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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
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 TypeYearAgency sort iconPenalty Amount
Aon Risk Services Southwest IncAoninsurance violation2023TX-INS$7,575
Security National Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$6,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$9,500
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2023TX-INS$5,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2023TX-INS$19,000
Arthur J. Gallagher Risk Management Services, LLCArthur J. Gallagher & Co.insurance violation2023TX-INS$11,875
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$42,000
Travelers Indemnity Company of AmericaTravelersinsurance violation2023TX-INS$6,000
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2023TX-INS$6,300
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$12,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$90,950
Zurich American Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$17,000
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$5,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$19,000
State Farm Fire and Casualty Company et al.State Farm Insuranceinsurance violation2023TX-INS$75,000
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2023TX-INS$11,000
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$13,500
Arch Insurance CompanyArch Capitalinsurance violation2023TX-INS$25,000
AIU Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$14,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$27,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2023TX-INS$19,500
Hanover Insurance CompanyHanover Insuranceinsurance violation2023TX-INS$30,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$12,000
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$22,250
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$9,500
Hanover Insurance CompanyHanover Insuranceinsurance violation2023TX-INS$17,500
XL Specialty Insurance CompanyAXAinsurance violation2023TX-INS$9,500
Liberty Mutual Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$6,250
Safety National Casualty Corp.Tokio Marineinsurance violation2023TX-INS$19,000
Standard Fire Insurance CompanyTravelersinsurance violation2023TX-INS$25,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2024TX-INS$24,000
XL Insurance America Inc.AXAinsurance violation2023TX-INS$24,000
Travelers Casualty & Surety CompanyTravelersinsurance violation2023TX-INS$22,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$18,000
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$17,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2024TX-INS$17,000
Ace American Insurance CompanyChubb Limitedinsurance violation2024TX-INS$17,000
Safety National Casualty CorporationTokio Marineinsurance violation2023TX-INS$17,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$17,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2023TX-INS$15,000
Everest Premier Insurance CompanyEverest Re Groupinsurance violation2023TX-INS$13,500
AIU Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$12,500
Phoenix Insurance CompanyTravelersinsurance violation2023TX-INS$12,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$12,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$11,000
T.H.E. Insurance CompanyAXAinsurance violation2024TX-INS$10,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2023TX-INS$10,000
AIG Property Casualty CompanyAmerican International Groupinsurance violation2023TX-INS$9,000
AIU Insurance CompanyAmerican International Groupinsurance violation2024TX-INS$8,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$7,500
Ace American Insurance CompanyChubb Limitedinsurance violation2024TX-INS$6,200
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$6,000
Acadia Insurance CompanyW.R. Berkleyinsurance violation2024TX-INS$5,000
QBE Insurance CorporationQBE Insuranceinsurance violation2023TX-INS$5,000
United Wisconsin Insurance Co.AF Groupinsurance violation2023TX-INS$5,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2016TX-FIN$23,608
TD Ameritrade, Inc.Charles Schwab Corp.consumer protection violation2022TX-FIN$81,750
Buckeye Texas Processing LLCIFM Investorsenvironmental violation2020TX-ENV$607,617
R. R. Donnelley & Sons CompanyChatham Asset Managementenvironmental violation2016TX-ENV$10,051
Synagro of Texas-CDR, Inc.Goldman Sachsenvironmental violation2015TX-ENV$7,927
JP Morgan ChaseJPMorgan Chaseenvironmental violation2011TX-ENV$6,555
CAPITAL ONE NATIONAL ASSOCIATIONCapital One Financialenvironmental violation2010TX-ENV$8,400
Bank Of America NABank of Americaenvironmental violation2005TX-ENV$12,480
Imperial Sugar CompanyLouis Dreyfusenvironmental violation2003TX-ENV$6,800
Corpus Christi Alumina LLCGlencoreenvironmental violation2021TX-ENV$32,400
AllstateAllstateconsumer protection violation2003TX-AG$3,440,000
American Heritage Life Insurance Co.Allstateconsumer protection violation2007TX-AG$1,700,000
EZCORP, Inc.EZCORP Inc.privacy violation2008TX-AG$600,000
Farmers Insurance GroupZurich Insuranceconsumer protection violation2003TX-AG$2,400,000
PayPal Inc.PayPal Holdingsprivacy violation2016TX-AG$175,000
Protective Life Insurance Co.Dai-ichi Lifeconsumer protection violation2007TX-AG$1,570,000
Resource Life Insurance Co.Assurantconsumer protection violation2010TX-AG$2,600,000
State FarmState Farm Insuranceconsumer protection violation2000TX-AG$3,100,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceconsumer protection violation2005TX-AG$10,000,000
Universal Underwriters Life Insurance Co.Zurich Insuranceconsumer protection violation2008TX-AG$2,400,000
UBSUBSbanking violation2023TX-AG$850,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2016TN-SEC$30,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020TN-SEC$12,994
Selective Insurance Company of South CarolinaSelective Insurance Groupinsurance violation2014TN-INS$10,000
Broadspire Services Inc.Crawford & Co.insurance violation2016TN-INS$10,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2020TN-INS$30,000
Nyrstar ClarksvilleTrafiguraenvironmental violation2019TN-ENV$181,482
Nyrstar ClarksvilleTrafiguraenvironmental violation2019TN-ENV$622,389
Regions BankRegions Financialenvironmental violation2017TN-ENV$20,750
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraenvironmental violation2017TN-ENV$41,760
Courier Printing CompanyChatham Asset Managementenvironmental violation2016TN-ENV$8,555
Nyrstar Gordonsville LLCTrafiguraenvironmental violation2013TN-ENV$5,000
Nyrstar Clarksville Inc.Trafiguraenvironmental violation2023TN-ENV$17,500
Barclays Capital Inc.Barclaysinvestor protection violation2016SEC$35,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2016SEC$54,300,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2016SEC$15,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2016SEC$4,000,000
Morgan Stanley Investment ManagementMorgan Stanleyinvestor protection violation2015SEC$8,800,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.JPMorgan Chaseinvestor protection violation2015SEC$267,000,000
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinainvestor protection violation2015SEC$4,200,000
UBS Willow Management LLC and UBS Fund Advisor LLCUBSinvestor protection violation2015SEC$17,500,000
UBS AGUBSinvestor protection violation2015SEC$19,500,000
UBS Financial Services Inc. of Puerto RicoUBSinvestor protection violation2015SEC$15,000,000
Credit Suisse Securities (USA) LLCUBSdata submission deficiencies2015SEC$4,250,000
Citigroup Global MarketsCitigroupinvestor protection violation2015SEC$15,000,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLCCitigroupinvestor protection violation2015SEC$180,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.