AML Enforcement Action Library

Dossiers on major AML, sanctions, and financial-crime enforcement actions. What happened, what regulators said, what controls failed, and the lessons for compliance teams.

Showing 21–28 of 28 enforcement actions

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Citigroup 2018 $70M bank

FinCEN,US-OCC

In January 2018, Citigroup was fined $70 million by FinCEN and the OCC for Bank Secrecy Act violations. Regulators found the bank had ...

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U.S. Bank 2018 $613M bank

DOJ,FinCEN,US-OCC,FRB

In February 2018, U.S. Bank National Association was fined $613M by DOJ, FinCEN, the OCC, and the Federal Reserve for willfully failing to ...

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Deutsche Bank 2017 $629M bank

NYSDFS,UK-FCA

In January 2017, Deutsche Bank was fined a combined $629 million by the New York State Department of Financial Services and the UK ...

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Wells Fargo 2016 $185M bank

US-OCC,CFPB,LA City

In September 2016, Wells Fargo was fined $185 million by the Consumer Financial Protection Bureau, the Office of the Comptroller of the ...

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Deutsche Bank 2015 $2.5B bank

DOJ,CFTC,SEC,UK-FCA,NYSDFS

In April 2015, Deutsche Bank paid $2.519 billion to resolve investigations by the DOJ, CFTC, UK FCA, and NYSDFS into the manipulation of ...

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BNP Paribas 2014 $8.97B bank

DOJ,OFAC,NYSDFS

In June 2014, BNP Paribas pleaded guilty and agreed to pay $8.97 billion to U.S. authorities, including the DOJ, OFAC, and NYSDFS, for ...

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JPMorgan Chase 2014 $2.6B bank

DOJ,FinCEN,US-OCC

In January 2014, JPMorgan Chase was fined $2.6 billion by the DOJ, OCC, and FinCEN for willful failure to maintain an adequate Bank Secrecy ...

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HSBC 2012 $1.9B bank

DOJ,US-OCC,US-Treasury

In December 2012, HSBC Holdings plc and HSBC Bank USA were fined $1.921 billion by the U.S. Department of Justice, FinCEN, and the OCC for ...

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