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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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Hartford Casualty Insurance Company et al.Hartford Financial Servicesinsurance violation2008TX-INS$21,000
Hartford Casualty Insurance Company et al.Hartford Financial Servicesinsurance violation2022VA-INS$30,030
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2014NY-DFS$7,100
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2016NY-DFS$15,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2014TX-INS$6,662
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2016TX-INS$13,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2016TX-INS$19,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2019TX-INS$6,000
HARTFORD CASUALTY INSURANCE COMPANYHartford Financial Servicesinsurance violation2020WA-INS$90,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2020TX-INS$7,500
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2022TX-INS$8,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2022TX-INS$20,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$12,000
Hartford Casualty Insurance Co. et al.Hartford Financial Servicesinsurance violation2014MD-INS$35,000
Hartford Casualty Insurance Co.Hartford Financial Servicesinsurance violation2019CT-INS$57,500
Hartford Casualty Insurance Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Hartford Casualty Insurance Co.Hartford Financial Servicesinsurance violation2016MO-INS$62,541
Hartford Casualty InsuranceHartford Financial Servicesinsurance violation2004PA-INS$30,000
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2016VA-INS$8,131
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2022TX-INS$52,000
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2023TX-INS$6,300
Hartford Accident and Indemnity Co. et al.Hartford Financial Servicesinsurance violation2010CA-INS$40,000
Hartford Accident and Indemnity Co. et al.Hartford Financial Servicesinsurance violation2011MD-INS$125,000
Hartford Accident and Indemnity Co. et al.Hartford Financial Servicesinsurance violation2015MD-INS$15,000
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2019CT-INS$43,000
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2001MN-FIN$6,000
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2016MO-INS$62,541
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2001WI-INS$15,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2014SD-INS$10,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2016SD-INS$10,000
Hartford Accident & Indemnity Company et al.Hartford Financial Servicesinsurance violation2013WA-INS$100,000
Hartford Accident & Indemnity Company et al.Hartford Financial Servicesinsurance violation2015WA-INS$20,000
Hartford Accident & Indemnity CompanyHartford Financial Servicesinsurance violation2015WA-INS$15,000
Hartford Accident & Indemnity CompanyHartford Financial Servicesinsurance violation2023TX-INS$14,000
HARTFORD ACCIDENT & INDEMNITYHartford Financial Servicesinsurance violation2017VA-INS$39,488
Harris N.A.Bank of Montrealbenefit plan administrator violation2007EBSA$274,600
Harleysville Worcester Insurance CompanyNationwideinsurance violation2002MA-INS$6,000
Harleysville Worcester Insurance CompanyNationwideinsurance violation2015NY-DFS$76,500
Harleysville Worcester Insurance CompanyNationwideinsurance violation2020CT-INS$6,500
Harleysville Mutual Insurance Co.Nationwideinsurance violation2002CA-INS$200,000
Harleysville Mutual Insurance Co.Nationwideinsurance violation2005CA-INS$100,000
Harleysville Mutual Insurance Co.Nationwideinsurance violation2007CA-INS$299,500
HARLEYSVILLE MUTUAL INSURANCE CONationwideinsurance violation2001VA-INS$21,000
HARLEYSVILLE MUTUAL INS CONationwideenvironmental violation2016PA-ENV$6,150
Harleysville Insurance CompanyNationwideinsurance violation2023NY-DFS$45,000
Harleysville Insurance Co.Nationwideinsurance violation2020CT-INS$49,000
