Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
Imperial Sugar CompanyLouis Dreyfusenvironmental violation2012LA-ENV$10,770
Jackson National Life Distributors IncJackson Financialwage and hour violation2011MI-LEO$10,716
The Phoenix Insurance CompanyTravelersinsurance violation2014TX-INS$10,628
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$10,600
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020OR-FIN$10,599
Scottsdale Insurance Co.Nationwideinsurance violation2021NH-INS$10,579
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020AK-DBS$10,527
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-BKG$10,510
Allstate Insurance Co.Allstateinsurance violation2005CO-INS$10,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2001FL-OFR$10,500
The Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2008FL-OFR$10,500
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2008FL-OFR$10,500
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2010FL-OFR$10,500
RiverSource Life Insurance Co.Ameriprise Financialinsurance violation2011FL-OFR$10,500
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2012FL-OFR$10,500
Pacific Life Insurance Co.Pacific Lifeinsurance violation2012FL-OFR$10,500
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2014FL-OFR$10,500
Pruco Life Insurance Co.Prudential Financialinsurance violation2014FL-OFR$10,500
Genworth Life and Annuity Insurance Co.Genworth Financialinsurance violation2014FL-OFR$10,500
United States Fire Insurance Company of PlanoFairfax Financial Holdingsinsurance violation2009TX-INS$10,500
XL Specialty Insurance CompanyAXAinsurance violation2022TX-INS$10,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$10,500
Quicken LoansRocket Companies Inc.wage and hour violation2019MI-LEO$10,500
SPENCER PRESS OF MAINE, INC.Chatham Asset Managementworkplace safety or health violation2001OSHA$10,500
THE GAS COMPANY, LLCMacquarieworkplace safety or health violation2013OSHA$10,500
RR DONNELLEY AND SONS INC.Chatham Asset Managementworkplace safety or health violation2015OSHA$10,500
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2021OSHA$10,500
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$10,473
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$10,437
Mellon Bank N.A.Bank of New York Melloneconomic sanction violation2004OFAC$10,400
Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2015MD-INS$10,400
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieair pollution violation2001NJ-ENV$10,400
New Hampshire Insurance Co.American International Groupinsurance violation2000KS-INS$10,375
National Union Fire Insurance Company of Pittsburgh, PennsylvaniaAmerican International Groupinsurance violation2000KS-INS$10,375
LPL Financial LLCLPL Financialinvestor protection violation2022NH-BSR$10,307
WHEELABRATOR SHASTA ENERGY CO.Macquarieworkplace safety or health violation2000OSHA$10,275
Bankers Conseco Life Insurance CompanyCNO Financialinsurance violation2015NY-DFS$10,270
Societe Generale Financial CorporationSociete Generalebanking violation2020CA-DFPI$10,250
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2006RI-FIN$10,250
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2019TX-INS$10,250
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2007NE-DBF$10,200
Granite State Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$10,200
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$10,200
Natlonstar Mortgage LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2022MN-FIN$10,157
CitiBank, N.A.,Citigroupwage and hour violation2014CA-LCO$10,148
Solium Financial Services, LLCMorgan Stanleyinvestor protection violation2020IA-INS$10,147
IAC WAUSEON, LLCInvescoworkplace safety or health violation2021OSHA$10,143
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2019VA-INS$10,137
Barclays Bank PLCBarclayseconomic sanction violation2003OFAC$10,107
SunTrust BankTruist Financialbanking violation2005WI-AG$10,107
TMX Finance, LLCTMX Financewage and hour violation2014WHD$10,057
R. R. Donnelley & Sons CompanyChatham Asset Managementenvironmental violation2016TX-ENV$10,051
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2019WA-INS$10,050
Huntington National BankHuntington Bancshareswage and hour violation2010WHD$10,007
FIRST NIAGARA FINANCIAL GROUP, INC.KeyCorpbenefit plan administrator violation2011EBSA$10,001
FIRST NBC BANKHancock Whitney Corp.benefit plan administrator violation2011EBSA$10,001
FRED ALGER & COMPANY, INCORPORATEDAlger Associatesbenefit plan administrator violation2006EBSA$10,001
HORACE MANN SERVICE CORPORATIONHorace Mann Educators Corp.benefit plan administrator violation2006EBSA$10,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2018EBSA$10,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2019EBSA$10,001
AON RISK SERVICES OF PR, INC.Aonbenefit plan administrator violation2019EBSA$10,001
FMR LLCFidelity Investmentsbenefit plan administrator violation2021EBSA$10,001
Stonex Group Inc.StoneX Groupbenefit plan administrator violation2023EBSA$10,001
Principal Life Insurance CompanyPrincipal Financialbenefit plan administrator violation2023EBSA$10,001
Midland Credit Management, Inc.Encore Capital Groupbenefit plan administrator violation2023EBSA$10,001
First Niagara Bank, National AssociationKeyCorpbanking violation2011OCC$10,000
NYRSTAR CLARKSVILLE, INC.Trafigurarailroad safety violation2009FRA$10,000
BB&TTruist Financialeconomic sanction violation2007OFAC$10,000
Bank of ChinaBank of Chinaeconomic sanction violation2004OFAC$10,000
Piccari Press, Inc.Chatham Asset Managementlabor relations violation2003NLRB$10,000
Buckeye PartnersIFM Investorsrailroad safety violation2017FRA$10,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$10,000
Allstate Insurance Co.Allstateprivacy violation2003PA-AG$10,000
Metropolitan Life Insurance Co.MetLifeprivacy violation2012CT-AG$10,000
Mutual of OmahaMutual of Omahaconsumer protection violation2002NY-AG$10,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2016AK-INS$10,000
Securian Financial Services, Inc.Securian Financialinvestor protection violation2020AK-DBS$10,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2013AR-INS$10,000
Allied Home Mortgage Capital Corp.Americus Mortgageinvestor protection violation2009AR-SEC$10,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2010AZ-DIFI$10,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2011AZ-DIFI$10,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2018CA-MHC$10,000
Cash America Advance, Inc.FirstCashpayday lending violation2019CA-DFPI$10,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2007CO-INS$10,000
Continental American Insurance Co.Aflacinsurance violation2019CT-INS$10,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2014DE-INS$10,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2004FL-OFR$10,000
Western Union International Services LLCWestern Unionconsumer protection violation2019FL-OFR$10,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2014IA-INS$10,000
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2008ID-INS$10,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2005IL-SEC$10,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2011IN-SEC$10,000
Continental Western Insurance Co.W.R. Berkleyinsurance violation2008KS-INS$10,000
The Travelers Indemnity Co. et al.Travelersinsurance violation2010KS-INS$10,000
Allstate Fire and Casualty Co.Allstateinsurance violation2014KS-INS$10,000
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2015KS-INS$10,000
Auto-Owners (Mutual) Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2019KS-INS$10,000
Homeward Residential, Inc.Ocwen Financialconsumer protection violation2015KY-FIN$10,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2017LA-INS$10,000
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019LA-INS$10,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2008MD-SEC$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.