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:
$35,744,240,670
Number of records:
158
| Top 5 Offense Groups (Groups Defined) | Penalty Total | Number of Records |
|---|---|---|
| financial offenses | $31,738,795,699 | 84 |
| competition-related offenses | $1,840,419,125 | 12 |
| consumer-protection-related offenses | $953,601,750 | 17 |
| government-contracting-related offenses | $614,000,000 | 1 |
| employment-related offenses | $446,018,704 | 38 |
| Top 5 Primary Offense Types | Penalty Total | Number of Records |
|---|---|---|
| toxic securities abuses | $13,450,500,000 | 5 |
| investor protection violation | $5,978,549,599 | 44 |
| mortgage abuses | $5,362,675,000 | 5 |
| banking violation | $4,262,350,341 | 14 |
| 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 [...]
Links:
Individual Penalty Records:
Click on the company or penalty amount for more information on each case.
| Company | Primary Offense Type | Year | Agency |
Penalty Amount |
|---|---|---|---|---|
| J.P. Morgan Securities LLC | investor protection violation | 2018 | DC-DISB | $5,000 |
| J P Morgan Chase | Family and Medical Leave Act | 2007 | WHD | $5,008 |
| Bank One | economic sanction violation | 2004 | OFAC | $5,500 |
| Bank One | economic sanction violation | 2004 | OFAC | $6,682 |
| J P Morgan Chase Bank | wage and hour violation | 2005 | WHD | $6,688 |
| JPMorgan Chase Bank, NA | wage and hour violation | 2009 | WHD | $6,996 |
| JPMorgan Chase Bank, N.A. | wage and hour violation | 2008 | WHD | $9,622 |
| JP Morgan Chase Bank | economic sanction violation | 2004 | OFAC | $9,748 |
| Bear, Stearns & Co., Inc. | investor protection violation | 2005 | IL-SEC | $10,000 |
| J P Morgan Securities LLC | insurance violation | 2018 | NY-DFS | $11,750 |
| JP Morgan Chase & Co. | economic sanction violation | 2004 | OFAC | $17,303 |
| JP Morgan Chase Bank | economic sanction violation | 2004 | OFAC | $18,094 |
| JP Morgan Chase Bank, NA | export control violation | 2010 | BIS | $19,125 |
| JPMorgan Chase Bank | wage and hour violation | 2004 | WHD | $19,373 |
| JP Morgan Chase | economic sanction violation | 2004 | OFAC | $26,980 |
| JP Morgan Chase Bank N.A. | wage and hour violation | 2019 | WHD | $38,336 |
| 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 |
| J.P. Morgan Securities | investor protection violation | 2014 | DE-AG | $51,400 |
| J.P. Morgan Securities LLC | investor protection violation | 2014 | CT-SEC | $53,800 |
| J.P. Morgan Securities | investor protection violation | 2014 | SEC | $54,000 |
| J.P. Morgan Chase & Co. and Forum Temporary Services | labor relations violation | 2006 | NLRB | $60,760 |
| JP Morgan Chase & Co. | economic sanction violation | 2004 | OFAC | $73,281 |
| JPMorgan Chase Bank, N.A. | investor protection violation | 2017 | MD-SEC | $100,000 |
| J.P. Morgan Securities LLC | investor protection violation | 2012 | CFTC | $140,000 |
| JPMorgan Chase | data submission deficiencies | 2016 | CFTC | $225,000 |
| JP Morgan Chase Bank, N.A. | environmental violation | 2017 | EPA | $230,392 |
| J.P. Morgan Futures, Inc. | data submission deficiencies | 2009 | CFTC | $300,000 |
| J.P. Morgan Securities LLC | investor protection violation | 2020 | KY-FIN | $325,000 |
| Bear Stearns Companies Inc. | wage and hour violation | 2003 | WHD | $358,974 |
| JPMorgan Chase and Co. | price-fixing or anti-competitive practices | 2014 | WV-AG | $400,000 |
| JPMorgan Chase Bank | mortgage abuses | 2015 | MD-AG | $400,000 |
| Washington Mutual, Inc. | wage and hour violation | 2005 | WHD | $404,982 |
| Washington Mutual Bank | wage and hour violation | 2011 | private lawsuit-federal | $463,000 |
| J.P. Morgan Securities LLC | investor protection violation | 2015 | SEC | $500,000 |
| JPMorgan Chase Bank | investor protection violation | 2012 | CFTC | $600,000 |
| J.P. Morgan Chase Retirement Plan | benefit plan administrator violation | 2010 | private lawsuit-federal | $604,957 |
| JPMorgan Securities | data submission deficiencies | 2014 | CFTC | $650,000 |
| Bear Stearns | wage and hour violation | 2010 | private lawsuit-federal | $675,000 |
| JP Morgan Chase | mortgage abuses | 2015 | MA-AG | $675,000 |
| J.P. Morgan Securities Inc. | investor protection violation | 2005 | SEC | $700,000 |
| JPMorgan Chase | wage and hour violation | 2013 | private lawsuit-federal | $770,000 |
| JPMorgan Chase | consumer protection violation | 2015 | CFPB | $900,000 |
| J.P. Morgan Securities LLC | investor protection violation | 2017 | CFTC | $900,000 |
| JPMorgan Chase & Co. | investor protection violation | 2016 | IN-SEC | $905,000 |
| JPMorgan Chase | wage and hour violation | 2016 | private lawsuit-federal | $950,000 |
| JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC | investor protection violation | 2016 | IN-SEC | $950,000 |
| J.P. Morgan Investment Management Inc. | investor protection violation | 2015 | SEC | $1,084,210 |
| JPMorgan Chase & Co. | investor protection violation | 2010 | NJ-AG | $1,149,028 |
| JPMorgan Chase | wage and hour violation | 2012 | private lawsuit-federal | $1,195,000 |
| First USA | consumer protection violation | 2002 | MULTI-AG | $1,300,000 |
| JPMorgan Chase | employment discrimination | 2014 | EEOC | $1,450,000 |
| 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 |
| Providian Financial Corp. | consumer protection violation | 2000 | CT-AG | $1,600,000 |
| J.P. Morgan Securities LLC | investor protection violation | 2020 | SEC | $1,822,438 |
| JPMorgan Chase Bank, National Association | wage and hour violation | 2019 | private lawsuit-federal | $1,850,000 |
| JPMorgan Chase & Co. | consumer protection violation | 2013 | WV-AG | $1,950,000 |
| J.P. Morgan Chase | discriminatory practices (non-employment) | 2010 | private lawsuit-federal | $1,950,000 |
| JPMorgan Chase & Co. | investor protection violation | 2008 | SEC | $1,998,143 |
| JPMorgan Chase Bank, National Association | banking violation | 2011 | OCC | $2,000,000 |
| JPMorgan Chase & Co. | employment discrimination | 2006 | EEOC | $2,200,000 |
| JPMorgan Chase | wage and hour violation | 2015 | private lawsuit-federal | $2,400,000 |
| JPMorgan Chase | wage and hour violation | 2010 | private lawsuit-federal | $2,492,729 |
| J.P. Morgan Securities | investor protection violation | 2014 | MULTI-FIN | $2,800,000 |
| JP Morgan Chase | consumer protection violation | 2014 | HI-AG | $2,825,000 |
| JPMorgan Chase | wage and hour violation | 2018 | private lawsuit-federal | $3,000,000 |
| JPMorgan Chase Bank, N.A. | wage and hour violation | 2020 | private lawsuit-federal | $3,750,000 |
| Chase Bank | consumer protection violation | 2006 | MULTI-AG | $3,850,000 |
| J.P. Morgan Securities LLC | investor protection violation | 2016 | SEC | $4,000,000 |
| Chase Bank USA, N.A. | consumer protection violation | 2009 | NY-AG | $4,400,000 |
| JPMorgan Chase Bank, N.A. | consumer protection violation | 2017 | CFPB | $4,600,000 |
| JPMorgan Chase Bank, N.A. | employment discrimination | 2019 | private lawsuit-federal | $5,000,000 |
| JPMorgan Chase Bank, N.A. | economic sanction violation | 2018 | OFAC | $5,263,171 |
| JPMorgan Chase | wage and hour violation | 2017 | private lawsuit-federal | $5,707,279 |
| Bank One, KY, N.A. | discriminatory practices (non-employment) | 2005 | private lawsuit-federal | $6,715,000 |
| JPMorgan Chase | wage and hour violation | 2018 | private lawsuit-federal | $8,333,333 |
| Providian Financial Corp. | benefit plan administrator violation | 2003 | private lawsuit-federal | $8,600,000 |
| JPMorgan Chase | wage and hour violation | 2012 | private lawsuit-federal | $9,000,000 |
| JPMorgan Chase & Co. | employment discrimination | 2020 | OFCCP | $9,000,000 |
| Bear Stearns Companies, Inc. | benefit plan administrator violation | 2012 | private lawsuit-federal | $10,000,000 |
| JPMorgan Chase | wage and hour violation | 2015 | private lawsuit-federal | $12,000,000 |
| JPMorgan Chase | wage and hour violation | 2014 | private lawsuit-federal | $16,000,000 |
| JPMorgan Chase | wage and hour violation | 2017 | private lawsuit-federal | $16,666,667 |
| JPMorgan Chase Bank | accounting fraud or deficiencies | 2012 | CFTC | $20,000,000 |
| Washington Mutual Pension Plan | benefit plan administrator violation | 2010 | private lawsuit-federal | $20,000,000 |
| JPMorgan Chase | employment discrimination | 2018 | private lawsuit-federal | $24,000,000 |
| J.P. Morgan Securities Inc. | investor protection violation | 2003 | SEC | $25,000,000 |
| J.P. Morgan Securities LLC | investor protection violation | 2010 | FL-AG | $25,000,000 |
| 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 |
| JPMorgan Chase & Co. | investor protection violation | 2008 | MULTI-FIN | (*) $25,000,000 |
| Bear Stearns Companies, LLC | mortgage abuses | 2008 | FTC | $28,000,000 |
| JPMorgan Chase Bank, National Association | banking violation | 2015 | OCC | $30,000,000 |
| JPMorgan Chase Bank, National Association | banking violation | 2011 | OCC | $35,000,000 |
| J.P. Morgan Securities LLC | investor protection violation | 2020 | SEC | $35,000,000 |
| Washington Mutual Bank | wage and hour violation | 2009 | private lawsuit-federal | $38,000,000 |
| JPMorgan Chase | wage and hour violation | 2011 | private lawsuit-federal | $42,000,000 |
| JPMorgan Chase Bank, National Association | banking violation | 2016 | OCC | $48,000,000 |
| Washington Mutual Inc. | benefit plan administrator violation | 2010 | private lawsuit-federal | $49,000,000 |
