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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $389,040,962,184
Number of Records: 7,780
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals 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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,294,669,499330
JPMorgan Chase$39,888,888,209278
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,407,380112
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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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CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
Louisiana Generating, LLCMacquarieenvironmental violation2019LA-ENV$16,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$16,500
SYNAGRO-WWT, INC.Goldman Sachsworkplace safety or health violation2023OSHA$16,500
NATIONWIDE LIFE INSURANCE CO.Nationwideinsurance violation2015VA-INS$16,340
Transamerica Life Insurance Co.Aegoninsurance violation2015MD-INS$16,300
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2007MO-INS$16,272
Citigroup, N. A.Citigroupeconomic sanction violation2008OFAC$16,250
Depositors Insurance Co.Nationwideinsurance violation2016MO-INS$16,250
East West BankEast West Bancorpbanking violation2007FED$16,245
Austin Mutual Insurance CompanyAmerican Family Insurancewage and hour violation2006WHD$16,245
ALLIED PROPERTY & CASUALTY INSURANCENationwideinsurance violation2014VA-INS$16,201
CITIZENS BUSINESS BANKCVB Financialbanking violation2009FDIC$16,200
SYNAGRO WEST, LLCGoldman Sachsworkplace safety or health violation2022OSHA$16,200
Bankers Life & CasualtyCNO Financialwage and hour violation2017MI-LEO$16,190
Nationwide Mutual Insurance CompanyNationwidewage and hour violation2005WHD$16,185
Principal Life Insurance CompanyPrincipal Financialinsurance violation2019WA-INS$16,150
Principal Life Insurance Co.Principal Financialinsurance violation2002AK-INS$16,095
Security National Insurance Co.Zurich Insuranceinsurance violation2015MO-INS$16,090
Bank of New York MellonBank of New York Mellonbanking violation2018FED$16,000
Time Insurance CompanyHaven Holdingsconsumer protection violation2007MA-AG$16,000
Unigard Insurance Co.QBE Insuranceinsurance violation2010AZ-DIFI$16,000
Federal Insurance Co.Chubb Limitedinsurance violation2005CO-INS$16,000
Bankers Standard Insurance Co. et al.Chubb Limitedinsurance violation2019DE-INS$16,000
Home Loan Center, Inc. dba Lending Tree LoansLendingTreeconsumer protection violation2008KY-FIN$16,000
Travelers Casualty Insurance Company of America et al.Travelersinsurance violation2016MO-INS$16,000
Great American Alliance Insurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$16,000
Wausau Business Insurance CompanyLiberty Mutual Insuranceinsurance violation2012TX-INS$16,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$16,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$16,000
Ace American Insurance CompanyChubb Limitedinsurance violation2015TX-INS$16,000
Federal Insurance CompanyChubb Limitedinsurance violation2016TX-INS$16,000
Pacific Indemnity Co.Chubb Limitedinsurance violation2020CT-INS$16,000
THE FIFTH THIRD BANKFifth Third Bancorpenvironmental violation2006FL-DEP$16,000
BUCKEYE PIPE LINE COIFM Investorsair pollution violation2021NJ-ENV$16,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2004FINRA$16,000
Farmers Insurance Exchange and Truck Insurance ExchangeFarmers Insurance Exchangeinsurance violation2021VA-INS$15,950
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2022OSHA$15,948
American International GroupAmerican International Groupwage and hour violation2018MI-LEO$15,939
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2014TX-INS$15,905
XL Specialty Insurance Co.AXAinsurance violation2021TX-INS$15,825
RR DONNELLEY & SONS COChatham Asset Managementhazardous waste violation2001IN-ENV$15,800
First Interstate BankFirst Interstate Bancsystembanking violation2005FED$15,750
Buckeye Albany Terminals, LLCIFM Investorsenvironmental violation2018NY-ENV$15,750
Wausau Business Insurance Co.Liberty Mutual Insuranceinsurance violation2008KS-INS$15,622
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020IN-SEC$15,575
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2009NE-DBF$15,550
