Violation Tracker

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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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 Companies	Total Penalty $	Number of Records
Bank of America	$87,286,650,890	328
JPMorgan Chase	$39,688,888,209	277
UBS	$31,069,299,125	179
Wells Fargo	$27,616,269,231	266
Citigroup	$26,945,611,792	181
Deutsche Bank	$20,011,467,563	99
Goldman Sachs	$17,729,358,987	111
NatWest Group PLC	$14,370,701,618	43
Morgan Stanley	$10,780,502,443	203
BNP Paribas	$10,363,464,666	23

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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Company	Current Parent	Primary Offense Type	Year	Agency	Penalty Amount
Fidelity National Title Insurance Co.	Fidelity National Financial	insurance violation	2020	MO-INS	$45,900
Permanent General Assurance Corp.	American Family Insurance	insurance violation	2020	MO-INS	$15,000
Stewart Title Guaranty Co.	Stewart Information Services	insurance violation	2020	MO-INS	$100,000
AMERICAN HEALTH AND LIFE INSURANCE COMPANY	OneMain Holdings	insurance violation	2021	MO-INS	$7,500
TRANSAMERICA LIFE INSURANCE COMPANY	Aegon	insurance violation	2021	MO-INS	$11,000
FIDELITY NATIONAL TITLE INSURANCE COMPANY	Fidelity National Financial	insurance violation	2021	MO-INS	$45,900
American Fire & Casualty Company	Liberty Mutual Insurance	insurance violation	2021	MO-INS	$64,000
Security National Insurance Co.	Zurich Insurance	insurance violation	2021	MO-INS	$23,150
American General Life Insurance Co.	American International Group	insurance violation	2022	MO-INS	$117,300
JACKSON NATIONAL LIFE INSURANCE COMPANY	Jackson Financial	insurance violation	2022	MO-INS	$44,000
BANKERS LIFE AND CASUALTY COMPANY	CNO Financial	insurance violation	2022	MO-INS	$38,500
Globe Life and Accident Insurance Company	Globe Life Inc.	insurance violation	2023	MO-INS	$9,500
Oppenheimer & Co., Inc.	Oppenheimer Holdings	investor protection violation	2005	MO-SEC	$122,050
Edward D. Jones & Co. L.P.	Jones Financial	investor protection violation	2005	MO-SEC	$1,500,000
Waddell & Reed, Inc.	Macquarie	investor protection violation	2006	MO-SEC	$172,161
World Group Securities, Inc.	Aegon	investor protection violation	2006	MO-SEC	$228,600
Berthel Fisher & Company Financial Services, Inc.	Berthel Fisher	investor protection violation	2007	MO-SEC	$230,469
Investment Centers of America, Inc.	LPL Financial	investor protection violation	2007	MO-SEC	$1,031,618
UBS Financial Services, Inc.	UBS	investor protection violation	2007	MO-SEC	$697,210
Merrill Lynch, Pierce, Fenner & Smith Inc.	Bank of America	investor protection violation	2009	MO-SEC	$20,000
Securian Financial Services, Inc.	Securian Financial	investor protection violation	2009	MO-SEC	$79,445
Raymond James Financial Services, Inc.	Raymond James Financial	investor protection violation	2009	MO-SEC	$52,300
UBS Financial Services, Inc.	UBS	investor protection violation	2009	MO-SEC	$170,175
Investment Professionals, Inc.	Ameriprise Financial	investor protection violation	2009	MO-SEC	$52,500
Stifel, Nicolaus & Company, Inc.	Stifel Financial	investor protection violation	2010	MO-SEC	$211,617
Edward D. Jones & Co. L.P.	Jones Financial	investor protection violation	2010	MO-SEC	$40,500
Bankers Life and Casualty Co.	CNO Financial	investor protection violation	2010	MO-SEC	$789,600
LPL Financial Corp.	LPL Financial	investor protection violation	2010	MO-SEC	$37,540
Citigroup Global Markets, Inc.	Citigroup	investor protection violation	2010	MO-SEC	$277,500
AXA Advisors, LLC	Equitable Holdings	investor protection violation	2010	MO-SEC	$92,015
A.G. Edwards & Sons, Inc.	Wells Fargo	investor protection violation	2011	MO-SEC	$765,993
Berthel Fisher & Company Financial Services, Inc.	Berthel Fisher	investor protection violation	2011	MO-SEC	$5,000
Stifel, Nicolaus & Company, Inc.	Stifel Financial	investor protection violation	2012	MO-SEC	$1,101,385
LendingClub Corp.	LendingClub Corp.	investor protection violation	2012	MO-SEC	$105,000
Berthel Fisher & Company Financial Services, Inc.	Berthel Fisher	investor protection violation	2013	MO-SEC	$80,000
Merrill Lynch, Pierce, Fenner & Smith Inc.	Bank of America	investor protection violation	2013	MO-SEC	$2,121,579
LPL Financial LLC	LPL Financial	investor protection violation	2013	MO-SEC	$185,000
Bankers Life and Casualty Co.	CNO Financial	investor protection violation	2015	MO-SEC	$102,178
ProEquities, Inc.	Dai-ichi Life	investor protection violation	2015	MO-SEC	$128,528
Morgan Keegan & Company, Inc.	Raymond James Financial	investor protection violation	2016	MO-SEC	$850,000
A.G. Edwards & Sons, Inc.	Wells Fargo	investor protection violation	2017	MO-SEC	$25,672
