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:
$29,684,489,390
Number of records:
96
| 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 |
|---|---|---|---|---|
| JPMorgan & Co. | accounting fraud or deficiencies | 2013 | SEC | $200,000,000 |
| JPMorgan Chase Bank | accounting fraud or deficiencies | 2012 | CFTC | $20,000,000 |
| J.P. Morgan Chase & Co. | accounting fraud or deficiencies | 2003 | SEC | $135,000,000 |
| J.P. Morgan Chase Bank, N.A. | anti-money-laundering deficiencies | 2014 | FINCEN | $461,000,000 |
| JPMorgan Chase Bank | anti-money-laundering deficiencies | 2014 | USAO | $1,700,000,000 |
| 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 | banking violation | 2013 | OCC | $1,958,450,341 |
| 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 CHASE & CO. | banking violation | 2015 | FED | $342,000,000 |
| JPMORGAN CHASE & CO. | banking violation | 2013 | FED | $200,000,000 |
| JPMorgan Chase & Co., and EMC Mortgage Corporation | banking violation | 2012 | FED | $275,000,000 |
| JPMorgan Chase & Co. | banking violation | 2016 | FED | $61,900,000 |
| JPMorgan Chase | consumer protection violation | 2015 | CFPB | $186,000,000 |
| JPMorgan Chase | consumer protection violation | 2015 | CFPB | $900,000 |
| Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A. | consumer protection violation | 2013 | CFPB | $329,000,000 |
| JPMorgan Chase Bank, N.A. | consumer protection violation | 2017 | CFPB | $4,600,000 |
| JPMorgan Chase | data submission deficiencies | 2016 | CFTC | $225,000 |
| JPMorgan Chase Bank | data submission deficiencies | 2015 | CFTC | $100,000,000 |
| JPMorgan Securities | data submission deficiencies | 2014 | CFTC | $650,000 |
| J.P. Morgan Futures, Inc. | data submission deficiencies | 2009 | CFTC | $300,000 |
| Williams Power Company Inc. | data submission deficiencies | 2006 | DOJ_CRIMINAL | $50,000,000 |
| JPMorgan Chase | discriminatory practices | 2017 | USAO | $53,000,000 |
| JPMorgan Chase Bank | economic sanction violation | 2011 | OFAC | $88,300,000 |
| 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 |
| JPMorgan Chase | employment discrimination | 2014 | EEOC | $1,450,000 |
| JPMorgan Chase & Co. | employment discrimination | 2006 | EEOC | $2,200,000 |
| JP Morgan Ventures Energy Corporation | energy market manipulation | 2013 | FERC | $410,000,000 |
| JP Morgan Chase Bank, N.A. | environmental violation | 2017 | EPA | $230,392 |
| JP Morgan Chase Bank, NA | export control violation | 2010 | BIS | $19,125 |
| JPMorgan Chase | False Claims Act | 2014 | DOJ_CIVIL | $614,000,000 |
| J P Morgan Chase | Family and Medical Leave Act | 2007 | WHD | $5,008 |
| J.P. Morgan Securities LLC | financial institution supervision failures | 2017 | CFTC | $900,000 |
| JPMorgan Chase & Co. | Foreign Corrupt Practices Act | 2016 | SEC | $130,000,000 |
| JPMorgan Chase & Co. | foreign exchange market manipulation | 2015 | DOJ_CRIMINAL | $550,000,000 |
| JPMorgan Chase Bank | interest rate benchmark manipulation | 2014 | CFTC | $310,000,000 |
| JPMorgan Chase Bank, N.A. | interest rate benchmark manipulation | 2018 | CFTC | $65,000,000 |
| J.P. Morgan Securities LLC | investor protection violation | 2016 | SEC | $4,000,000 |
| J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A. | investor protection violation | 2015 | SEC | $267,000,000 |
| J.P. Morgan Securities | investor protection violation | 2014 | SEC | $54,000 |
| 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 | 2003 | SEC | $80,000,000 |
| J.P. Morgan Securities Inc. | investor protection violation | 2003 | SEC | $80,000,000 |
| J.P. Morgan Securities Inc. | kickbacks and bribery | 2009 | SEC | $75,000,000 |
| JPMorgan Securities | kickbacks and bribery | 2016 | DOJ_CRIMINAL | $72,000,000 |
| J.P. Morgan Chase & Co. and Forum Temporary Services | labor relations violation | 2006 | NLRB | $60,760 |
| JPMorgan Chase Bank N.A. | mortgage abuses | 2015 | DOJ_CIVIL | $50,000,000 |
| JPMorgan Chase & Co. | mortgage abuses | 2012 | DOJ_CIVIL | $5,333,600,000 |
| Bear Stearns Companies, LLC | mortgage abuses | 2008 | FTC | $28,000,000 |
| JPMorgan Chase & Co. | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $228,000,000 |
| JPMorgan Chase | securities issuance or trading violation | 2013 | CFTC | $100,000,000 |
| JPMorgan Chase Bank | securities issuance or trading violation | 2012 | CFTC | $600,000 |
| J.P. Morgan Securities LLC | securities issuance or trading violation | 2012 | CFTC | $140,000 |
| J.P. Morgan Investment Management Inc. | securities issuance or trading violation | 2015 | SEC | $1,084,210 |
| J.P. Morgan Securities LLC | securities issuance or trading violation | 2015 | SEC | $500,000 |
| Bear, Stearns & Co., Inc. | securities issuance or trading violation | 2006 | SEC | $250,000,000 |
| Banc One Investment Advisors Corporation | securities issuance or trading violation | 2004 | SEC | $50,000,000 |
| J.P. Morgan Securities Inc. | securities issuance or trading violation | 2003 | SEC | $25,000,000 |
| JPMorgan Chase | toxic securities abuses | 2013 | DOJ_CIVIL | $13,000,000,000 |
| 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 |
| 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 |
| J P Morgan Chase Bank | wage and hour violation | 2005 | WHD | $6,688 |
| Washington Mutual, Inc. | wage and hour violation | 2005 | WHD | $404,982 |
| JPMorgan Chase Bank | wage and hour violation | 2004 | WHD | $19,373 |
| Bear Stearns Companies Inc. | wage and hour violation | 2003 | WHD | $358,974 |
| 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 |
| 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 |
| 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 |
| Washington Mutual Bank | wage and hour violation | 2009 | private lawsuit-federal | $38,000,000 |
| JP Morgan Chase Bank | workplace whistleblower retaliation | 2016 | OSHA | $203,323 |
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