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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $313,350,378,406
Number of Penalty Records: 11,461
Note: The totals here are adjusted to account for the fact that each current 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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$41,338,642,096158
UBS$27,713,994,893137
JPMorgan Chase$27,509,554,167127
Citigroup$19,885,993,935108
Deutsche Bank$15,638,617,27868
Goldman Sachs$13,128,362,84159
NatWest Group PLC$12,129,162,85723
Wells Fargo$10,735,730,989130
Morgan Stanley$9,909,512,956170
BNP Paribas$9,167,798,00012

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the current parent name to reach the summary page for that parent company.

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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount sort icon
JPMorgan ChaseJPMorgan Chasefinancial servicestoxic securities abuses2013DOJ$13,000,000,000
FTX Trading Ltd and Alameda Research LLC investor protection violation2024CFTC$12,700,000,000
UBS Securities LLC and UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2008MULTI-AG$11,150,000,000
Bank of AmericaBank of Americafinancial servicestoxic securities abuses2013FHFA$10,350,000,000
Bank of America CorporationBank of Americafinancial servicestoxic securities abuses2014FHFA$9,300,000,000
BNP Paribas S.A.BNP Paribasfinancial serviceseconomic sanction violation2015DOJ_CRIMINAL$8,973,600,000
Deutsche BankDeutsche Bankfinancial servicestoxic securities abuses2017DOJ_CIVIL$7,200,000,000
Citigroup Global Markets, Inc. and Citi Smith BarneyCitigroupfinancial servicesinvestor protection violation2008MULTI-AG$7,100,000,000
Citigroup Inc.Citigroupfinancial servicestoxic securities abuses2014DOJ$7,000,000,000
Allianz Global Investors U.S. LLCAllianzfinancial servicesinvestor protection violation2022USAO$5,763,000,000
Royal Bank of Scotland PLCNatWest Group PLCfinancial servicestoxic securities abuses2017FHFA$5,500,000,000
Credit SuisseUBSfinancial servicestoxic securities abuses2017DOJ_CIVIL$5,280,000,000
Goldman SachsGoldman Sachsfinancial servicestoxic securities abuses2016DOJ$5,060,000,000
Royal Bank of Scotland Group plcNatWest Group PLCfinancial servicestoxic securities abuses2018DOJ_CIVIL$4,900,000,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2008MULTI-AG$4,550,000,000
Terraform Labs PTE, Ltd. investor protection violation2024SEC$4,473,828,306
Binance Holdings LimitedBinance Holdingsfinancial servicesanti-money-laundering deficiencies2023DOJ_NATSEC$4,316,126,163
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2008MULTI-AG$3,535,000,000
JP Morgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2008MULTI-AG$3,525,000,000
Merrill Lynch & Co.Bank of Americafinancial servicesinvestor protection violation2008MULTI-AG$3,458,333,333
GlaxoSmithKline Holdings (Americas)GSK plcpharmaceuticalstax violations2006IRS$3,400,000,000
Binance Holdings Limited,Binance Holdingsfinancial servicesanti-money-laundering deficiencies2023FINCEN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $3,400,000,000
Goldman Sachs Group, Inc.Goldman Sachsfinancial servicesinvestor protection violation2008MULTI-AG$3,355,833,333
Deutsche Bank Securities, Inc. and Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2008MULTI-AG$3,348,333,333
Goldman Sachs & Co.Goldman Sachsfinancial servicestoxic securities abuses2014FHFA$3,150,000,000
Bank of AmericaBank of Americafinancial servicesbanking violation2013OCC$2,886,578,478
Binance Holdings Limited et al.Binance Holdingsfinancial servicesinvestor protection violation2023CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,700,000,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2016DOJ$2,600,000,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2012MULTI-AG$2,430,000,000
Merck & Co., Inc.Merckpharmaceuticalstax violations2007IRS$2,300,000,000
BNP Paribas S.A.BNP Paribasfinancial serviceseconomic sanction violation2014NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,243,400,000
BNP ParibasBNP Paribasfinancial serviceseconomic sanction violation2014NY-DFS(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,240,000,000
Wells Fargo Bank, N.A.Wells Fargofinancial servicestoxic securities abuses2018DOJ_CIVIL$2,090,000,000
Barclays Capital, Inc.Barclaysfinancial servicestoxic securities abuses2018USAO$2,000,000,000
Danske Bank A/SDanske Bankfinancial servicesanti-money-laundering deficiencies2022DOJ_CRIMINAL$2,000,000,000
Genesis Global Holdco, LLC et al. investor protection violation2024NY-AG$2,000,000,000
Wells FargoWells Fargofinancial servicesbanking violation2013OCC$1,991,141,181
JPMorgan ChaseJPMorgan Chasefinancial servicesbanking violation2013OCC$1,958,450,341
Deutsche Bank AGDeutsche Bankfinancial servicestoxic securities abuses2013FHFA$1,925,000,000
TD Bank N.A.Toronto-Dominion Bankfinancial servicesanti-money-laundering deficiencies2024DOJ_CRIMINAL(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,886,945,780
SAC Capital insider trading2013USAO$1,800,000,000
Credit Suisse AGUBSfinancial servicestax violations2014DOJ_TAX$1,800,000,000
JPMorgan Chase BankJPMorgan Chasefinancial servicesanti-money-laundering deficiencies2014USAO$1,700,000,000
Mirror Trading International Proprietary Limited investor protection violation2023CFTC$1,700,000,000
Bank of AmericaBank of Americafinancial servicestoxic securities abuses2011FHFA$1,520,000,000
General ElectricGeneral Electricdiversifiedtoxic securities abuses2019DOJ_CIVIL$1,500,000,000
UBS AGUBSfinancial servicestoxic securities abuses2023DOJ_CIVIL$1,435,000,000
