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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
New England Life Insurance Co.Brighthouse Financialinsurance violation2006CO-INS$32,000
NEW ENGLAND LIFE INSURANCE CO.Brighthouse Financialinsurance violation2002VA-INS$9,000
New Day Financial, LLC d/b/a NewDay USANew Day Financial LLCconsumer protection violation2015WA-FIN$120,000
New Day Financial, LLC d/b/a NewDay USANew Day Financial LLCinvestor protection violation2015MULTI-FIN$5,160,000
New Day Financial LLC dba New Day USANew Day Financial LLCconsumer protection violation2015NY-DFS$1,000,000
New Day Financial LLCNew Day Financial LLCconsumer protection violation2011PA-BKG$57,500
Netherlands Insurance CompanyLiberty Mutual Insuranceinsurance violation2014TX-INS$6,801
NEOVIA LOGISTICS SERVICES, LLCGoldman Sachsworkplace safety or health violation2017OSHA$7,605
Neovia Logistics ServicesGoldman Sachsaviation safety violation2015FAA$116,250
NEOVIA LOGISTICS DISTRIBUTION, LLCGoldman Sachsworkplace safety or health violation2016OSHA$5,000
NEOVIA LOGISTICS DISTRIBUTION, LLCGoldman Sachsworkplace safety or health violation2018OSHA$10,000
NEOVIA LOGISTICS DISTRIBUTION LPGoldman Sachsworkplace safety or health violation2022OSHA$24,435
NEOVIA LOGISTICSGoldman Sachsaviation safety violation2016FAA$35,000
NEOVIA LOGISTICSGoldman Sachsaviation safety violation2015FAA$5,000
NeoviaGoldman Sachslabor relations violation2023NLRB$7,000
Nelnet, Inc.Nelnetconsumer protection violation2008NY-AG$200,000
Nelnet, Inc.Nelnetconsumer protection violation2024MA-AG$1,800,000
Nelnet Inc.NelnetFalse Claims Act and related2010DOJ_CIVIL$47,000,000
Nelnet Inc.Nelnetconsumer protection violation2007NY-AG$2,000,000
NBT Bank, N.A.NBT Bancorpconsumer protection violation2022private lawsuit-federal$5,747,792
Navy Federal Credit UnionNavy Federal Credit Unionconsumer protection violation2016CFPB$28,500,000
Navy Federal Credit UnionNavy Federal Credit Unionenvironmental violation2017VA-ENV$7,426
Navy Federal Credit UnionNavy Federal Credit Unionconsumer protection violation2021private lawsuit-federal$16,000,000
Navigators Insurance CompanyHartford Financial Serviceseconomic sanction violation2015OFAC$271,815
Navigators Insurance CompanyHartford Financial Servicesinsurance violation2012OR-FIN$17,000
Navient Solutions, LLCNavientconsumer protection violation2021CT-BKG$25,400
Navient Solutions, LLCNavientconsumer protection violation2023VA-FIN$43,600
Navient Solutions, Inc.Navientbanking violation2014FDIC$33,300,000
Navient Solutions LLCNavientconsumer protection violation2023private lawsuit-federal$198,400,000
Navient CorporationNavientemployment discrimination2023OFCCP$700,000
Navient Corp. and Navient Solutions, LLCNavientconsumer protection violation2022NH-AG$3,590,988
Navient Corp.Navientconsumer protection violation2018private lawsuit-federal$275,000
NavientNavientconsumer protection violation2022MULTI-AG$1,850,000,000
NavientNavientconsumer protection violation2022ID-AG$3,972,316
NatWest Markets Securities Inc.NatWest Group PLCtoxic securities abuses2021NM-AG$4,642,857
NatWest Markets PlcNatWest Group PLCinvestor protection violation2018CFTC$750,000
NatWest Markets PlcNatWest Group PLCinvestor protection violation2019CFTC$850,000
NatWest Markets PlcNatWest Group PLCfraud2021DOJ_CRIMINAL$35,000,000
NatWest Markets PLCNatWest Group PLCprice-fixing or anti-competitive practices2023private lawsuit-federal$21,000,000
Natlonstar Mortgage LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2022MN-FIN$10,157
Nationwide Property and Casualty Insurance Company et al.Nationwideinsurance violation2023MD-INS$180,000
Nationwide Property and Casualty Insurance CompanyNationwideinsurance violation2014VA-INS$225,800
Nationwide Property and Casualty Insurance Co.Nationwideinsurance violation2007CO-INS$6,000
Nationwide Property & Casualty Insurance CompanyNationwideinsurance violation2015NY-DFS$7,000
NATIONWIDE MUTUAL INSURANCE ET AL.Nationwideinsurance violation2006VA-INS$45,000
Nationwide Mutual Insurance Company et al.Nationwideinsurance violation2021TX-INS$75,000
Nationwide Mutual Insurance CompanyNationwidewage and hour violation2005WHD$16,185
Nationwide Mutual Insurance CompanyNationwideFair Credit Reporting Act violation2006private lawsuit-federal$19,250,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2012MULTI-AG$7,200,000
