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 TotalNumber of Records
financial offenses$30,533,595,69981
competition-related offenses$1,840,419,12511
consumer-protection-related offenses$953,601,75017
government-contracting-related offenses$614,000,0001
employment-related offenses$437,222,02738
Top 5 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$13,450,500,0005
mortgage abuses$5,362,675,0005
investor protection violation$5,023,349,59942
banking violation$4,012,350,34113
anti-money-laundering deficiencies$2,161,000,0002
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 [...]

Links: 

For an overview of this company's accountability track record, read its Corporate Rap Sheet here.

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.
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Companysort icon Primary Offense Type Year Agency Penalty Amount
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A. investor protection violation 2015 SEC $267,000,000
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 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 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 Investment Management Inc. investor protection violation 2015 SEC $1,084,210
J.P. Morgan Futures, Inc. data submission deficiencies 2009 CFTC $300,000
J.P. Morgan Chase Retirement Plan benefit plan administrator violation 2010 private lawsuit-federal $604,957
J.P. Morgan Chase Bank, N.A. anti-money-laundering deficiencies 2014 FINCEN $461,000,000
J.P. Morgan Chase & Co. and Forum Temporary Services labor relations violation 2006 NLRB $60,760
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 discriminatory practices (non-employment) 2010 private lawsuit-federal $1,950,000
J P Morgan Securities LLC insurance violation 2018 NY-DFS $11,750
J P Morgan Chase Bank wage and hour violation 2005 WHD $6,688
J P Morgan Chase Family and Medical Leave Act 2007 WHD $5,008
First USA consumer protection violation 2002 MULTI-AG $1,300,000
Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A. consumer protection violation 2013 CFPB $329,000,000
Chase Bank USA, N.A. consumer protection violation 2009 NY-AG $4,400,000
Chase Bank USA N.A. consumer protection violation 2015 MULTI-AG (*) $106,000,000
Chase Bank consumer protection violation 2006 MULTI-AG $3,850,000
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
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 Companies, LLC mortgage abuses 2008 FTC $28,000,000
Bear Stearns Companies, Inc. benefit plan administrator violation 2012 private lawsuit-federal $10,000,000
Bear Stearns Companies Inc. wage and hour violation 2003 WHD $358,974
Bear Stearns & Co. LLC investor protection violation 2002 MULTI-AG (*) $80,000,000
Bear Stearns wage and hour violation 2010 private lawsuit-federal $675,000
Bear Stearns investor protection violation 2012 MI-AG $275,000,000
Bank One, KY, N.A. discriminatory practices (non-employment) 2005 private lawsuit-federal $6,715,000
Bank One economic sanction violation 2004 OFAC $5,500
Bank One economic sanction violation 2004 OFAC $6,682
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
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