Wells FargoWells Fargofinancial servicesinvestor protection violation2009CA-AG$1,400,000,000
Standard & Poor's Financial Services LLCS&P Globalinformation technologytoxic securities abuses2015DOJ$1,375,000,000
MF Global Holdings Ltd. investor protection violation2014CFTC$1,312,000,000
Bank of AmericaBank of Americafinancial servicestoxic securities abuses2011FHFA$1,300,000,000
HSBC Holdings plc HSBC Bank USA N.A.HSBCfinancial servicesanti-money-laundering deficiencies2012DOJ_CRIMINAL$1,256,000,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2014FHFA$1,250,000,000
Gemini Trust Company, LLC investor protection violation2024NY-DFS$1,137,000,000
JPMorgan ChaseJPMorgan Chasefinancial servicestoxic securities abuses2013MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,066,000,000
Allianz Global Investors U.S. LLCAllianzfinancial servicesinvestor protection violation2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,024,200,000
Binance Holdings, LtdBinance Holdingsfinancial serviceseconomic sanction violation2023OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $968,618,825
CitigroupCitigroupfinancial servicestoxic securities abuses2013FHFA$968,000,000
JPMorgan Chase & CompanyJPMorgan Chasefinancial servicesinvestor protection violation2020CFTC$920,200,000
Credit SuisseUBSfinancial servicestoxic securities abuses2014FHFA$885,000,000
UBS Americas Inc.UBSfinancial servicestoxic securities abuses2013FHFA$885,000,000
Wells Fargo Bank, National AssociationWells Fargofinancial servicestoxic securities abuses2013FHFA$869,000,000
Moody's CorporationMoody'sinformation technologytoxic securities abuses2017DOJ_CIVIL$864,000,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2008MULTI-AG$859,800,000
American International Group, Inc.American International Groupfinancial servicesinvestor protection violation2006SEC$800,000,000
CitibankCitigroupfinancial servicesbanking violation2013OCC$793,492,868
UBS AGUBSfinancial servicestax violations2009DOJ_TAX$780,000,000
HSBCHSBCfinancial servicestoxic securities abuses2018USAO$765,000,000
TD Bank N.A.Toronto-Dominion Bankfinancial servicesanti-money-laundering deficiencies2024FINCEN$757,000,000
PokerStars and Full Tilt PokerFlutter Entertainment PLCentertainmentanti-money-laundering deficiencies2012USAO$731,000,000
American International GroupAmerican International Groupfinancial servicesinvestor protection violation2010OH-AG$725,000,000
Societe Generale S.A.Societe Generalefinancial serviceseconomic sanction violation2018USAO$717,200,000
Adelphia Communications Corporation accounting fraud or deficiencies2005DOJ_CRIMINAL$715,000,000
Credit Suisse AGUBSfinancial servicestax violations2014NY-DFS$715,000,000
Bank of New York MellonBank of New York Mellonfinancial servicesbanking violation2015USAO$714,000,000
Standard & Poor's Financial Services LLCS&P Globalinformation technologytoxic securities abuses2015MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $687,500,000
Standard Chartered BankStandard Charteredfinancial serviceseconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $657,040,033
Commerzbank AGCommerzbankfinancial serviceseconomic sanction violation2015DOJ_CRIMINAL$642,000,000
British American TobaccoBritish American Tobaccotobaccoeconomic sanction violation2023DOJ_NATSEC$629,000,000
ING Bank N.V.INGfinancial serviceseconomic sanction violation2012DOJ_CRIMINAL$619,000,000
ING Bank N.V.INGfinancial serviceseconomic sanction violation2012OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $619,000,000
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd.Bank Hapoalimfinancial servicestax violations2020DOJ_TAX$616,910,000
CommerzbankCommerzbankfinancial serviceseconomic sanction violation2015NY-DFS$610,000,000
CR Intrinsic Investors investor protection violation2013SEC$601,747,463
Prudential Equity Group LLCPrudential Financialfinancial servicesinvestor protection violation2006DOJ_CRIMINAL$600,000,000
Alliance Capital ManagementEquitable Holdingsfinancial servicesinvestor protection violation2003NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $600,000,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2013FHFA$591,000,000
Western Union CompanyWestern Unionfinancial servicesanti-money-laundering deficiencies2017DOJ_CRIMINAL$586,000,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesbanking violation2018MULTI-AG$575,000,000
Deutsche Bank AGDeutsche Bankfinancial servicestax violations2010USAO$553,633,153
UniCredit Bank AGUniCreditfinancial serviceseconomic sanction violation2019OFAC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $553,380,759
Goldman Sachs & Co.Goldman Sachsfinancial servicestoxic securities abuses2010SEC$550,000,000
HSBC North America Holdings Inc.HSBCfinancial servicestoxic securities abuses2014FHFA$550,000,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2016NY-AG$550,000,000
Bank Julius Baer & Co. Ltd.Julius Baer Groupfinancial servicestax violations2016DOJ_TAX$547,000,000
GTV Media Group Inc., Saraca Media Group Inc., and Voice of Guo Media Inc. investor protection violation2021SEC$539,000,000
BPBPoil and gasinvestor protection violation2012SEC$525,000,000
HSBC Bank USA, N.A.HSBCfinancial servicesbanking violation2012OCC$500,000,000
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V.ABN AMROfinancial serviceseconomic sanction violation2010DOJ_CRIMINAL$500,000,000
WorldCom Inc.Verizon Communicationstelecommunicationsaccounting fraud or deficiencies2003SEC$500,000,000
Wells Fargo Bank N.A.Wells Fargofinancial servicesbanking violation2018OCC$500,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.