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
Allied Property and Casualty Insurance Co.Nationwideinsurance violation2008MN-FIN$7,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2016MO-INS$7,000
Edward D. Jones & Co. LPJones Financialinvestor protection violation2003ND-SEC$7,000
Ace Cash Express, Inc.,ACE Cash Expressconsumer protection violation2010NE-DBF$7,000
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$7,000
Nationwide Property & Casualty Insurance CompanyNationwideinsurance violation2015NY-DFS$7,000
USAA Casualty Insurance Co.USAAinsurance violation2010SC-INS$7,000
Virginia Surety Company, Inc.Assurantinsurance violation2008TX-INS$7,000
XL Insurance America Inc.AXAinsurance violation2011TX-INS$7,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2013TX-INS$7,000
Chubb Indemnity Insurance CompanyChubb Limitedinsurance violation2013TX-INS$7,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2014TX-INS$7,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$7,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$7,000
The Travelers Indemnity Company of ConnecticutTravelersinsurance violation2016TX-INS$7,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$7,000
Federal Insurance CompanyChubb Limitedinsurance violation2018TX-INS$7,000
Arch Insurance CompanyArch Capitalinsurance violation2018TX-INS$7,000
AMERICAN HEALTH & LIFE INSURANCE COOneMain Holdingsinsurance violation2005VA-INS$7,000
THE TRAVELERS INDEMNITY CO. et al.Travelersinsurance violation2009VA-INS$7,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2010WA-INS$7,000
HSBC Securities USA IncHSBCinsurance violation2011WA-INS$7,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2018WA-INS$7,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2018WA-INS$7,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2005WI-FIN$7,000
Mutual of Omaha Mortgage, Inc.Mutual of Omahaconsumer protection violation2020PA-BKG$7,000
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$7,000
Old Republic Insurance Co.Old Republic Internationalinsurance violation2020TX-INS$7,000
XL Specialty Insurance Co.AXAinsurance violation2020TX-INS$7,000
BUCKEYE TERM LLCIFM Investorsenvironmental violation2013PA-ENV$7,000
BUCKEYE PORT READING TERMINALIFM Investorswater pollution violation2009NJ-ENV$7,000
IAC SPARTANBURG, INCInvescoair pollution violation2012SC-ENV$7,000
Minnesota Life Insurance CompanySecurian Financialinsurance violation2020CT-INS$7,000
Ace American Insurance Co. and Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2021MD-INS$7,000
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$7,000
Great American Alliance Insurance CompanyAmerican Financial Groupinsurance violation2021TX-INS$7,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2016TX-PUC$7,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$7,000
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2022TX-INS$7,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2022KS-INS$7,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2022TX-INS$7,000
Standard Fire Insurance CompanyTravelersinsurance violation2023TX-INS$7,000
Western & Southern LifeWestern & Southern Financial Groupwage and hour violation2021MI-LEO$7,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$7,000
NeoviaGoldman Sachslabor relations violation2023NLRB$7,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$7,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$7,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2024TX-INS$7,000
Ace American Insurance CompanyChubb Limitedinsurance violation2024TX-INS$7,000
Ace American Insurance CompanyChubb Limitedinsurance violation2024TX-INS$7,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2024TX-INS$7,000
FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS, INCFidelity Investmentsworkplace safety or health violation2011OSHA$7,000
IFCO SYSTEMS N.A., INC.Triton Investments Advisersworkplace safety or health violation2010OSHA$7,000
SYNAGROGoldman Sachsworkplace safety or health violation2012OSHA$7,000
THE GAS COMPANY, LLCMacquarieworkplace safety or health violation2013OSHA$7,000
R. R. DONNELLEY AND SONS COMPANYChatham Asset Managementworkplace safety or health violation2013OSHA$7,000
BUCKEYE PARTNERS, LPIFM Investorsworkplace safety or health violation2014OSHA$7,000
EL PASO ELECTRIC COMPANYJPMorgan Chaseworkplace safety or health violation2015OSHA$7,000
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2015OSHA$7,000
IAC ALBEMARLE, LLCInvescoworkplace safety or health violation2017OSHA$7,000
BUCKEYE PARTNERS, L.P.IFM Investorsworkplace safety or health violation2017OSHA$7,000
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$7,000
JPMorgan Chase Bank, NAJPMorgan Chasewage and hour violation2009WHD$6,996
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$6,996
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2012TX-INS$6,960
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020VT-FIN$6,900
WHEELABRATOR PORTSMOUTHMacquarieworkplace safety or health violation2010OSHA$6,890
ZENITH INSURANCE COMPANYFairfax Financial Holdingsinsurance violation2001FL-OFR$6,850
Heritage Bank of CommerceHeritage Commerce Corp.banking violation2008FED$6,840
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2017TX-INS$6,825
Netherlands Insurance CompanyLiberty Mutual Insuranceinsurance violation2014TX-INS$6,801
Florida Central Railroad3i Infrastructure PLCrailroad safety violation2013FRA$6,800
Imperial Sugar CompanyLouis Dreyfusenvironmental violation2003TX-ENV$6,800
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$6,800
Buckeye Terminals, LLCIFM Investorsenvironmental violation2012EPA$6,766
IAC Group North AmericaInvescoenvironmental violation2016NC-ENV$6,751
Franklin American Mortgage CompanyCitizens Financial Groupconsumer protection violation2010PA-BKG$6,750
Old Republic InsuranceOld Republic Internationalinsurance violation2021TX-INS$6,750
THEO. DAVIS SONS, INCORPORATEDChatham Asset Managementworkplace safety or health violation2013OSHA$6,750
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$6,725
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$6,725
IFCO SYSTEMS, NORTH AMERICATriton Investments Advisersworkplace safety or health violation2012OSHA$6,720
NEW YORK LIFE INSURANCE COMPANYNew York Life Insuranceworkplace safety or health violation2023OSHA$6,697
J P Morgan Chase BankJPMorgan Chasewage and hour violation2005WHD$6,688
Bank OneJPMorgan Chaseeconomic sanction violation2004OFAC$6,682
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2014TX-INS$6,662
Societe GeneraleSociete Generaleeconomic sanction violation2003OFAC$6,600
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2018MD-INS$6,600
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2020VA-INS$6,600
BANK OF AMERICABank of Americaworkplace safety or health violation2011OSHA$6,600
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA INCInvescoworkplace safety or health violation2015OSHA$6,600
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2009MSHA$6,600
World Acceptance Corporation, IncWorld Acceptance Corporationwage and hour violation2019WHD$6,582
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2005CA-LCO$6,572
Stewart Title CompanyStewart Information Servicesinsurance violation2023IN-INS$6,570
Bankers Life and Casualty Co.CNO Financialinsurance violation2007IN-INS$6,569
JP Morgan ChaseJPMorgan Chaseenvironmental violation2011TX-ENV$6,555
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$6,550
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2006AK-INS$6,530
Universal Underwriters Insurance Co.Zurich Insuranceinsurance violation2007MO-INS$6,530
RR DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2014OSHA$6,510
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.