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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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Keybank National AssociationKeyCorpbanking violation2007OCC$27,750
KEYBANK NATIONAL ASSOCIATIONKeyCorpworkplace safety or health violation2004OSHA$28,000
KeyCorpKeyCorpwage and hour violation2012private lawsuit-federal$6,250,000
Knight Capital Americas LLCVirtu Financialinvestor protection violation2013SEC$12,000,000
Knight Financial Products, LLCVirtu Financialinvestor protection violation2009SEC$2,040,000
Knight Securities L.P.Virtu Financialinvestor protection violation2002FINRA$1,500,000
Knight Securities, L.P.Virtu Financialinvestor protection violation2004SEC$66,500,000
Knight Securities, L.P.Virtu Financialinvestor protection violation2002SEC$75,000
Knight Securities, L.P.Virtu Financialinvestor protection violation2004FINRA$12,500,000
LaSalle BankBank of Americabenefit plan administrator violation2011private lawsuit-federal$13,500,000
Lasalle Bank MidWest National AssociationBank of Americabanking violation2007OCC$125,000
Lasalle Bank MidWest National AssociationBank of Americabanking violation2005OCC$6,250,000
Lasalle Bank National AssociationBank of Americabanking violation2007OCC$79,524
LAVA TRADING INC.Citigroupbenefit plan administrator violation2006EBSA$50,001
LavaFlow Inc.Citigroupinvestor protection violation2014SEC$5,000,000
Lawyers Title CompanyFidelity National Financialinsurance violation2018UT-INS$93,500
LAWYERS TITLE COMPANYFidelity National Financialinsurance violation2022CA-INS$50,000
Lawyers Title Insurance Corp.Fidelity National Financialinsurance violation2007IN-INS$9,000
Lawyers Title Insurance Corp.Fidelity National Financialinsurance violation2010MO-INS$190,000
Legg Mason Fund Adviser, Inc.Franklin Resourcesinvestor protection violation2001SEC$50,000
Legg Mason Inc.Franklin ResourcesForeign Corrupt Practices Act2018DOJ_CRIMINAL$64,200,000
Legg Mason Inc.Franklin ResourcesForeign Corrupt Practices Act2018SEC$34,500,000
Legg Mason Wood Walker, Inc.Franklin Resourcesinvestor protection violation2004SEC$2,315,467
Legg Mason Wood Walker, IncorporatedFranklin Resourcesinvestor protection violation2005SEC$1,000,000
Legg Mason Wood Walker, IncorporatedFranklin Resourcesinvestor protection violation2001SEC$50,000
LendingClub Asset Management LLCLendingClub Corp.investor protection violation2018SEC$5,000,000
LendingClub Corp.LendingClub Corp.investor protection violation2015CA-DFPI$46,000
LendingClub Corp.LendingClub Corp.investor protection violation2012FL-OFR$100,000
LendingClub Corp.LendingClub Corp.investor protection violation2012MO-SEC$105,000
LendingClub Corp.LendingClub Corp.consumer protection violation2021FTC$18,000,000
LendingClub Corp. and Springstone Financial, LLCLendingClub Corp.consumer protection violation2018MA-BKG$2,000,000
LendingClub CorporationLendingClub Corp.banking violation2018USAO$2,000,000
LendingClub CorporationLendingClub Corp.consumer protection violation2020MA-AG$1,250,000
LendingClub CorporationLendingClub Corp.investor protection violation2013ME-SEC$45,000
LendingClub CorporationLendingClub Corp.investor protection violation2015SC-SEC$150,000
LendingClub CorporationLendingClub Corp.investor protection violation2020TX-SEC$400,000
LendingTree LLCLendingTreeprivacy violation2024private lawsuit-federal$875,000
LendingTree, LLCLendingTreeconsumer protection violation2016KY-FIN$25,000
LendingTree, LLCLendingTreeconsumer protection violation2021MA-BKG$34,000
LIBERTY INSURANCE CORP et al.Liberty Mutual Insuranceinsurance violation2017VA-INS$8,652
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2016MO-INS$8,000
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2016VT-FIN$28,000
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$7,000
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$14,000
Liberty Insurance Corp. et al.Liberty Mutual Insuranceinsurance violation2018MN-FIN$30,000
Liberty Insurance Corp. et al.Liberty Mutual Insuranceinsurance violation2017MO-INS$20,000
LIBERTY INSURANCE CORP. ET AL.Liberty Mutual Insuranceinsurance violation2007VA-INS$15,000
LIBERTY INSURANCE CORP., ET ALLiberty Mutual Insuranceinsurance violation2009VA-INS$6,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2020MN-FIN$15,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2010TX-INS$153,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2012TX-INS$5,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2014TX-INS$9,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2015TX-INS$20,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2015TX-INS$32,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2015TX-INS$6,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$5,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$8,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$7,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2017TX-INS$13,750
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2018TX-INS$19,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2018TX-INS$5,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2019TX-INS$6,500
LIBERTY INSURANCE CORPORATIONLiberty Mutual Insuranceinsurance violation2015VA-INS$32,675
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2022TX-INS$20,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2022TX-INS$12,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2022TX-INS$24,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$22,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$7,500
Liberty Insurance Underwriters Inc.Liberty Mutual Insuranceinsurance violation2008PA-INS$5,000
Liberty Insurance Underwriters Inc.Liberty Mutual Insuranceinsurance violation2003SC-INS$8,000
Liberty Insurance Underwriters Inc.Liberty Mutual Insuranceinsurance violation2000WI-INS$10,000
Liberty Insurance Underwriters, Inc.Liberty Mutual Insuranceinsurance violation2022NJ-DBI$1,778,000
Liberty MutualLiberty Mutual Insurancewage and hour violation2005private lawsuit-federal$6,400,000
Liberty MutualLiberty Mutual Insuranceconsumer protection violation2007MA-AG$50,000
Liberty MutualLiberty Mutual Insuranceinsurance violation2015NJ-DBI$25,000
LIBERTY MUTUAL FIRE INSURANCELiberty Mutual Insuranceinsurance violation2018VA-INS$108,053
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2018DE-INS$76,000
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2011MD-INS$15,000
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2011MD-INS$15,000
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2016MD-INS$15,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2014NY-DFS$46,800
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2010TX-INS$50,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2013TX-INS$7,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2015TX-INS$35,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2016TX-INS$21,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2016TX-INS$8,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2019TX-INS$32,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2019VA-INS$27,828
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2010WA-INS$35,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2019WA-INS$30,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2020DE-INS$20,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2021TX-INS$38,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2022TX-INS$5,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2022TX-INS$6,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2023TX-INS$11,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2023TX-INS$14,500
Liberty Mutual General Insurance CompanyLiberty Mutual Insuranceinsurance violation2016UT-INS$5,000
Liberty Mutual General Insurance CompanyLiberty Mutual Insuranceinsurance violation2016UT-INS$10,000
Liberty Mutual GroupLiberty Mutual Insuranceinsurance violation2007AK-INS$32,500
Liberty Mutual Group Inc. and Safeco Insurance Company of OregonLiberty Mutual Insuranceinsurance violation2021OR-FIN$120,000
Liberty Mutual Group, Inc.Liberty Mutual Insuranceconsumer protection violation2016CA-MULTI$925,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.