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Violation Tracker Current Parent Company Summary

Current Parent Company Name: JPMorgan Chase
Ownership Structure: publicly traded (ticker symbol NYSE: JPM)
Headquartered in: New York
Major Industry: financial services
Specific Industry: banking & securities
Penalty total since 2000: $39,340,688,209
Number of records: 275
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$26,659,159,167117
consumer-protection-related offenses$8,619,119,17863
competition-related offenses$2,480,674,79128
government-contracting-related offenses$614,000,0001
employment-related offenses$522,448,56250
Top 5 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$13,459,785,7147
investor protection violation$6,252,302,35380
mortgage abuses$5,362,675,0005
banking violation$4,262,350,34114
consumer protection violation$3,194,397,42842
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.

Links: 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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CompanyPrimary Offense Type sort iconYearAgencyPenalty Amount
J.P. Morgan Securities Inc.investor protection violation2003SEC$25,000,000
Bear, Stearns & Co. Inc.investor protection violation2003SEC$80,000,000
J.P. Morgan Securities Inc.investor protection violation2003SEC$80,000,000
J.P. Morgan Securities LLCinvestor protection violation2017CFTC$900,000
JPMorgan Chase & Co.investor protection violation2008SEC$1,998,143
J.P. Morgan Securities Inc.investor protection violation2005SEC$700,000
JPMorgan Chase Bank N.A.investor protection violation2018SEC$135,100,000
First Republic Investment Management, Inc.investor protection violation2019SEC$1,005,194
Banc One Investment Advisors Corporationinvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,000,000
Bear Stearnsinvestor protection violation2012MI-AG$275,000,000
Bear Stearns & Co. LLCinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
J.P. Morgan Chase & Co.investor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
J.P. Morgan Securitiesinvestor protection violation2014DE-AG$51,400
J.P. Morgan Securities LLCinvestor protection violation2010FL-AG$25,000,000
J.P. Morgan Securities, LLCinvestor protection violation2014NJ-AG$50,460
JP Morgan Chase & Co.investor protection violation2008MULTI-AG$3,525,000,000
JPMorgan Chaseinvestor protection violation2015MULTI-AG$150,000,000
JPMorgan Chase & Co.investor protection violation2010NJ-AG$1,149,028
J.P. Morgan Securities LLCinvestor protection violation2020SEC$1,822,438
J.P. Morgan Securities, LLCinvestor protection violation2014AK-DBS$51,120
J.P. Morgan Securities LLCinvestor protection violation2014CT-SEC$53,800
J.P. Morgan Securities LLCinvestor protection violation2018DC-DISB$5,000
Bear, Stearns & Co., Inc.investor protection violation2005IL-SEC$10,000
JPMorgan Chase & Co.investor protection violation2016IN-SEC$905,000
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLCinvestor protection violation2016IN-SEC$950,000
J.P. Morgan Securities LLCinvestor protection violation2020KY-FIN$325,000
JPMorgan Chase Bank, N.A.investor protection violation2017MD-SEC$100,000
Bear, Stearns & Co. Inc.investor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
J.P. Morgan Securitiesinvestor protection violation2014MULTI-FIN$2,800,000
J.P. Morgan Securities Inc.investor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
JPMorgan Chase & Co.investor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
JPMorgan Chase & Companyinvestor protection violation2020CFTC$920,200,000
J.P. Morgan Securities LLCinvestor protection violation2020SEC$35,000,000
J.P. Morgan Securities LLCinvestor protection violation2019FINRA$280,000
J.P. Morgan Securities LLCinvestor protection violation2019FINRA$1,100,000
J.P. Morgan Securitiesinvestor protection violation2017FINRA$2,800,000
J.P. Morgan Securities, LLCinvestor protection violation2017FINRA$1,250,000
J.P. Morgan Securities LLCinvestor protection violation2017FINRA$800,000
JP Morgan Securities LLCinvestor protection violation2014FINRA$5,000,000
JP Morganinvestor protection violation2012FINRA$623,376
Chase Investment Services Corporationinvestor protection violation2011FINRA$3,600,000
Chase Investment Services Corp.investor protection violation2009FINRA$250,000
