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 |
|---|---|---|---|---|
| Providian Financial Corp. | consumer protection violation | 2000 | CA-AG | $305,500,000 |
| Providian Financial Corp. | consumer protection violation | 2000 | CT-AG | $1,600,000 |
| Bear Stearns & Co. LLC | investor protection violation | 2002 | MULTI-AG | (*) $80,000,000 |
| First USA | consumer protection violation | 2002 | MULTI-AG | $1,300,000 |
| J.P. Morgan Chase & Co. | investor protection violation | 2002 | MULTI-AG | (*) $80,000,000 |
| J.P. Morgan Securities Inc. | investor protection violation | 2003 | SEC | $25,000,000 |
| J.P. Morgan Chase & Co. | accounting fraud or deficiencies | 2003 | SEC | $135,000,000 |
| Bear, Stearns & Co. Inc. | investor protection violation | 2003 | SEC | $80,000,000 |
| J.P. Morgan Securities Inc. | investor protection violation | 2003 | SEC | $80,000,000 |
| Bear Stearns Companies Inc. | wage and hour violation | 2003 | WHD | $358,974 |
| Providian Financial Corp. | benefit plan administrator violation | 2003 | private lawsuit-federal | $8,600,000 |
| J.P. Morgan Chase & Co. | accounting fraud or deficiencies | 2003 | NY-MANDA | $25,000,000 |
| Bear, Stearns & Co. Inc. | investor protection violation | 2003 | MULTI-FIN | (*) $25,000,000 |
| J.P. Morgan Securities Inc. | investor protection violation | 2003 | MULTI-FIN | (*) $25,000,000 |
| Bank One | economic sanction violation | 2004 | OFAC | $5,500 |
| Bank One | economic sanction violation | 2004 | OFAC | $6,682 |
| 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 |
| Banc One Investment Advisors Corporation | investor protection violation | 2004 | SEC | $50,000,000 |
| JPMorgan Chase Bank | wage and hour violation | 2004 | WHD | $19,373 |
| Banc One Investment Advisors Corporation | investor protection violation | 2004 | NY-AG | (*) $90,000,000 |
| J P Morgan Chase Bank | wage and hour violation | 2005 | WHD | $6,688 |
| Washington Mutual, Inc. | wage and hour violation | 2005 | WHD | $404,982 |
| J.P. Morgan Securities Inc. | investor protection violation | 2005 | SEC | $700,000 |
| Bear, Stearns & Co., Inc. | investor protection violation | 2005 | IL-SEC | $10,000 |
| Bank One, KY, N.A. | discriminatory practices (non-employment) | 2005 | private lawsuit-federal | $6,715,000 |
| Williams Power Company Inc. | data submission deficiencies | 2006 | DOJ_CRIMINAL | $50,000,000 |
| Bear, Stearns & Co., Inc. | investor protection violation | 2006 | SEC | $1,500,000 |
| J.P. Morgan Securities, Inc. | investor protection violation | 2006 | SEC | $1,500,000 |
| Bear, Stearns & Co., Inc. | investor protection violation | 2006 | SEC | $250,000,000 |
| JPMorgan Chase & Co. | employment discrimination | 2006 | EEOC | $2,200,000 |
| J.P. Morgan Chase & Co. and Forum Temporary Services | labor relations violation | 2006 | NLRB | $60,760 |
| Chase Bank | consumer protection violation | 2006 | MULTI-AG | $3,850,000 |
| J P Morgan Chase | Family and Medical Leave Act | 2007 | WHD | $5,008 |
| Bear Stearns Companies, LLC | mortgage abuses | 2008 | FTC | $28,000,000 |
| JPMorgan Chase Bank, N.A. | wage and hour violation | 2008 | WHD | $9,622 |
| JPMorgan Chase & Co. | investor protection violation | 2008 | SEC | $1,998,143 |
| JP Morgan Chase & Co. | investor protection violation | 2008 | MULTI-AG | $3,525,000,000 |
| JPMorgan Chase & Co. | investor protection violation | 2008 | MULTI-FIN | (*) $25,000,000 |
| J.P. Morgan Futures, Inc. | data submission deficiencies | 2009 | CFTC | $300,000 |
| J.P. Morgan Securities Inc. | kickbacks and bribery | 2009 | SEC | $75,000,000 |
| JPMorgan Chase Bank, NA | wage and hour violation | 2009 | WHD | $6,996 |
| Washington Mutual Bank | wage and hour violation | 2009 | private lawsuit-federal | $38,000,000 |
| Chase Bank USA, N.A. | consumer protection violation | 2009 | NY-AG | $4,400,000 |
| JP Morgan Chase Bank, NA | export control violation | 2010 | BIS | $19,125 |
| Bear Stearns | wage and hour violation | 2010 | private lawsuit-federal | $675,000 |
| JPMorgan Chase | wage and hour violation | 2010 | private lawsuit-federal | $2,492,729 |
| J.P. Morgan Chase Retirement Plan | benefit plan administrator violation | 2010 | private lawsuit-federal | $604,957 |
