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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 CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,688,888,209277
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
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$5,080
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$9,000
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$11,000
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$7,000
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$7,578
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$5,503
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$8,947
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$9,942
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$5,080
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2015MSHA$5,645
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2015MSHA$5,961
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$10,473
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$6,800
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$7,176
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$5,961
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2009MSHA$6,600
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$5,016
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$72,600
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$11,041
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$7,401
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$8,016
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$10,437
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$5,080
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$13,268
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$6,500
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$33,400
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$14,743
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,893
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,600
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$11,500
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$38,925
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$38,925
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$5,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$5,000
Cleco CorpMacquarieworkplace safety or health violation2012MSHA$9,310
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2002MT-FIN$5,000
Buck Consultants, Inc.Arthur J. Gallagher & Co.insurance violation2002MT-FIN$9,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003MT-FIN$2,625,000
Hartford Fire Insurance Co. et al.Hartford Financial Servicesinsurance violation2003MT-FIN$30,000
Fortis Insurance Co. et al.Assurantinsurance violation2004MT-FIN$70,000
Fortis Insurance Co.Assurantinsurance violation2004MT-FIN$65,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005MT-FIN$25,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006MT-FIN$345,000
UBS Financial Services, Inc.UBSinvestor protection violation2006MT-FIN$4,503,166
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2007MT-FIN$7,500
LPL Financial Corp.LPL Financialinvestor protection violation2009MT-FIN$1,294,416
John Alden Life Insurance Co.Assurantinsurance violation2010MT-FIN$175,000
Time Insurance Co.Haven Holdingsinsurance violation2010MT-FIN$50,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2010MT-FIN$5,000
Edward JonesJones Financialinvestor protection violation2010MT-FIN$100,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2010MT-FIN$25,000
Genworth Life and Annuity Insurance Co.Genworth Financialinsurance violation2011MT-FIN$5,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2012MT-FIN$12,500
LPL Financial LLCLPL Financialinvestor protection violation2012MT-FIN$30,500
Metlife Investors USA Insurance CoMetLifeinvestor protection violation2012MT-FIN$5,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2012MT-FIN$186,439
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2013MT-FIN$50,000
Arch Insurance Co.Arch Capitalinsurance violation2013MT-FIN$29,075
John Hancock Life Insurance Co.Manulife Financialinsurance violation2013MT-FIN$5,000
Travelers Casualty and Surety Co. et al.Travelersinsurance violation2013MT-FIN$5,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2013MT-FIN$50,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2014MT-FIN$38,638
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2015MT-FIN$95,000
John Alden Life Insurance Co. and Time Insurance Co.Assurantinsurance violation2015MT-FIN$1,699,709
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2015MT-FIN$5,000
Unigard Insurance Co.QBE Insuranceinsurance violation2016MT-FIN$25,000
AXA Equitable Life & Annuity Co.Equitable Holdingsinsurance violation2016MT-FIN$5,000
Unigard Insurance Co.QBE Insuranceinsurance violation2016MT-FIN$15,000
Hartford Life Insurance Co. and Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2016MT-FIN$50,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceinsurance violation2016MT-FIN$5,000
HCC Life Insurance Co. and HCC Medical Insurance Services, LLCTokio Marineinsurance violation2017MT-FIN$130,000
Allstate Fire and Casualty Insurance Co. et al.Allstateinsurance violation2017MT-FIN$10,000
Federal Insurance Co.Chubb Limitedinsurance violation2018MT-FIN$20,000
American Income Life Insurance Co.Globe Life Inc.insurance violation2019MT-FIN$15,000
Horace Mann Insurance Co.Horace Mann Educators Corp.insurance violation2019MT-FIN$25,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020MT-FIN$14,700
New York Life Insurance Company and New York Life Insurance and Annuity CorporationNew York Life Insuranceinsurance violation2021MT-FIN$10,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2024MT-FIN$2,000,000
ACE Group Holdings, Inc.Chubb Limitedprice-fixing or anti-competitive practices2007MULTI-AG$4,500,000
ACE, LtdChubb Limitedprice-fixing or anti-competitive practices2006MULTI-AG$80,000,000
AffinionJPMorgan Chaseconsumer protection violation2013MULTI-AG$30,000,000
Aflac Inc.Aflacinsurance violation2017MULTI-AG$350,000
AIM AdvisorsInvescoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2015MULTI-AG$4,700,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2012MULTI-AG$10,000,000
Ally FinancialAlly Financialmortgage abuses2012MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $109,628,425
American International Group, Inc.American International Groupprice-fixing or anti-competitive practices2008MULTI-AG$12,500,000
Ameriprise GroupAmeriprise Financialinsurance violation2017MULTI-AG$1,500,000
Ameriquest MortgageCitigroupconsumer protection violation2006MULTI-AG$325,000,000
Aon CorporationAonprice-fixing or anti-competitive practices2005MULTI-AG$190,000,000
Axa S.A.AXAinsurance violation2015MULTI-AG$3,280,000
Banc of America Securities LLCBank of Americainvestor protection violation2008MULTI-AG$4,550,000,000
Bank of AmericaBank of Americainvestor protection violation2012MULTI-AG$2,430,000,000
Bank of AmericaBank of Americainvestor protection violation2013MULTI-AG$500,000,000
Bank of AmericaBank of Americamortgage abuses2012MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,382,415,075
Bank of AmericaBank of Americaprice-fixing or anti-competitive practices2010MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $67,000,000
Bank of America CorporationBank of Americamortgage abuses2014MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $943,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.