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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
Wells Fargo Bank, N. A.Wells FargoFamily and Medical Leave Act2016WHD$11,874
Ace American Insurance CompanyChubb Limitedinsurance violation2024TX-INS$11,850
Trafigura AGTrafigurawage and hour violation2007WHD$11,839
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2012PHMSA$11,800
Transamerica Premier Life Insurance Co.Aegoninsurance violation2015MD-INS$11,800
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2023OSHA$11,786
BUCKEYE PORT READING TERMINAL LLCIFM Investorsair pollution violation2007NJ-ENV$11,760
J P Morgan Securities LLCJPMorgan Chaseinsurance violation2018NY-DFS$11,750
Mercury Air CentersMacquarieair pollution violation2006CA-SCAQMD$11,750
Fidelity and Guaranty Insurance CompanyFidelity National Financialinsurance violation2014TX-INS$11,744
First Financial Bank, National AssociationFirst Financial Bancorp.banking violation2015OCC$11,700
Prudential InsurancePrudential Financialwage and hour violation2013NY-DOL$11,700
TitleMax of Missouri, Inc.TMX FinanceFamily and Medical Leave Act2015WHD$11,648
Valley Forge Life Insurance CompanyPrudential PLCinsurance violation2001MA-INS$11,600
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieair pollution violation2000NJ-ENV$11,600
R.R. DONNELLEYChatham Asset Managementworkplace safety or health violation2010OSHA$11,600
El Paso Electric CompanyJPMorgan Chaselabor relations violation2009NLRB$11,500
National Western Life Insurance Co.National Western Lifeinsurance violation2009CO-INS$11,500
National Western Life Insurance Co.National Western Lifeinsurance violation2014CO-INS$11,500
COMMERCE AND INDUSTRY INSURANCE COMPANYAmerican International Groupinsurance violation2001FL-OFR$11,500
The Travelers Indemnity CompanyTravelersinsurance violation2014TX-INS$11,500
T.H.E. Insurance CompanyAXAinsurance violation2015TX-INS$11,500
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2016VA-SEC$11,500
LM Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$11,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2023TX-INS$11,500
QBE Insurance CorporationQBE Insuranceinsurance violation2023TX-INS$11,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2024TX-INS$11,500
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$11,500
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$11,500
U.S. Bank National AssociationU.S. Bancorpdiscriminatory practices (non-employment)2014HUD$11,489
HSBC North America Inc.HSBCwage and hour violation2006WHD$11,489
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2014TX-INS$11,460
Huntington National BankHuntington Bancshareswage and hour violation2011MI-LEO$11,434
Metropolitan Life Insurance Co.MetLifeinsurance violation2012MD-INS$11,400
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020IL-SEC$11,385
R. R. DONNELLEY AND SONS COMPANYChatham Asset Managementenvironmental violation2001EPA$11,344
BMO Harris Bank N.A.Bank of MontrealFamily and Medical Leave Act2015WHD$11,304
Metropolitan Life Insurance Co.MetLifeinsurance violation2017MD-INS$11,300
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieair pollution violation2001NJ-ENV$11,200
IFCO SYSTEMS NORTH AMERICA INCTriton Investments Advisersworkplace safety or health violation2010OSHA$11,200
Pro Line Printing, Inc.Chatham Asset Managementenvironmental violation2004CT-ENV$11,125
AIU Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
American Home Assurance Co.American International Groupinsurance violation2010ME-INS$11,111
Commerce and Industry Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
Granite State Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
Illinois National Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2010ME-INS$11,111
National Union Fire Insurance Company of Pittsburg, Pa.American International Groupinsurance violation2010ME-INS$11,111
New Hampshire Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
THE RICHLAND TRUST COMPANYPark National Corp.banking violation2006FDIC$11,100
IFCO SYSTEMS N.A., INC.Triton Investments Advisersworkplace safety or health violation2009OSHA$11,100
SYNAGRO WWT INCGoldman Sachsworkplace safety or health violation2022OSHA$11,095
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$11,050
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$11,041
John Hancock Variable Life Insurance Co.Manulife Financialinsurance violation2006MO-INS$11,040
Horace Mann Insurance CompanyHorace Mann Educators Corp.insurance violation2013VT-FIN$11,007
Wachovia BankWells Fargoeconomic sanction violation2007OFAC$11,000
Bank of ChinaBank of Chinaeconomic sanction violation2005OFAC$11,000
Wachovia BankWells Fargoeconomic sanction violation2004OFAC$11,000
HSBC Bank USAHSBCeconomic sanction violation2003OFAC$11,000
Societe GeneraleSociete Generaleeconomic sanction violation2003OFAC$11,000
Edward D. Jones and Co.,LPJones Financialinvestor protection violation2003AK-DBS$11,000
Quicken Loans Inc.Rocket Companies Inc.consumer protection violation2018AK-DBS$11,000
Foremost Property and Casualty Insurance Co. et al.Zurich Insuranceinsurance violation2019DE-INS$11,000
Life Investors Insurance Company of AmericaAegoninsurance violation2004FL-OFR$11,000
Fortis Insurance Co.Assurantinsurance violation2007FL-OFR$11,000
AIG Claims, Inc.American International Groupinsurance violation2018LA-INS$11,000
American Health and Life Insurance Co.OneMain Holdingsinsurance violation2019LA-INS$11,000
New Hampshire Insurance Co.American International Groupinsurance violation2018MO-INS$11,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2008NE-DBF$11,000
Farmers Insurance Company of OregonZurich Insuranceinsurance violation2005OR-FIN$11,000
American Guarantee and Liability Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$11,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2017TX-INS$11,000
State Farm Fire and Casualty CompanyState Farm Insuranceinsurance violation2017TX-INS$11,000
Travelers Casualty and Surety CompanyTravelersinsurance violation2018TX-INS$11,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2019VT-FIN$11,000
Conseco Health Insurance Co.CNO Financialinsurance violation2004WI-INS$11,000
TRANSAMERICA LIFE INSURANCE COMPANYAegoninsurance violation2021MO-INS$11,000
Mercury Casualty CompanyMercury General Corporationinsurance violation2020NY-DFS$11,000
Travelers Indemnity Co.Travelersinsurance violation2021TX-INS$11,000
The Hartford Casualty Insurance Co. and Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2022MN-FIN$11,000
Progressive Universal Insurance CompanyProgressiveinsurance violation2022OR-FIN$11,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$11,000
LM Insurance Corp.Liberty Mutual Insuranceinsurance violation2023TX-INS$11,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2023VA-SEC$11,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2023TX-INS$11,000
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2023TX-INS$11,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$11,000
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2006OSHA$11,000
WESTERN UNIONWestern Unionworkplace safety or health violation2015OSHA$11,000
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$11,000
American Automobile Insurance Company et al.Allianzinsurance violation2011VA-INS$10,973
Protective Insurance CompanyProgressiveinsurance violation2014TX-INS$10,965
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2022TX-INS$10,950
GEORGIA CASH AMERICA, INC.FirstCashworkplace safety or health violation2015OSHA$10,920
Banner Life Insurance CompanyLegal & General Group PLCinsurance violation2002MA-INS$10,900
American Guarantee and Liability Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$10,850
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2009IN-INS$10,850
Zurich American Insurance Co. of IllinoisZurich Insuranceinsurance violation2020TX-INS$10,800
Allstate Life Insurance Company of New YorkAllstatewage and hour violation2022NY-DOL$10,778
Imperial Sugar CompanyLouis Dreyfusenvironmental violation2012LA-ENV$10,770
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.