC MORTGAGE; JPMORGAN SECURITIES; WASHINGTON MUTUAL; WILLIAMS POWER
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Company |
Primary Offense Type | Year | Agency | Penalty Amount |
|---|---|---|---|---|
| Banc One Investment Advisors Corporation | securities issuance or trading violation | 2004 | SEC | $50,000,000 |
| Bank One | economic sanction violation | 2004 | OFAC | $5,500 |
| Bank One | economic sanction violation | 2004 | OFAC | $6,682 |
| Bear Stearns | wage and hour violation | 2010 | private lawsuit-federal | $675,000 |
| Bear Stearns Companies Inc. | wage and hour violation | 2003 | WHD | $358,974 |
| 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 | 2006 | SEC | $1,500,000 |
| Bear, Stearns & Co., Inc. | securities issuance or trading violation | 2006 | SEC | $250,000,000 |
| Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A. | consumer protection violation | 2013 | CFPB | $329,000,000 |
| 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 Chase & Co. | accounting fraud or deficiencies | 2003 | SEC | $135,000,000 |
| 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 Futures, Inc. | data submission deficiencies | 2009 | CFTC | $300,000 |
| J.P. Morgan Investment Management Inc. | securities issuance or trading violation | 2015 | SEC | $1,084,210 |
| J.P. Morgan Securities | investor protection violation | 2014 | SEC | $54,000 |
| J.P. Morgan Securities Inc. | kickbacks and bribery | 2009 | SEC | $75,000,000 |
| J.P. Morgan Securities Inc. | securities issuance or trading violation | 2003 | SEC | $25,000,000 |
| J.P. Morgan Securities Inc. | investor protection violation | 2003 | SEC | $80,000,000 |
| 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 | securities issuance or trading violation | 2012 | CFTC | $140,000 |
| J.P. Morgan Securities LLC | securities issuance or trading violation | 2015 | SEC | $500,000 |
| J.P. Morgan Securities LLC | financial institution supervision failures | 2017 | CFTC | $900,000 |
| J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A. | investor protection violation | 2015 | SEC | $267,000,000 |
| J.P. Morgan Securities, Inc. | investor protection violation | 2006 | SEC | $1,500,000 |
| JP Morgan Chase | economic sanction violation | 2004 | OFAC | $26,980 |
| JP Morgan Chase & Co. | economic sanction violation | 2004 | OFAC | $17,303 |
| JP Morgan Chase & Co. | economic sanction violation | 2004 | OFAC | $73,281 |
| JP Morgan Chase Bank | economic sanction violation | 2004 | OFAC | $9,748 |
| JP Morgan Chase Bank | economic sanction violation | 2004 | OFAC | $18,094 |
| JP Morgan Chase Bank | workplace whistleblower retaliation | 2016 | OSHA | $203,323 |
| JP Morgan Chase Bank, N.A. | environmental violation | 2017 | EPA | $230,392 |
| JP Morgan Chase Bank, NA | export control violation | 2010 | BIS | $19,125 |
| JP Morgan Ventures Energy Corporation | energy market manipulation | 2013 | FERC | $410,000,000 |
| JPMorgan & Co. | accounting fraud or deficiencies | 2013 | SEC | $200,000,000 |
| JPMorgan Chase | consumer protection violation | 2015 | CFPB | $186,000,000 |
| JPMorgan Chase | consumer protection violation | 2015 | CFPB | $900,000 |
| JPMorgan Chase | banking violation | 2013 | OCC | $1,958,450,341 |
| JPMorgan Chase | False Claims Act | 2014 | DOJ_CIVIL | $614,000,000 |
| JPMorgan Chase | toxic securities abuses | 2013 | DOJ_CIVIL | $13,000,000,000 |
| JPMorgan Chase | data submission deficiencies | 2016 | CFTC | $225,000 |
| JPMorgan Chase | securities issuance or trading violation | 2013 | CFTC | $100,000,000 |
| JPMorgan Chase | employment discrimination | 2014 | EEOC | $1,450,000 |
| JPMorgan Chase | discriminatory practices | 2017 | USAO | $53,000,000 |
| JPMorgan Chase | wage and hour violation | 2018 | private lawsuit-federal | $3,000,000 |
| JPMorgan Chase | wage and hour violation | 2018 | private lawsuit-federal | $8,333,333 |
| JPMorgan Chase | wage and hour violation | 2017 | private lawsuit-federal | $16,666,667 |
