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:
$34,530,243,993
Number of records:
154
| Top 5 Offense Groups (Groups Defined) | Penalty Total | Number of Records |
|---|---|---|
| financial offenses | $30,533,595,699 | 81 |
| competition-related offenses | $1,840,419,125 | 11 |
| consumer-protection-related offenses | $953,601,750 | 17 |
| government-contracting-related offenses | $614,000,000 | 1 |
| employment-related offenses | $437,222,027 | 38 |
| Top 5 Primary Offense Types | Penalty Total | Number of Records |
|---|---|---|
| toxic securities abuses | $13,450,500,000 | 5 |
| mortgage abuses | $5,362,675,000 | 5 |
| investor protection violation | $5,023,349,599 | 42 |
| banking violation | $4,012,350,341 | 13 |
| anti-money-laundering deficiencies | $2,161,000,000 | 2 |
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.
Associated Names:
Banc One Investment Advisors Corporation; BANK ONE; Bank One, KY, N.A.; BEAR STEARNS; BEAR STEARNS COS; Chase Bank; CHASE BANK USA NA AND JPMORGAN CHASE BANK NA; Chase Bank USA, N.A.; First USA; J.P. Morgan Chase Retirement Plan; 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 Cha [...]
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Individual Penalty Records:
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Company |
Primary Offense Type | Year | Agency | Penalty Amount |
|---|---|---|---|---|
| Banc One Investment Advisors Corporation | investor protection violation | 2004 | SEC | $50,000,000 |
| Banc One Investment Advisors Corporation | investor protection violation | 2004 | NY-AG | (*) $90,000,000 |
| 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 | (*) $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 | (*) $25,000,000 |
| 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 |
| Chase Bank | consumer protection violation | 2006 | MULTI-AG | $3,850,000 |
| Chase Bank USA N.A. | consumer protection violation | 2015 | MULTI-AG | (*) $106,000,000 |
| Chase Bank USA, N.A. | consumer protection violation | 2009 | NY-AG | $4,400,000 |
| Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A. | consumer protection violation | 2013 | CFPB | $329,000,000 |
| 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 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 | (*) $80,000,000 |
| J.P. Morgan Chase & Co. | toxic securities abuses | 2013 | CA-AG | (*) $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 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 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 | (*) $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 |
| J.P. Morgan Securities LLC | investor protection violation | 2018 | DC-DISB | $5,000 |
| J.P. Morgan Securities LLC | investor protection violation | 2020 | KY-FIN | $325,000 |
| 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 |
| J.P. Morgan Securities, LLC | investor protection violation | 2014 | NJ-AG | $50,460 |
| J.P. Morgan Securities, LLC | investor protection violation | 2014 | AK-DBS | $51,120 |
| JP Morgan Chase | economic sanction violation | 2004 | OFAC | $26,980 |
| JP Morgan Chase | consumer protection violation | 2014 | HI-AG | $2,825,000 |
| JP Morgan Chase | mortgage abuses | 2015 | MA-AG | $675,000 |
| 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 & Co. | investor protection violation | 2008 | MULTI-AG | $3,525,000,000 |
| 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. | wage and hour violation | 2019 | WHD | $38,336 |
| 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 and related | 2014 | DOJ_CIVIL | $614,000,000 |
| JPMorgan Chase | toxic securities abuses | 2013 | DOJ | $13,000,000,000 |
| JPMorgan Chase | data submission deficiencies | 2016 | CFTC | $225,000 |
| JPMorgan Chase | investor protection violation | 2013 | CFTC | $100,000,000 |
| JPMorgan Chase | employment discrimination | 2014 | EEOC | $1,450,000 |
| JPMorgan Chase | discriminatory practices (non-employment) | 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 | employment discrimination | 2018 | private lawsuit-federal | $24,000,000 |
| JPMorgan Chase | investor protection violation | 2015 | MULTI-AG | $150,000,000 |
| JPMorgan Chase | mortgage abuses | 2012 | MULTI-AG | (*) $1,121,188,661 |
| JPMorgan Chase | price-fixing or anti-competitive practices | 2011 | MULTI-AG | (*) $75,000,000 |
| JPMorgan Chase | toxic securities abuses | 2013 | MULTI-AG | (*) $1,066,000,000 |
| JPMorgan Chase | consumer protection violation | 2015 | CA-AG | $50,000,000 |
| 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 |
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