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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,479,735,000115
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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 icon . Penalty Amount
Equitable Financial Life Insurance CompanyEquitable Holdingsinvestor protection violation2022SEC$50,000,000
Waddell & Reed, LLCMacquarieinvestor protection violation2022SEC$200,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2022SEC$35,000,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2022SEC$500,000
Barclays Bank PLCBarclaysinvestor protection violation2022SEC$361,000,000
Barclays Capital Inc.Barclaysinvestor protection violation2022SEC$125,000,000
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2022SEC$125,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2022SEC$125,000,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2022SEC$125,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2022SEC$125,000,000
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2022SEC$125,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2022SEC$125,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor protection violation2022SEC$125,000,000
Nomura Securities International, Inc.Nomurainvestor protection violation2022SEC$50,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2022SEC$10,000,000
Goldman Sachs Asset Management, L.P.Goldman Sachsinvestor protection violation2022SEC$4,000,000
Danske Bank A/SDanske Bankanti-money-laundering deficiencies2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,000,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2022SEC$198,323
KeyBanc Capital Markets Inc.KeyCorpinvestor protection violation2023SEC$397,135
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2023SEC$9,660,000
Chatham Asset Management LLCChatham Asset Managementinvestor protection violation2023SEC$18,800,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2023SEC$15,000,000
Scotia Capital (USA) Inc.Scotiabankinvestor protection violation2023SEC$7,500,000
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
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
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2016TN-SEC$30,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020TN-SEC$12,994
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
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
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2016TX-FIN$23,608
TD Ameritrade, Inc.Charles Schwab Corp.consumer protection violation2022TX-FIN$81,750
Mid-Century Insurance Co. of TexasZurich Insuranceinsurance violation2000TX-INS$11,000,000
Farmers Insurance GroupZurich Insuranceinsurance violation2002TX-INS$15,000,000
Allstate Texas Lloyd'sAllstateinsurance violation2008TX-INS$71,300,000
Hartford Casualty Insurance Company et al.Hartford Financial Servicesinsurance violation2008TX-INS$21,000
Sentry InsuranceSentry Insuranceinsurance violation2008TX-INS$5,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2008TX-INS$6,000
Ace American Insurance CompanyChubb Limitedinsurance violation2008TX-INS$17,500
Ace American Insurance CompanyChubb Limitedinsurance violation2008TX-INS$14,875
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2008TX-INS$18,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2008TX-INS$18,000
Virginia Surety Company, Inc.Assurantinsurance violation2008TX-INS$7,000
Ace American Insurance Company et al.Chubb Limitedinsurance violation2008TX-INS$50,000
Ace American Insurance CompanyChubb Limitedinsurance violation2008TX-INS$37,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2008TX-INS$7,500
Zurich American Insurance CompanyZurich Insuranceinsurance violation2009TX-INS$15,000
American Home Assurance CompanyAmerican International Groupinsurance violation2009TX-INS$22,500
Fidelity and Guaranty Insurance CompanyFidelity National Financialinsurance violation2009TX-INS$9,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2009TX-INS$7,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2009TX-INS$7,500
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2009TX-INS$55,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2009TX-INS$7,500
United States Fire Insurance Company of PlanoFairfax Financial Holdingsinsurance violation2009TX-INS$10,500
American Home Assurance Company et al.American International Groupinsurance violation2010TX-INS$650,000
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Lloyd's CorporationHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$18,000
Property and Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2010TX-INS$18,000
Sentinel Insurance Company Ltd.Hartford Financial Servicesinsurance violation2010TX-INS$10,000
Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$10,000
Wausau Business Insurance CompanyLiberty Mutual Insuranceinsurance violation2010TX-INS$5,000
Safeco Lloyds Insurance Co.Liberty Mutual Insuranceinsurance violation2010TX-INS$5,000
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2010TX-INS$175,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2010TX-INS$175,000
Standard Fire Insurance CompanyTravelersinsurance violation2010TX-INS$8,000
Ace American Insurance CompanyChubb Limitedinsurance violation2010TX-INS$74,000
Ace American Insurance CompanyChubb Limitedinsurance violation2010TX-INS$147,000
Allstate Insurance CompanyAllstateinsurance violation2010TX-INS$879,510
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2010TX-INS$50,000
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2010TX-INS$17,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2010TX-INS$153,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2010TX-INS$30,000
Arch Insurance CompanyArch Capitalinsurance violation2010TX-INS$14,000
State Farm General Insurance CompanyState Farm Insuranceinsurance violation2010TX-INS$40,000
Fidelity & Guaranty Insurance CompanyFidelity National Financialinsurance violation2010TX-INS$50,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.