Solium Financial Services LLC	Morgan Stanley	investor protection violation	2020	MO-SEC	$9,130
Raymond James & Associates, Inc.	Raymond James Financial	investor protection violation	2023	MO-SEC	$150,000
American Security Insurance Co.	Assurant	consumer protection violation	2019	MS-AG	$767,394
Metropolitan Property & Casualty Co.	Zurich Insurance	consumer protection violation	2019	MS-AG	$3,167,173
Nationwide Insurance	Nationwide	consumer protection violation	2008	MS-AG	$40,000,000
State Farm	State Farm Insurance	consumer protection violation	2008	MS-AG	$74,000,000
Santander	Banco Santander	consumer protection violation	2021	MS-AG	$3,700,000
American Income Life Insurance Co.	Globe Life Inc.	insurance violation	2002	MS-INS	$50,000
Monumental Life Insurance Co.	Aegon	insurance violation	2003	MS-INS	$24,351
Conseco Life Insurance Co.	CNO Financial	insurance violation	2003	MS-INS	$50,000
Seneca Ins Co. Inc.	Fairfax Financial Holdings	insurance violation	2004	MS-INS	$5,000
Safety National Casualty Corp.	Tokio Marine	insurance violation	2004	MS-INS	$5,000
Seneca Insurance Co. Inc.	Fairfax Financial Holdings	insurance violation	2004	MS-INS	$5,000
Safety National Casualty Corp.	Tokio Marine	insurance violation	2008	MS-INS	$10,000
AmSouth Investment Services, Inc.	Regions Financial	investor protection violation	2004	MS-SEC	$225,000
MetLife Securities, Inc.	MetLife	investor protection violation	2006	MS-SEC	$50,000
Morgan Keegan & Company, Inc.	Raymond James Financial	investor protection violation	2007	MS-SEC	$12,500
Ameriprise Financial Services, Inc.	Ameriprise Financial	investor protection violation	2008	MS-SEC	$150,000
Morgan Stanley Smith Barney LLC	Morgan Stanley	investor protection violation	2016	MS-SEC	$4,743,815
Stifel, Nicolaus & Company, Inc.	Stifel Financial	investor protection violation	2017	MS-SEC	$50,000
LPL Financial LLC	LPL Financial	investor protection violation	2018	MS-SEC	$40,000
Solium Financial Services LLC	Morgan Stanley	investor protection violation	2020	MS-SEC	$6,000
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2020	MSHA	$6,159
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,600
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2010	MSHA	$5,080
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2010	MSHA	$5,080
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2010	MSHA	$18,271
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2019	MSHA	$5,776
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2009	MSHA	$25,000
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2021	MSHA	$6,232
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2022	MSHA	$11,500
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2022	MSHA	$41,474
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2022	MSHA	$6,725
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2022	MSHA	$6,725
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2018	MSHA	$5,903
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2022	MSHA	$18,926
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2022	MSHA	$21,029
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2014	MSHA	$5,000
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2011	MSHA	$12,790
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2009	MSHA	$16,830
Nyrstar Tennessee Mines, Strawberry Plains LLC	Trafigura	workplace safety or health violation	2009	MSHA	$9,951
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2012	MSHA	$7,115
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,209
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,209
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$8,209
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2020	MSHA	$5,332
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2015	MSHA	$5,080
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2011	MSHA	$13,268
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2023	MSHA	$9,979
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2013	MSHA	$6,351
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2012	MSHA	$6,996
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2019	MSHA	$36,151
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$6,200
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$6,062
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2011	MSHA	$12,248
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2011	MSHA	$13,510
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2018	MSHA	$5,997
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2010	MSHA	$10,200
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2012	MSHA	$31,100
Nyrstar Tennessee Mines - Gordonsville, LLC	Trafigura	workplace safety or health violation	2014	MSHA	$5,080