| JPMorgan Chase | wage and hour violation | 2017 | private lawsuit-federal | $5,707,279 |
| JPMorgan Chase | wage and hour violation | 2016 | private lawsuit-federal | $950,000 |
| JPMorgan Chase | wage and hour violation | 2015 | private lawsuit-federal | $12,000,000 |
| JPMorgan Chase | wage and hour violation | 2015 | private lawsuit-federal | $2,400,000 |
| JPMorgan Chase | wage and hour violation | 2014 | private lawsuit-federal | $16,000,000 |
| JPMorgan Chase | wage and hour violation | 2013 | private lawsuit-federal | $770,000 |
| JPMorgan Chase | wage and hour violation | 2012 | private lawsuit-federal | $1,195,000 |
| JPMorgan Chase | wage and hour violation | 2012 | private lawsuit-federal | $9,000,000 |
| JPMorgan Chase | wage and hour violation | 2011 | private lawsuit-federal | $42,000,000 |
| JPMorgan Chase | wage and hour violation | 2010 | private lawsuit-federal | $2,492,729 |
| JPMorgan Chase & Co. | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $228,000,000 |
| JPMORGAN CHASE & CO. | banking violation | 2015 | FED | $342,000,000 |
| JPMORGAN CHASE & CO. | banking violation | 2013 | FED | $200,000,000 |
| JPMorgan Chase & Co. | mortgage abuses | 2012 | DOJ_CIVIL | $5,333,600,000 |
| JPMorgan Chase & Co. | foreign exchange market manipulation | 2015 | DOJ_CRIMINAL | $550,000,000 |
| JPMorgan Chase & Co. | banking violation | 2016 | FED | $61,900,000 |
| JPMorgan Chase & Co. | Foreign Corrupt Practices Act | 2016 | SEC | $130,000,000 |
| JPMorgan Chase & Co. | employment discrimination | 2006 | EEOC | $2,200,000 |
| JPMorgan Chase & Co., and EMC Mortgage Corporation | banking violation | 2012 | FED | $275,000,000 |
| JPMorgan Chase Bank | data submission deficiencies | 2015 | CFTC | $100,000,000 |
| JPMorgan Chase Bank | interest rate benchmark manipulation | 2014 | CFTC | $310,000,000 |
| JPMorgan Chase Bank | securities issuance or trading violation | 2012 | CFTC | $600,000 |
| JPMorgan Chase Bank | accounting fraud or deficiencies | 2012 | CFTC | $20,000,000 |
| JPMorgan Chase Bank | anti-money-laundering deficiencies | 2014 | USAO | $1,700,000,000 |
| JPMorgan Chase Bank | economic sanction violation | 2011 | OFAC | $88,300,000 |
| JPMorgan Chase Bank | wage and hour violation | 2004 | WHD | $19,373 |
| JPMorgan Chase Bank N.A. | mortgage abuses | 2015 | DOJ_CIVIL | $50,000,000 |
| JPMorgan Chase Bank, N.A. | wage and hour violation | 2008 | WHD | $9,622 |
| JPMorgan Chase Bank, N.A. | consumer protection violation | 2017 | CFPB | $4,600,000 |
| JPMorgan Chase Bank, NA | wage and hour violation | 2009 | WHD | $6,996 |
| JPMorgan Chase Bank, National Association | banking violation | 2016 | OCC | $48,000,000 |
| JPMorgan Chase Bank, National Association | banking violation | 2015 | OCC | $30,000,000 |
| JPMorgan Chase Bank, National Association | banking violation | 2014 | OCC | $350,000,000 |
| JPMorgan Chase Bank, National Association | banking violation | 2014 | OCC | $350,000,000 |
| JPMorgan Chase Bank, National Association | banking violation | 2013 | OCC | $60,000,000 |
| JPMorgan Chase Bank, National Association | banking violation | 2013 | OCC | $300,000,000 |
| JPMorgan Chase Bank, National Association | banking violation | 2011 | OCC | $35,000,000 |
| JPMorgan Chase Bank, National Association | banking violation | 2011 | OCC | $2,000,000 |
| JPMorgan Securities | data submission deficiencies | 2014 | CFTC | $650,000 |
| JPMorgan Securities | kickbacks and bribery | 2016 | DOJ_CRIMINAL | $72,000,000 |
| Washington Mutual Bank | wage and hour violation | 2011 | private lawsuit-federal | $463,000 |
| Washington Mutual Bank | wage and hour violation | 2009 | private lawsuit-federal | $38,000,000 |
| Washington Mutual, Inc. | wage and hour violation | 2005 | WHD | $404,982 |
| Williams Power Company Inc. | data submission deficiencies | 2006 | DOJ_CRIMINAL | $50,000,000 |
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