Violation Tracker Summary for Primary Offense Type

Offense Type: 
toxic securities abuses
Penalty Total since 2000: 
$101,318,681,897
Number of Penalty Records: 
106
Note: 
The totals here are adjusted to account for the fact that each parent's entries 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. They 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 individual records list below.

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$23,204,300,00010
JPMorgan Chase$13,450,500,0005
Royal Bank of Scotland$11,695,800,00013
Deutsche Bank$9,584,421,8977
Citigroup$8,768,250,0009
Goldman Sachs$8,762,900,0005
Credit Suisse$6,336,500,0005
Morgan Stanley$5,124,050,00011
Wells Fargo$3,637,750,0007
Barclays$2,650,100,0005


Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.
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Company Parentsort icon Parent Major Industry Year Agency Penalty Amount
Ally Financial Inc. Ally Financial financial services 2016 USAO $52,000,000
Ambac Financial Group et al. Ambac Financial financial services 2013 USAO $101,900,000
Merrill Lynch Bank of America financial services 2013 SEC $131,800,000
Bank of America Corporation Bank of America financial services 2014 FHFA $9,300,000,000
Bank of America Bank of America financial services 2013 FHFA $404,000,000
Bank of America Bank of America financial services 2011 FHFA $1,300,000,000
Bank of America Bank of America financial services 2011 FHFA $1,520,000,000
Bank of America Bank of America financial services 2013 FHFA $10,350,000,000
Bank of America Bank of America financial services 2013 NCUA $165,000,000
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2016 VA-AG $19,500,000
Merrill Lynch Bank of America financial services 2009 MA-AG $300,000
Merrill Lynch Bank of America financial services 2008 MA-AG $13,700,000
Barclays Bank PLC Barclays financial services 2014 FHFA $280,000,000
Barclays Capital Inc. Barclays financial services 2015 NCUA $325,000,000
Barclays Capital, Inc. Barclays financial services 2018 USAO $2,000,000,000
Barclays Bank PLC Barclays financial services 2013 MA-AG $36,100,000
Barclays Capital Inc. Barclays financial services 2016 VA-AG $9,000,000
Citigroup Inc. Citigroup financial services 2014 DOJ_CIVIL $7,000,000,000
Citigroup Citigroup financial services 2011 SEC $285,000,000
Citigroup Inc. Citigroup financial services 2010 SEC $75,000,000
Citimortgage Inc. and Citibank N.A. Citigroup financial services 2013 FHFA $395,000,000
Citigroup Citigroup financial services 2013 FHFA $968,000,000
Citigroup Citigroup financial services 2011 NCUA $20,500,000
Citigroup Citigroup financial services 2008 MA-AG $20,000,000
Citigroup Global Markets Inc. Citigroup financial services 2016 VA-AG $4,750,000
Citigroup Inc. Citigroup financial services 2014 MULTI-AG (*) $291,750,000
Comerica Bank Comerica financial services 2008 MI-AG $110,000
Credit Suisse Securities (USA) Credit Suisse financial services 2012 SEC $120,000,000
Credit Suisse Credit Suisse financial services 2014 FHFA $885,000,000
Credit Suisse Credit Suisse financial services 2016 NCUA $50,300,000
Credit Suisse Credit Suisse financial services 2017 DOJ_CIVIL $5,280,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2016 VA-AG $1,200,000
Deutsche Bank AG Deutsche Bank financial services 2013 FHFA $1,925,000,000
Deutsche Bank Securities Deutsche Bank financial services 2011 NCUA $145,000,000
Deutsche Bank AG Deutsche Bank financial services 2012 USAO $202,300,000
Deutsche Bank Deutsche Bank financial services 2017 DOJ_CIVIL $7,200,000,000
DB Structured Products, Inc. Deutsche Bank financial services 2013 NV-AG $11,500,000
Deutsche Bank Deutsche Bank financial services 2017 MD-AG $95,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2016 VA-AG $5,621,897
Fifth Third Bancorp Fifth Third Bancorp financial services 2015 USAO $85,000,000
First Horizon National Corporation First Horizon National financial services 2014 FHFA $110,000,000
General Electric General Electric diversified 2019 DOJ_CIVIL $1,500,000,000
Goldman Sachs Goldman Sachs financial services 2016 DOJ_CIVIL $5,060,000,000
Goldman Sachs & Co. Goldman Sachs financial services 2010 SEC $550,000,000
Goldman Sachs & Co. Goldman Sachs financial services 2014 FHFA $3,150,000,000
Goldman Sachs Goldman Sachs financial services 2016 MULTI-AG (*) $225,000,000
Goldman, Sachs & Co. Goldman Sachs financial services 2016 VA-AG $2,900,000
HSBC North America Holdings Inc. HSBC financial services 2014 FHFA $550,000,000
HSBC HSBC financial services 2012 NCUA $5,250,000
