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 |
|---|---|---|---|---|
| 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 & Co. | accounting fraud or deficiencies | 2003 | NY-MANDA | $25,000,000 |
| 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 Bank N.A. | bankruptcy professional violation | 2015 | DOJ_UTP | $50,000,000 |
| 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 |
| 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 |
| Providian Financial Corp. | benefit plan administrator violation | 2003 | private lawsuit-federal | $8,600,000 |
| 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 |
| 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 |
| First USA | consumer protection violation | 2002 | MULTI-AG | $1,300,000 |
| JP Morgan Chase | consumer protection violation | 2014 | HI-AG | $2,825,000 |
| JPMorgan Chase | consumer protection violation | 2015 | CA-AG | $50,000,000 |
| JPMorgan Chase & Co. | consumer protection violation | 2013 | WV-AG | $1,950,000 |
| Providian Financial Corp. | consumer protection violation | 2000 | CA-AG | $305,500,000 |
| Providian Financial Corp. | consumer protection violation | 2000 | CT-AG | $1,600,000 |
| 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 (non-employment) | 2017 | USAO | $53,000,000 |
| J.P. Morgan Chase | discriminatory practices (non-employment) | 2010 | private lawsuit-federal | $1,950,000 |
| Bank One, KY, N.A. | discriminatory practices (non-employment) | 2005 | private lawsuit-federal | $6,715,000 |
| 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 Bank, N.A. | economic sanction violation | 2018 | OFAC | $5,263,171 |
| JPMorgan Chase | employment discrimination | 2014 | EEOC | $1,450,000 |
| JPMorgan Chase & Co. | employment discrimination | 2006 | EEOC | $2,200,000 |
| JPMorgan Chase | employment discrimination | 2018 | private lawsuit-federal | $24,000,000 |
| JPMorgan Chase Bank, N.A. | employment discrimination | 2019 | private lawsuit-federal | $5,000,000 |
| 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 and related | 2014 | DOJ_CIVIL | $614,000,000 |
| J P Morgan Chase | Family and Medical Leave Act | 2007 | WHD | $5,008 |
| 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 |
| J P Morgan Securities LLC | insurance violation | 2018 | NY-DFS | $11,750 |
| 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 |
| JPMorgan Chase | investor protection violation | 2013 | CFTC | $100,000,000 |
| JPMorgan Chase Bank | investor protection violation | 2012 | CFTC | $600,000 |
| J.P. Morgan Securities LLC | investor protection violation | 2012 | CFTC | $140,000 |
| J.P. Morgan Investment Management Inc. | investor protection violation | 2015 | SEC | $1,084,210 |
| J.P. Morgan Securities LLC | investor protection violation | 2015 | SEC | $500,000 |
| 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 | 2006 | SEC | $250,000,000 |
| Banc One Investment Advisors Corporation | investor protection violation | 2004 | SEC | $50,000,000 |
| J.P. Morgan Securities Inc. | investor protection violation | 2003 | SEC | $25,000,000 |
| 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 |
| J.P. Morgan Securities LLC | investor protection violation | 2017 | CFTC | $900,000 |
| JPMorgan Chase & Co. | investor protection violation | 2008 | SEC | $1,998,143 |
| J.P. Morgan Securities Inc. | investor protection violation | 2005 | SEC | $700,000 |
| JPMorgan Chase Bank N.A. | investor protection violation | 2018 | SEC | $135,100,000 |
| Banc One Investment Advisors Corporation | investor protection violation | 2004 | NY-AG | (*) $90,000,000 |
| Bear Stearns | investor protection violation | 2012 | MI-AG | $275,000,000 |
| Bear Stearns & Co. LLC | investor protection violation | 2002 | MULTI-AG | (*) $80,000,000 |
| J.P. Morgan Chase & Co. | investor protection violation | 2002 | MULTI-AG | (*) $80,000,000 |
| J.P. Morgan Securities | investor protection violation | 2014 | DE-AG | $51,400 |
| J.P. Morgan Securities LLC | investor protection violation | 2010 | FL-AG | $25,000,000 |
| J.P. Morgan Securities, LLC | investor protection violation | 2014 | NJ-AG | $50,460 |
| JP Morgan Chase & Co. | investor protection violation | 2008 | MULTI-AG | $3,525,000,000 |
| JPMorgan Chase | investor protection violation | 2015 | MULTI-AG | $150,000,000 |
| JPMorgan Chase & Co. | investor protection violation | 2010 | NJ-AG | $1,149,028 |
| J.P. Morgan Securities LLC | investor protection violation | 2020 | SEC | $1,822,438 |
| J.P. Morgan Securities, LLC | investor protection violation | 2014 | AK-DBS | $51,120 |
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