Violation Tracker Parent Company Summary

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: 
$35,851,437,155
Number of records: 
191
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$31,770,667,306111
competition-related offenses$1,840,419,12512
consumer-protection-related offenses$953,651,75018
government-contracting-related offenses$614,000,0001
employment-related offenses$521,282,02741
Top 5 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$13,450,500,0005
investor protection violation$6,010,421,20671
mortgage abuses$5,362,675,0005
banking violation$4,262,350,34114
anti-money-laundering deficiencies$2,161,000,0002
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: 

For an overview of this company's accountability track record, read its Corporate Rap Sheet here.

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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Primary Offense Type Year Agency Penalty Amountsort icon
JPMorgan Chase wage and hour violation 2010 private lawsuit-federal $2,492,729
JPMorgan Chase wage and hour violation 2015 private lawsuit-federal $2,400,000
JPMorgan Chase & Co. employment discrimination 2006 EEOC $2,200,000
JPMorgan Chase Bank, National Association banking violation 2011 OCC $2,000,000
Chase Investment Services investor protection violation 2005 FINRA $2,000,000
JPMorgan Chase & Co. investor protection violation 2008 SEC $1,998,143
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 Bank, National Association wage and hour violation 2019 private lawsuit-federal $1,850,000
J.P. Morgan Securities LLC investor protection violation 2020 SEC $1,822,438
Providian Financial Corp. consumer protection violation 2000 CT-AG $1,600,000
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
JPMorgan Chase employment discrimination 2014 EEOC $1,450,000
First USA consumer protection violation 2002 MULTI-AG $1,300,000
J.P. Morgan Securities, LLC investor protection violation 2017 FINRA $1,250,000
JPMorgan Chase wage and hour violation 2012 private lawsuit-federal $1,195,000
JPMorgan Chase & Co. investor protection violation 2010 NJ-AG $1,149,028
J.P. Morgan Securities LLC investor protection violation 2019 FINRA $1,100,000
J.P. Morgan Investment Management Inc. investor protection violation 2015 SEC $1,084,210
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
JPMorgan Chase & Co. investor protection violation 2016 IN-SEC $905,000
JPMorgan Chase consumer protection violation 2015 CFPB $900,000
J.P. Morgan Securities LLC investor protection violation 2017 CFTC $900,000
J.P. Morgan Securities LLC investor protection violation 2017 FINRA $800,000
JPMorgan Chase wage and hour violation 2013 private lawsuit-federal $770,000
J.P. Morgan Securities Inc. investor protection violation 2005 SEC $700,000
Bear Stearns wage and hour violation 2010 private lawsuit-federal $675,000
JP Morgan Chase mortgage abuses 2015 MA-AG $675,000
JPMorgan Securities data submission deficiencies 2014 CFTC $650,000
JP Morgan investor protection violation 2012 FINRA $623,376
J.P. Morgan Chase Retirement Plan benefit plan administrator violation 2010 private lawsuit-federal $604,957
JPMorgan Chase Bank investor protection violation 2012 CFTC $600,000
J.P. Morgan Securities LLC investor protection violation 2015 SEC $500,000
J.P. Morgan Securities, Inc. investor protection violation 2007 FINRA $500,000
Chase Investment Services Corporation investor protection violation 2006 FINRA $500,000
Washington Mutual Bank wage and hour violation 2011 private lawsuit-federal $463,000
Washington Mutual, Inc. wage and hour violation 2005 WHD $404,982
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
Banc One Securities Corporation investor protection violation 2005 FINRA $400,000
Bear Stearns Companies Inc. wage and hour violation 2003 WHD $358,974
J.P. Morgan Securities LLC investor protection violation 2020 KY-FIN $325,000
J.P. Morgan Futures, Inc. data submission deficiencies 2009 CFTC $300,000
Chase Investment Services investor protection violation 2005 FINRA $290,262
Bear, Stearns & Co. Inc. investor protection violation 2004 FINRA $280,469
J.P. Morgan Securities LLC investor protection violation 2019 FINRA $280,000
Chase Investment Services Corp. investor protection violation 2009 FINRA $250,000
Chase Investment Services Corp. investor protection violation 2004 FINRA $250,000
JP Morgan Chase Bank, N.A. environmental violation 2017 EPA $230,392
JPMorgan Chase data submission deficiencies 2016 CFTC $225,000
Banc One Securities Corporation investor protection violation 2008 FINRA $225,000
JP Morgan Chase Bank workplace whistleblower retaliation 2016 OSHA $203,323
J. P. Morgan Securities Inc. investor protection violation 2000 FINRA $200,000
J.P. Morgan Securities, Inc. investor protection violation 2005 FINRA $160,000
Bear, Stearns & Co., Inc. investor protection violation 2008 FINRA $150,000
J.P. Morgan Securities, Inc. investor protection violation 2005 FINRA $150,000
J.P. Morgan Securities LLC investor protection violation 2012 CFTC $140,000
JPMorgan Chase Bank, N.A. investor protection violation 2017 MD-SEC $100,000
JP Morgan Chase & Co. economic sanction violation 2004 OFAC $73,281
J.P. Morgan Chase & Co. and Forum Temporary Services labor relations violation 2006 NLRB $60,760
Chase Investment Services Corp. investor protection violation 2005 FINRA $60,000
JP Morgan Chase Bank, NA employment discrimination 2019 CA-DFEH $60,000
J.P. Morgan Securities investor protection violation 2014 SEC $54,000
J.P. Morgan Securities LLC investor protection violation 2014 CT-SEC $53,800
J.P. Morgan Securities investor protection violation 2014 DE-AG $51,400
J.P. Morgan Securities, LLC investor protection violation 2014 AK-DBS $51,120
J.P. Morgan Securities, LLC investor protection violation 2014 NJ-AG $50,460
JPMorgan Chase Bank discriminatory practices (non-employment) 2021 HUD $50,000
JP Morgan Chase Bank N.A. wage and hour violation 2019 WHD $38,336
Chase Investment Services Corp. investor protection violation 2009 FINRA $32,500
JP Morgan Chase economic sanction violation 2004 OFAC $26,980
JPMorgan Chase Bank wage and hour violation 2004 WHD $19,373
JP Morgan Chase Bank, NA export control violation 2010 BIS $19,125
JP Morgan Chase Bank economic sanction violation 2004 OFAC $18,094
JP Morgan Chase & Co. economic sanction violation 2004 OFAC $17,303
J P Morgan Securities LLC insurance violation 2018 NY-DFS $11,750
Bear, Stearns & Co., Inc. investor protection violation 2005 IL-SEC $10,000
J.P. Morgan Securities, Inc. investor protection violation 2001 FINRA $10,000
Chase Securities, Inc. investor protection violation 2001 FINRA $10,000
JP Morgan Chase Bank economic sanction violation 2004 OFAC $9,748
JPMorgan Chase Bank, N.A. wage and hour violation 2008 WHD $9,622
JPMorgan Chase Bank, NA wage and hour violation 2009 WHD $6,996
J P Morgan Chase Bank wage and hour violation 2005 WHD $6,688
Bank One economic sanction violation 2004 OFAC $6,682
JP Morgan Chase environmental violation 2011 TX-ENV $6,555
Bank One economic sanction violation 2004 OFAC $5,500
J P Morgan Chase Family and Medical Leave Act 2007 WHD $5,008
J.P. Morgan Securities LLC investor protection violation 2018 DC-DISB $5,000
WASHINGTON MUTUAL workplace safety or health violation 2007 OSHA $5,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)