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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
WHEELABRATOR RIDGE ENERGY, INC.Macquarieenvironmental violation2004FL-DEP$19,000
WHEELABRATOR SAUGUS, INC.Macquarieworkplace safety or health violation2017OSHA$17,600
Wheelabrator Saugus, Wheelabrator Andover and Wheelabrator MillburyMacquarieenvironmental violation2011MA-AG$7,500,000
WHEELABRATOR SHASTA ENERGY CO, INCMacquarieworkplace safety or health violation2010OSHA$10,000
WHEELABRATOR SHASTA ENERGY CO.Macquarieworkplace safety or health violation2000OSHA$10,275
WHEELABRATOR SOUTH BROWARD, INC.Macquarieenvironmental violation2005FL-DEP$14,450
Wheelabrator South Broward, Inc.Macquarieenvironmental violation2021FL-DEP$78,000
Wheelabrator Westchester, L.P.Macquarielabor relations violation2005NLRB$13,000
William Penn Life Insurance CompanyLegal & General Group PLCinsurance violation2018NY-DFS$6,300,000
William Penn Life Insurance Company of New YorkLegal & General Group PLCinsurance violation2020NY-DFS$110,000
Williams Power Company Inc.JPMorgan Chasedata submission deficiencies2006DOJ_CRIMINAL$50,000,000
Willis GroupWillis Towers Watsonemployment discrimination2011private lawsuit-federal$11,595,038
Willis GroupWillis Towers Watsonemployment discrimination2008private lawsuit-federal$12,757,949
Willis Group Holdings Ltd.Willis Towers Watsonconsumer protection violation2007FL-AG$2,600,000
Willis Group Holdings Ltd.Willis Towers Watsonprice-fixing or anti-competitive practices2005NY-AG$50,000,000
Willis Group Holdings Ltd.Willis Towers Watsonprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Wilmington Finance Inc.OneMain Holdingswage and hour violation2008private lawsuit-federal$2,925,000
Wilmington Savings Fund Society, Federal Savings BankWSFS Financial Corp.banking violation2019OCC$85,265
Wilmington TrustM&T Bankaccounting fraud or deficiencies2014SEC$18,500,000
Wilmington Trust Co.M&T Bankemployment discrimination2004EEOC$70,000
Wilmington Trust Co.M&T Bankinvestor protection violation2005DE-SEC$50,000
Wilmington Trust CompanyM&T Bankinvestor protection violation2004SEC$125,000
Wilmington Trust CompanyM&T Bankinvestor protection violation2007SEC$100,000
Wilmington Trust Corp.M&T Bankbenefit plan administrator violation2014private lawsuit-federal$3,000,000
Wilmington Trust CorporationM&T Bankemployment discrimination2018EEOC$700,000
Wilmington Trust Investment Management, LLCM&T Bankinvestor protection violation2023SEC$1,327,147
Wilmington Trust N.A.M&T Bankbenefit plan administrator violation2017private lawsuit-federal$29,773,250
Wilmington Trust, N.A.M&T Bankbenefit plan administrator violation2020EBSA$88,000,000
Wilmington Trust, N.A.M&T Bankbenefit plan administrator violation2021private lawsuit-federal$5,500,000
Wintrust Financial CorporationWintrust Financial Corp.banking violation2019FED$1,012,500
WL Ross & Co. LLCInvescoinvestor protection violation2016SEC$2,300,000
Woodforest National BankWoodforest National Bankbanking violation2010OCC$33,000,000
Workmen's Auto Insurance Co.Mercury General Corporationinsurance violation2006CA-INS$100,000
Workmen's Auto Insurance CompanyMercury General Corporationinsurance violation2003IN-INS$8,000
World Acceptance CorporationWorld Acceptance Corporationwage and hour violation2019WHD$5,549
World Acceptance CorporationWorld Acceptance CorporationForeign Corrupt Practices Act2020SEC$21,700,000
World Acceptance Corporation, IncWorld Acceptance Corporationwage and hour violation2019WHD$6,582
World Group Securities, Inc.Aegoninvestor protection violation2010SEC$200,000
World Group Securities, Inc.Aegoninvestor protection violation2010AZ-CC$853,501
World Group Securities, Inc.Aegoninvestor protection violation2004ID-SEC$15,000
World Group Securities, Inc.Aegoninvestor protection violation2006MO-SEC$228,600
World Group Securities, Inc.Aegoninvestor protection violation2004FINRA$150,000
XL Insurance America Inc.AXAinsurance violation2011TX-INS$7,000
XL Insurance America Inc.AXAinsurance violation2022TX-INS$6,500
XL Insurance America Inc.AXAinsurance violation2022TX-INS$5,000
XL Insurance America Inc.AXAinsurance violation2023TX-INS$24,000
XL Insurance America, Inc.AXAinsurance violation2018TX-INS$32,000