Harleysville Insurance Co.Nationwideinsurance violation2002MN-FIN$80,000
Hanover Insurance GroupHanover Insuranceconsumer protection violation2010MA-AG$2,500,000
HANOVER INSURANCE GROUPHanover Insuranceenvironmental violation2002MA-ENV$10,000
Hanover Insurance CompanyHanover Insuranceinsurance violation2001MA-INS$7,040
Hanover Insurance CompanyHanover Insuranceinsurance violation2011TX-INS$15,000
Hanover Insurance CompanyHanover Insuranceinsurance violation2023TX-INS$8,000
Hanover Insurance CompanyHanover Insuranceinsurance violation2023TX-INS$30,000
Hanover Insurance CompanyHanover Insuranceinsurance violation2023TX-INS$17,500
Hanover Insurance Co.Hanover Insuranceconsumer protection violation2009MA-AG$415,000
Hanover Insurance Co.Hanover Insuranceinsurance violation2004NJ-DBI$40,000
Hanmi BankHanmi Financial Corp.banking violation2007FED$8,835
Hanmi BankHanmi Financial Corp.economic sanction violation2004OFAC$7,000
Hampton Roads BanksharesAtlantic Union Banksharesaccounting fraud or deficiencies2014SEC$200,000
H&R Block, Inc.H&R Blockdiscriminatory practices (non-employment)2011MA-AG$125,000,000
H&R Block Financial Advisors, Inc.H&R Blockinvestor protection violation2010FINRA$200,000
H&R Block Financial Advisors, Inc.H&R Blockinvestor protection violation2004FINRA$825,000
H&R Block Financial AdvisorsH&R Blockprivacy violation2001MO-AG$15,000
H&R Block Eastern Enterprises IncH&R Blockwage and hour violation2014WHD$24,928
H&R BlockH&R Blockwage and hour violation2013private lawsuit-federal$221,400
H&R BlockH&R Blockwage and hour violation2012private lawsuit-state$7,500,000
H&R BlockH&R Blockwage and hour violation2012private lawsuit-federal$35,000,000
H&R BlockH&R Blockwage and hour violation2010private lawsuit-federal$1,400,000
H&R BlockH&R Blockconsumer protection violation2003MULTI-AG$3,300,000
H&R BlockH&R Blockconsumer protection violation2009CA-AG$4,850,000
H&R BlockH&R Blockconsumer protection violation2010NY-AG$12,150,000
H&R BlockH&R Blockconsumer protection violation2008NY-AG$245,000
H&R BlockH&R Blockconsumer protection violation2002NY-NYCDCWP$4,000,000
H & R BlockH&R Blockwage and hour violation2015WHD$257,577
H & R BlockH&R Blockwage and hour violation2014WHD$128,872
H & R BlockH&R Blockwage and hour violation2003CA-LCO$12,000
Guy Carpenter & Company, IncMarsh & McLennaneconomic sanction violation2003OFAC$50,000
Guggenheim Partners Investment Management LLCGuggenheim Partnersinvestor protection violation2015SEC$20,000,000
Guardian Life Insurance Company of AmericaGuardian Life Insurancediscriminatory practices (non-employment)2009NY-AG$500,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2000NY-DFS$250,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2016NY-DFS$50,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2018SC-INS$10,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2020WA-INS$5,000
Guardian LifeGuardian Life Insuranceinsurance violation2015MULTI-AG$2,000,000
GUARANTEED RATE, INC.Guaranteed Rate Inc.wage and hour violation2015WHD$12,548
Guaranteed Rate, Inc.Guaranteed Rate Inc.consumer protection violation2017CA-DFPI$50,000
Guaranteed Rate, Inc.Guaranteed Rate Inc.consumer protection violation2014MA-BKG$25,000
Guaranteed Rate Inc.Guaranteed Rate Inc.False Claims Act and related2020DOJ_CIVIL$15,060,000
GUARANTEED RATE INCGuaranteed Rate Inc.wage and hour violation2015IL-DOL$7,291
Guaranteed Rate INCGuaranteed Rate Inc.wage and hour violation2015WHD$184,423
GUARANTEED RATE INCGuaranteed Rate Inc.wage and hour violation2021IL-DOL$5,335
Guaranteed RateGuaranteed Rate Inc.wage and hour violation2020MI-LEO$6,020
Guaranteed RateGuaranteed Rate Inc.wage and hour violation2018MI-LEO$7,191
GreenSky, LLCGoldman Sachsconsumer protection violation2021CFPB$11,500,000
GreenSky Servicing LLCGoldman Sachsconsumer protection violation2017NJ-AG$160,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.