HSBC HSBC financial services 2018 USAO $765,000,000
HSBC Securities (USA) Inc. HSBC financial services 2016 VA-AG $2,500,000
Jefferies LLC Jefferies Financial Group diversified 2014 USAO $25,000,000
JPMorgan Chase JPMorgan Chase financial services 2013 DOJ_CIVIL $13,000,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2012 SEC $296,900,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2011 SEC $153,600,000
J.P. Morgan Chase & Co. JPMorgan Chase financial services 2013 CA-AG (*) $298,973,000
JPMorgan Chase JPMorgan Chase financial services 2013 MULTI-AG (*) $1,066,000,000
Moody's Corporation Moody's information technology 2017 DOJ_CIVIL $864,000,000
Moody's Corporation Moody's information technology 2017 MULTI-AG $426,500,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2016 FDIC $62,950,000
Morgan Stanley Morgan Stanley financial services 2016 DOJ_CIVIL $2,600,000,000
Morgan Stanley Morgan Stanley financial services 2014 SEC $275,000,000
Morgan Stanley Morgan Stanley financial services 2014 FHFA $1,250,000,000
Morgan Stanley Morgan Stanley financial services 2015 NCUA $225,000,000
Morgan Stanley Morgan Stanley financial services 2016 IL-AG $22,500,000
Morgan Stanley Morgan Stanley financial services 2016 NY-AG $550,000,000
Morgan Stanley & Co. Morgan Stanley financial services 2010 MA-AG $102,000,000
Morgan Stanley & Co. Morgan Stanley financial services 2008 MA-AG $1,500,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2016 VA-AG $6,900,000
Morgan Stanley Mortgage Capital Holdings Morgan Stanley financial services 2011 NV-AG $28,200,000
Nomura Asset Acceptance Corporation and Nomura Home Equity Loan, Inc. Nomura financial services 2016 NCUA $3,000,000
Option One Mortgage Corporation Ocwen Financial financial services 2012 SEC $28,200,000
Morgan Keegan & Company Raymond James Financial financial services 2011 SEC $200,000,000
RBS Securities Inc. Royal Bank of Scotland financial services 2013 SEC $153,700,000
RBS Securities Inc. Royal Bank of Scotland financial services 2014 FHFA $99,500,000
Royal Bank of Scotland plc Royal Bank of Scotland financial services 2015 NCUA $129,600,000
Royal Bank of Scotland PLC Royal Bank of Scotland financial services 2017 FHFA $5,500,000,000
RBS Securities Inc. Royal Bank of Scotland financial services 2017 USAO $44,000,000
Royal Bank of Scotland Group plc Royal Bank of Scotland financial services 2018 DOJ_CIVIL $4,900,000,000
RBS Financial Products Royal Bank of Scotland financial services 2012 NV-AG $42,000,000
RBS Financial Products Inc. Royal Bank of Scotland financial services 2011 MA-AG $52,000,000
RBS Securities Inc. Royal Bank of Scotland financial services 2016 VA-AG $10,000,000
RBS Securities, Inc. Royal Bank of Scotland financial services 2016 CT-AG $120,000,000
Royal Bank of Scotland Royal Bank of Scotland financial services 2017 CA-AG $125,000,000
Royal Bank of Scotland Royal Bank of Scotland financial services 2018 IL-AG $20,000,000
Royal Bank of Scotland Royal Bank of Scotland financial services 2018 NY-AG $500,000,000
Standard & Poor's Financial Services LLC S&P Global information technology 2015 DOJ_CIVIL $1,375,000,000
Standard & Poor's Ratings Services S&P Global information technology 2015 SEC $58,000,000
Standard & Poor's Financial Services LLC S&P Global information technology 2015 MULTI-AG (*) $687,500,000
Societe Generale Societe Generale financial services 2014 FHFA $122,000,000
Societe Generale S.A. Societe Generale financial services 2017 USAO $50,000,000
SunTrust Mortgage, Inc. Truist Financial financial services 2013 FHFA $65,000,000
UBS Securities UBS financial services 2013 SEC $50,000,000
UBS Americas Inc. UBS financial services 2013 FHFA $885,000,000
UBS UBS financial services 2016 NCUA $69,800,000
UBS UBS financial services 2017 NCUA $445,000,000
UBS Financial Services, Inc. and UBS Securities LLC UBS financial services 2008 MA-AG $35,000,000
UBS Securities LLC UBS financial services 2018 NY-AG $230,000,000
UBS Securities LLC UBS financial services 2016 VA-AG $850,000
Wells Fargo Wells Fargo financial services 2012 SEC $6,500,000
Wells Fargo Securities LLC Wells Fargo financial services 2011 SEC $11,000,000
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(*): Some penalties are partial or complete duplicates of other penalty records, either because a DOJ settlement duplicates an agency record or because EPA listed the full penalty for a company for each of the company's relevant facilities. Penalty amounts marked with an asterisk have been identified by Good Jobs First as duplicating other penalty amounts.