XL Insurance America, Inc.AXAinsurance violation2019TX-INS$5,000
XL Insurance America, Inc.AXAinsurance violation2021TX-INS$17,000
XL Insurance America, Inc.AXAinsurance violation2021TX-INS$10,000
XL LIFE INSURANCE AND ANNUITYAXAinsurance violation2006VA-INS$10,000
XL Specialty Insurance Co.AXAinsurance violation2012MO-INS$21,000
XL Specialty Insurance Co.AXAinsurance violation2020TX-INS$7,000
XL Specialty Insurance Co.AXAinsurance violation2021TX-INS$15,825
XL Specialty Insurance CompanyAXAinsurance violation2011TX-INS$25,000
XL Specialty Insurance CompanyAXAinsurance violation2014TX-INS$8,500
XL Specialty Insurance CompanyAXAinsurance violation2018TX-INS$30,000
XL Specialty Insurance CompanyAXAconsumer protection violation2021RI-FIN$15,000
XL Specialty Insurance CompanyAXAinsurance violation2022TX-INS$10,000
XL Specialty Insurance CompanyAXAinsurance violation2022TX-INS$10,500
XL Specialty Insurance CompanyAXAinsurance violation2023TX-INS$22,500
XL Specialty Insurance CompanyAXAinsurance violation2023TX-INS$9,500
Xstrata CopperGlencorerailroad safety violation2011FRA$7,500
Xstrata CopperGlencorerailroad safety violation2012FRA$12,000
ZB N.A. (fka Zions First National Bank)Zions Bancorporationconsumer protection violation2017USAO$3,600,000
Zenith Insurance Co.Fairfax Financial Holdingsemployment discrimination2006EEOC$180,000
Zenith Insurance Co.Fairfax Financial Holdingsinsurance violation2012MO-INS$93,842
ZENITH INSURANCE COMPANYFairfax Financial Holdingsinsurance violation2001FL-OFR$6,850
Zions BancorporationZions Bancorporationwage and hour violation2009WHD$15,347
Zions Bancorporation dba California Bank & TrustZions Bancorporationconsumer protection violation2022private lawsuit-federal$14,000,000
Zions Direct, Inc.Zions Bancorporationinvestor protection violation2010FINRA$225,000
Zions First National BankZions Bancorporationbanking violation2011OCC$8,000,000
Zions First National BankZions Bancorporationconsumer protection violation2014private lawsuit-federal$2,500,000
ZURICH AMERICAN INS COZurich Insurancewage and hour violation2018IL-DOL$13,865
Zurich American Insurance Co.Zurich Insuranceinsurance violation2006CA-INS$15,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$44,500
Zurich American Insurance Co.Zurich Insuranceinsurance violation2008FL-OFR$8,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2015ID-INS$5,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2011MD-INS$125,000
Zurich American Insurance Co. et al.Zurich Insuranceinsurance violation2011MD-INS$30,000
Zurich American Insurance Co. et al.Zurich Insuranceinsurance violation2013ME-INS$35,350
Zurich American Insurance Co. et al.Zurich Insuranceinsurance violation2016MO-INS$250,000
Zurich American Insurance Co. of IllinoisZurich Insuranceinsurance violation2020TX-INS$10,800
Zurich American Insurance CompanyZurich Insuranceprice-fixing or anti-competitive practices2006MULTI-AG$171,700,000
Zurich American Insurance CompanyZurich Insuranceprice-fixing or anti-competitive practices2006OH-AG$7,000,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2013NY-DFS$4,560,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2015SD-INS$100,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2016SD-INS$15,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2009TX-INS$15,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2010TX-INS$45,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2011TX-INS$10,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2012TX-INS$35,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$47,735
Zurich American Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$5,500
Zurich American Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$90,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$15,200
Zurich American Insurance CompanyZurich Insuranceinsurance violation2016TX-INS$35,012
Zurich American Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$8,500
Zurich American Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$32,400
Zurich American Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$42,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2019TX-INS$15,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.