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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
Courier Printing CompanyChatham Asset Managementsolid waste violation2016TN-ENV$8,555
Jackson HewittJackson Hewittwage and hour violation2013MI-LEO$8,553
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$8,550
SYNAGRO-WWT, INC.Goldman Sachsworkplace safety or health violation2019OSHA$8,525
Nationwide Mutual Insurance Co.Nationwideinsurance violation2007CO-INS$8,500
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2013IN-SEC$8,500
Ragen Mackenzie Investment Services LLCWells Fargoinvestor protection violation2004OR-FIN$8,500
Ace American Insurance CompanyChubb Limitedinsurance violation2012TX-INS$8,500
XL Specialty Insurance CompanyAXAinsurance violation2014TX-INS$8,500
AIG Property Casualty CompanyAmerican International Groupinsurance violation2015TX-INS$8,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$8,500
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2017TX-INS$8,500
Zurich American Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$8,500
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2018TX-INS$8,500
DAIRYLAND INSURANCE COSentry Insuranceinsurance violation2001VA-INS$8,500
Regent Insurance Co.QBE Insuranceinsurance violation2003WI-INS$8,500
Foremost Insurance Co.Zurich Insuranceinsurance violation2003WI-INS$8,500
American Family Life Assurance Company of ColumbusAflacinsurance violation2020CT-INS$8,500
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusair pollution violation2005FL-DEP$8,500
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2020TX-INS$8,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2020TX-INS$8,500
Protective Insurance Co.Progressiveinsurance violation2021TX-INS$8,500
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2023TX-INS$8,500
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2023TX-INS$8,500
Liberty Mutual Personal Insurance CompanyLiberty Mutual Insuranceinsurance violation2024MD-INS$8,500
XL Specialty Insurance CompanyAXAinsurance violation2024TX-INS$8,500
Travelers Indemnity CompanyTravelersinsurance violation2024TX-INS$8,500
CASH AMERICAFirstCashworkplace safety or health violation2016OSHA$8,500
FIFTH THIRD BANK, NATIONAL ASSOCIATIONFifth Third Bancorpworkplace safety or health violation2023OSHA$8,500
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2010IN-SEC$8,495
Provident Funding Associates, LPProvident Funding Associateswage and hour violation2008WHD$8,453
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2018TX-INS$8,400
CAPITAL ONE NATIONAL ASSOCIATIONCapital One Financialenvironmental violation2010TX-ENV$8,400
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2014TX-INS$8,397
Buckeye Pipe Line Company, L.P.IFM Investorsenvironmental violation2012EPA$8,397
HSBC Bank USAHSBCeconomic sanction violation2004OFAC$8,375
BROADRIDGE FINANCIAL SOLUTIONS, INC.Broadridge Financial Solutionsworkplace safety or health violation2019OSHA$8,335
Banner Life Insurance Co.Legal & General Group PLCinsurance violation2011MD-INS$8,300
Transamerica Life Insurance Co.Aegoninsurance violation2017MD-INS$8,300
Conseco Life Insurance CompanyCNO Financialinsurance violation2003OR-FIN$8,300
ACE American Reinsurance CompanyChubb Limitedinsurance violation2006OR-FIN$8,300
HSBC North America Inc.HSBCwage and hour violation2006WHD$8,273
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2017FRA$8,250
Acadia Insurance Co.W.R. Berkleyinsurance violation2021TX-INS$8,250
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
PNC BankPNC Financial Serviceseconomic sanction violation2005OFAC$8,200
Jackson National Life Insurance Co.Jackson Financialinsurance violation2015MD-INS$8,200
BUCKEYE PORT READING TERMINAL LLCIFM Investorsair pollution violation2009NJ-ENV$8,200
CitiFinancial, Inc.Citigroupconsumer protection violation2003FL-OFR$8,199
Citizens BankCitizens Financial Groupwage and hour violation2011MI-LEO$8,169
STATE FARM INSURANCEState Farm Insuranceworkplace safety or health violation2012OSHA$8,160
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2016VA-INS$8,131
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$8,016
Peter Cremer CompanyCremerrailroad safety violation2013FRA$8,000
NEW YORK COMMUNITY BANKNew York Community Bancorpbanking violation2004FDIC$8,000
Wells Fargo Fund Distributor, LLCWells Fargoconsumer protection violation2014CA-DFPI$8,000
Pruco Life Insurance Co.Prudential Financialinsurance violation2015CA-INS$8,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2019DE-INS$8,000
Travelers Indemnity Co.Travelersinsurance violation2003FL-OFR$8,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2008FL-OFR$8,000
Amex Assurance Co.American Expressinsurance violation2008FL-OFR$8,000
Workmen's Auto Insurance CompanyMercury General Corporationinsurance violation2003IN-INS$8,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2003IN-INS$8,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2009KS-INS$8,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2010KY-FIN$8,000
Thrivent Financial For LutheransThrivent Financialinsurance violation2012MD-INS$8,000
Fidelity & Guaranty Life Insurance Co.Fidelity National Financialinsurance violation2014MD-INS$8,000
The Standard Fire Insurance Co.Travelersinsurance violation2015MD-INS$8,000
Empire Fire and Marine Insurance Co. et al.Zurich Insuranceinsurance violation2015MD-INS$8,000
LM General Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2015MD-INS$8,000
Selective Insurance Company of South Carolina et al.Selective Insurance Groupinsurance violation2016MD-INS$8,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2017MD-INS$8,000
North Pointe Insurance Co.QBE Insuranceinsurance violation2014MO-INS$8,000
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2016MO-INS$8,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2006ND-SEC$8,000
Progressive Classic Insurance CompanyProgressiveinsurance violation2005OR-FIN$8,000
AMCO Insurance CompanyNationwideinsurance violation2010OR-FIN$8,000
Allied Home Mortgage Capital CorporationAmericus Mortgageconsumer protection violation2009PA-BKG$8,000
Allstate Property & Casualty Insurance CompanyAllstateinsurance violation2012RI-FIN$8,000
Peerless Insurance CompanyLiberty Mutual Insuranceinsurance violation2014RI-FIN$8,000
USAA Casualty Insurance CompanyUSAAinsurance violation2019RI-FIN$8,000
Liberty Insurance Underwriters Inc.Liberty Mutual Insuranceinsurance violation2003SC-INS$8,000
AXA Insurance CompanyAXAinsurance violation2007SC-INS$8,000
United Services Automobile AssociationUSAAinsurance violation2011SC-INS$8,000
AXA Art Insurance CorporationAXAinsurance violation2012SC-INS$8,000
Safeco Insurance CompanyLiberty Mutual Insuranceinsurance violation2013SC-INS$8,000
Standard Fire Insurance CompanyTravelersinsurance violation2010TX-INS$8,000
Accident Fund Insurance Co. of AmericaAF Groupinsurance violation2011TX-INS$8,000
The Netherlands Insurance CompanyLiberty Mutual Insuranceinsurance violation2012TX-INS$8,000
Wausau Underwriters Insurance CompanyLiberty Mutual Insuranceinsurance violation2013TX-INS$8,000
Property and Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2014TX-INS$8,000
Illinois National Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$8,000
Travelers Casualty and Surety CompanyTravelersinsurance violation2015TX-INS$8,000
Wausau Underwriters Insurance CompanyLiberty Mutual Insuranceinsurance violation2015TX-INS$8,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2016TX-INS$8,000
Berkley National Insurance CompanyW.R. Berkleyinsurance violation2016TX-INS$8,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$8,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.