BROADRIDGE FINANCIAL SOLUTIONSBroadridge Financial Solutionsworkplace safety or health violation2018OSHA$15,522
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2011TX-INS$15,500
Peerless Insurance CompanyLiberty Mutual Insuranceinsurance violation2014TX-INS$15,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$15,500
Crestbrook Insurance CompanyNationwideinsurance violation2020CT-INS$15,500
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$15,500
The McClatchy CompanyChatham Asset Managementlabor relations violation2022NLRB$15,482
Bank Of AmericaBank of Americawage and hour violation2010MI-LEO$15,406
ACE American Insurance Company and Insurance Company of North America, and ACE Fire Underwriters Insurance CompanyChubb Limitedinsurance violation2021MN-FIN$15,400
R.R. DONNELLEYChatham Asset Managementworkplace safety or health violation2013OSHA$15,400
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2016OSHA$15,400
Umpqua BankUmpqua Holdingswage and hour violation2015WA-DLI$15,350
Zions BancorporationZions Bancorporationwage and hour violation2009WHD$15,347
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2019MD-INS$15,300
Zurich American Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$15,200
AMERICAN STRATEGIC INSURANCEProgressiveinsurance violation2016VA-INS$15,147
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$15,141
UNUMUnumwage and hour violation2011WA-DLI$15,070
Noble Americas Corp.Vitolrailroad safety violation2012FRA$15,000
PNC MortgagePNC Financial Servicesdiscriminatory practices (non-employment)2013HUD$15,000
Home Loan Center, Inc.LendingTreediscriminatory practices (non-employment)2012HUD$15,000
The Cincinnati Insurance CompaniesCincinnati FinancialFamily and Medical Leave Act2005WHD$15,000
Farmers Insurance ExchangeFarmers Insurance Exchangediscriminatory practices (non-employment)2017HUD$15,000
Bankers Life and Casualty Co.CNO Financialprivacy violation2003KS-AG$15,000
H&R Block Financial AdvisorsH&R Blockprivacy violation2001MO-AG$15,000
German American BancorpGerman American Bancorpbanking violation2012FDIC$15,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2010AL-SEC$15,000
Merrill Lynch & Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2010AR-SEC$15,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2011AZ-DIFI$15,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2006CA-INS$15,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinsurance violation2019CA-INS$15,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2010CT-SEC$15,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013DC-DISB$15,000
Nationwide Mutual Insurance Co.Nationwideinsurance violation2015DE-INS$15,000
HomeSite Insurance Co.American Family Insuranceinsurance violation2016DE-INS$15,000
T.H.E. INSURANCE COMPANYAXAinsurance violation2001FL-OFR$15,000
Axa Re Property and Casualty Insurance Co.AXAinsurance violation2005FL-OFR$15,000
Saxon Mortgage Services, Inc.Ocwen Financialconsumer protection violation2012FL-OFR$15,000
World Group Securities, Inc.Aegoninvestor protection violation2004ID-SEC$15,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2010ID-INS$15,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2011IL-INS$15,000
GMAC Mortgage, LLC dba DitechAlly Financialconsumer protection violation2013IL-BKG$15,000
American General Life Insurance Co.American International Groupinsurance violation2016KS-INS$15,000
Aon Risk Services NortheastAoninsurance violation2014MA-INS$15,000
First American Title Insurance Co.First American Financialinsurance violation2011MD-INS$15,000
Federal Insurance Co. et al.Chubb Limitedinsurance violation2011MD-INS$15,000
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2011MD-INS$15,000
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2011MD-INS$15,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2012MD-INS$15,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2013MD-INS$15,000
Hartford Accident and Indemnity Co. et al.Hartford Financial Servicesinsurance violation2015MD-INS$15,000
Nationwide General Insurance Co.Nationwideinsurance violation2016MD-INS$15,000
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2016MD-INS$15,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2000MN-FIN$15,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2006MN-FIN$15,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.