Chase Investment Services Corp.investor protection violation2009FINRA$32,500
Banc One Securities Corporationinvestor protection violation2008FINRA$225,000
Bear, Stearns & Co., Inc.investor protection violation2008FINRA$150,000
J.P. Morgan Securities, Inc.investor protection violation2007FINRA$500,000
Chase Investment Services Corporationinvestor protection violation2006FINRA$500,000
Chase Investment Servicesinvestor protection violation2005FINRA$290,262
J.P. Morgan Securities, Inc.investor protection violation2005FINRA$160,000
Chase Investment Services Corp.investor protection violation2005FINRA$60,000
J.P. Morgan Securities, Inc.investor protection violation2005FINRA$150,000
Chase Investment Servicesinvestor protection violation2005FINRA$2,000,000
Banc One Securities Corporationinvestor protection violation2005FINRA$400,000
Chase Investment Services Corp.investor protection violation2004FINRA$250,000
Bear, Stearns & Co. Inc.investor protection violation2004FINRA$4,950,000
Bear, Stearns & Co. Inc.investor protection violation2004FINRA$280,469
J.P. Morgan Securities, Inc.investor protection violation2003FINRA$6,000,000
J.P. Morgan Securities, Inc.investor protection violation2001FINRA$10,000
Chase Securities, Inc.investor protection violation2001FINRA$10,000
J. P. Morgan Securities Inc.investor protection violation2000FINRA$200,000
JPMorgan Chase Bank, N.A.investor protection violation2021CFTC$75,000,000
J.P. Morgan Securities LLCinvestor protection violation2021SEC$125,000,000
First Republic Investment Management, Inc.investor protection violation2022SEC$1,825,953
JPMorgan Chase Bank, N.A.investor protection violation2022CFTC$850,000
J.P. Morgan Securities LLCinvestor protection violation2022SEC$1,200,000
J.P. Morgan Securities LLCinvestor protection violation2023SEC$4,000,000
JPMorgan Chase Bank, N.A.investor protection violation2023CFTC$15,000,000
J.P. Morgan Securities LLCinvestor protection violation2024SEC$18,000,000
J P Morgan Securities LLCinsurance violation2018NY-DFS$11,750
JPMorgan Chase & Co.fraud2020DOJ_CRIMINAL(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $920,000,000
JPMorgan SecuritiesForeign Corrupt Practices Act2016DOJ_CRIMINAL$72,000,000
JPMorgan Chase & Co.Foreign Corrupt Practices Act2016SEC$130,000,000
J P Morgan ChaseFamily and Medical Leave Act2007WHD$5,008
JPMorgan ChaseFalse Claims Act and related2014DOJ_CIVIL$614,000,000
JP Morgan Chase Bank, NAexport control violation2010BIS$19,125
El Paso Electricenvironmental violation2015EPA$3,800,000
JP Morgan Chaseenvironmental violation2011TX-ENV$6,555
Washington Mutual Bank, F. A.environmental violation2005CA-SCAQMD$23,264
JP Morgan Chase Bank, N.A.environmental violation2017EPA$230,392
El Paso Electric Corporationenergy market violation2003FERC$15,500,000
JPMorgan Chaseemployment discrimination2014EEOC$1,450,000
JPMorgan Chase & Co.employment discrimination2006EEOC$2,200,000
JPMorgan Chaseemployment discrimination2018private lawsuit-federal$24,000,000
JPMorgan Chase Bank, N.A.employment discrimination2019private lawsuit-federal$5,000,000
JPMorgan Chase & Co.employment discrimination2020OFCCP$9,000,000
JP Morgan Chase Bank, NAemployment discrimination2019CA-CRD$60,000
JP Morgan Chase Bank N.Aemployment discrimination2022CA-CRD$16,698
JPMorgan Chase Bankeconomic sanction violation2011OFAC$88,300,000
Bank Oneeconomic sanction violation2004OFAC$5,500
Bank Oneeconomic sanction violation2004OFAC$6,682
JP Morgan Chaseeconomic sanction violation2004OFAC$26,980
JP Morgan Chase & Co.economic sanction violation2004OFAC$17,303
JP Morgan Chase & Co.economic sanction violation2004OFAC$73,281
JP Morgan Chase Bankeconomic sanction violation2004OFAC$9,748
JP Morgan Chase Bankeconomic sanction violation2004OFAC$18,094
JPMorgan Chase Bank, N.A.economic sanction violation2018OFAC$5,263,171
JPMorgan Chasediscriminatory practices (non-employment)2017USAO$53,000,000
J.P. Morgan Chasediscriminatory practices (non-employment)2010private lawsuit-federal$1,950,000
Bank One, KY, N.A.discriminatory practices (non-employment)2005private lawsuit-federal$6,715,000
JPMorgan Chase Bankdiscriminatory practices (non-employment)2021HUD$50,000
JPMorgan Chasedata submission deficiencies2016CFTC$225,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.