| Washington Mutual Inc. | benefit plan administrator violation | 2010 | private lawsuit-federal | $49,000,000 |
| Washington Mutual Pension Plan | benefit plan administrator violation | 2010 | private lawsuit-federal | $20,000,000 |
| J.P. Morgan Securities LLC | investor protection violation | 2010 | FL-AG | $25,000,000 |
| JPMorgan Chase & Co. | investor protection violation | 2010 | NJ-AG | $1,149,028 |
| J.P. Morgan Chase | discriminatory practices (non-employment) | 2010 | private lawsuit-federal | $1,950,000 |
| JPMorgan Chase & Co. | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $228,000,000 |
| JPMorgan Chase Bank, National Association | banking violation | 2011 | OCC | $35,000,000 |
| JPMorgan Chase Bank, National Association | banking violation | 2011 | OCC | $2,000,000 |
| J.P. Morgan Securities LLC | toxic securities abuses | 2011 | SEC | $153,600,000 |
| JPMorgan Chase Bank | economic sanction violation | 2011 | OFAC | $88,300,000 |
| Washington Mutual Bank | wage and hour violation | 2011 | private lawsuit-federal | $463,000 |
| JPMorgan Chase | wage and hour violation | 2011 | private lawsuit-federal | $42,000,000 |
| JPMorgan Chase | price-fixing or anti-competitive practices | 2011 | MULTI-AG | (*) $75,000,000 |
| JPMorgan Chase & Co., and EMC Mortgage Corporation | banking violation | 2012 | FED | $275,000,000 |
| JPMorgan Chase & Co. | mortgage abuses | 2012 | DOJ | $5,333,600,000 |
| J.P. Morgan Securities LLC | toxic securities abuses | 2012 | SEC | $296,900,000 |
| JPMorgan Chase Bank | investor protection violation | 2012 | CFTC | $600,000 |
| JPMorgan Chase Bank | accounting fraud or deficiencies | 2012 | CFTC | $20,000,000 |
| J.P. Morgan Securities LLC | investor protection violation | 2012 | CFTC | $140,000 |
| 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 Bank, N.A. | benefit plan administrator violation | 2012 | private lawsuit-federal | $150,000,000 |
| Bear Stearns Companies, Inc. | benefit plan administrator violation | 2012 | private lawsuit-federal | $10,000,000 |
| Bear Stearns | investor protection violation | 2012 | MI-AG | $275,000,000 |
| JPMorgan Chase | mortgage abuses | 2012 | MULTI-AG | (*) $1,121,188,661 |
| Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A. | consumer protection violation | 2013 | CFPB | $329,000,000 |
| 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 | banking violation | 2013 | OCC | $1,958,450,341 |
| JPMORGAN CHASE & CO. | banking violation | 2013 | FED | $200,000,000 |
| JPMorgan Chase | toxic securities abuses | 2013 | DOJ | $13,000,000,000 |
| JPMorgan & Co. | accounting fraud or deficiencies | 2013 | SEC | $200,000,000 |
| JPMorgan Chase | investor protection violation | 2013 | CFTC | $100,000,000 |
| JP Morgan Ventures Energy Corporation | energy market manipulation | 2013 | FERC | $410,000,000 |
| JPMorgan Chase | wage and hour violation | 2013 | private lawsuit-federal | $770,000 |
| J.P. Morgan Chase & Co. | toxic securities abuses | 2013 | CA-AG | (*) $298,973,000 |
| JPMorgan Chase | toxic securities abuses | 2013 | MULTI-AG | (*) $1,066,000,000 |
| JPMorgan Chase & Co. | consumer protection violation | 2013 | WV-AG | $1,950,000 |
| JPMorgan Chase Bank, National Association | banking violation | 2014 | OCC | $350,000,000 |
| JPMorgan Chase Bank, National Association | banking violation | 2014 | OCC | $350,000,000 |
| J.P. Morgan Chase Bank, N.A. | anti-money-laundering deficiencies | 2014 | FINCEN | $461,000,000 |
| JPMorgan Chase | False Claims Act and related | 2014 | DOJ_CIVIL | $614,000,000 |
| JPMorgan Chase Bank | interest rate benchmark manipulation | 2014 | CFTC | $310,000,000 |
| JPMorgan Securities | data submission deficiencies | 2014 | CFTC | $650,000 |
| JPMorgan Chase Bank | anti-money-laundering deficiencies | 2014 | USAO | $1,700,000,000 |
| J.P. Morgan Securities | investor protection violation | 2014 | SEC | $54,000 |
| JPMorgan Chase | employment discrimination | 2014 | EEOC | $1,450,000 |
| JPMorgan Chase | wage and hour violation | 2014 | private lawsuit-federal | $16,000,000 |
| J.P. Morgan Securities | investor protection violation | 2014 | DE-AG | $51,400 |
| J.P. Morgan Securities, LLC | investor protection violation | 2014 | NJ-AG | $50,460 |
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