Nationwide Mutual Insurance CompanyNationwideprivacy violation2017MULTI-AG$5,500,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2000OR-FIN$10,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2007OR-FIN$10,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2017PA-INS$10,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2017RI-FIN$154,228
Nationwide Mutual Insurance CompanyNationwideinsurance violation2013SD-INS$15,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2018MULTI-FIN$725,000
Nationwide Mutual Insurance CompanyNationwidewage and hour violation2021WHD$13,808
Nationwide Mutual Insurance Co.Nationwideinsurance violation2007CO-INS$8,500
Nationwide Mutual Insurance Co.Nationwideinsurance violation2015DE-INS$15,000
Nationwide Mutual Insurance Co.Nationwideinsurance violation2016MO-INS$51,250
NATIONWIDE MUTUAL INSURANCE CO ET ALNationwideinsurance violation2003VA-INS$64,080
Nationwide Mutual Insurance CoNationwidewage and hour violation2018WHD$210,373
NATIONWIDE MUTUAL FIRE, ET AL.Nationwideinsurance violation2011VA-INS$51,384
Nationwide Mutual Fire Insurance CompanyNationwideinsurance violation2019VA-INS$397,667
Nationwide Mutual Fire Insurance Co.Nationwideinsurance violation2007CO-INS$6,000
Nationwide Life Insurance CompanyNationwideinvestor protection violation2015SEC$8,000,000
Nationwide Life Insurance CompanyNationwideinsurance violation2012SD-INS$40,000
Nationwide Life Insurance CompanyNationwideinsurance violation2015SD-INS$10,000
Nationwide Life Insurance CompanyNationwideinsurance violation2010MULTI-FIN$2,100,000
Nationwide Life Insurance CompanyNationwideinsurance violation2022NY-DFS$5,640,000
NATIONWIDE LIFE INSURANCE COMPANYNationwideinsurance violation2022WA-INS$30,000
Nationwide Life Insurance Co. and Nationwide Life and Annuity Insurance Co.Nationwideinsurance violation2018DE-INS$45,500
Nationwide Life Insurance Co.Nationwideinsurance violation2015ID-INS$5,000
NATIONWIDE LIFE INSURANCE CO.Nationwideinsurance violation2006VA-INS$40,000
NATIONWIDE LIFE INSURANCE CO.Nationwideinsurance violation2015VA-INS$16,340
Nationwide Life Insurance Co.Nationwideinsurance violation2020CT-INS$10,000
Nationwide Life InsuranceNationwidebenefit plan administrator violation2015private lawsuit-federal$140,000,000
Nationwide Life InsuranceNationwideconsumer protection violation2005MA-AG$650,000
Nationwide Life And Annuity Insurance Company et al.Nationwideinsurance violation2021WA-INS$5,000
NATIONWIDE LIFE AND ANNUITY INSURANCE COMPANYNationwideinsurance violation2023WA-INS$140,273
Nationwide Life and Annuity Insurance Co.Nationwideinsurance violation2019CT-INS$16,500
Nationwide Life and Annuity Insurance Co.Nationwideinsurance violation2016FL-OFR$22,435
Nationwide Insurance Company of America et al.Nationwideinsurance violation2011IA-INS$52,000
Nationwide Insurance Company of America et al.Nationwideinsurance violation2018MN-FIN$25,000
Nationwide Insurance Company of AmericaNationwideinsurance violation2007CO-INS$81,500
Nationwide InsuranceNationwidewage and hour violation2011WHD$13,331
Nationwide InsuranceNationwidewage and hour violation2010WHD$9,109
Nationwide InsuranceNationwideconsumer protection violation2008MS-AG$40,000,000
Nationwide InsuranceNationwideconsumer protection violation2015WV-AG$5,750,000
Nationwide General Insurance CompanyNationwideinsurance violation2014NY-DFS$32,000
NATIONWIDE GENERAL INSURANCE COMPANYNationwideinsurance violation2022WA-INS$35,000
Nationwide General Insurance Co. et al.Nationwideinsurance violation2019DE-INS$56,600
Nationwide General Insurance Co. et al.Nationwideinsurance violation2018MD-INS$33,000
Nationwide General Insurance Co.Nationwideinsurance violation2016MD-INS$15,000
Nationwide General Insurance Co.Nationwideinsurance violation2021WA-INS$35,000
Nationwide Financial ServicesNationwideconsumer protection violation2008FL-OFR$7,000
Nationwide Credit, Inc.Altisource Portfolio Solutionswage and hour violation2005WHD$68,433
Nationwide Agribusiness Insurance CompanyNationwideinsurance violation2018WA-INS$25,000
Nationwide Agribusiness Insurance CompanyNationwideinsurance violation2023NY-DFS$50,000
Nationwide Agribusiness Insurance Co. and Farmland Mutual Insurance Co.Nationwideinsurance violation2013MO-INS$292,250
Nationwide Agribusiness Insurance Co.Nationwideinsurance violation2006KS-INS$7,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.