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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $395,312,528,119
Number of Records: 8,003
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$87,320,969,499333
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,618,169,231268
Citigroup$27,081,211,792183
Deutsche Bank$20,015,467,563100
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,924,502,443207
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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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
HARTFORD UNDERWRITERS INSURANCE COMPANY et al.Hartford Financial Servicesinsurance violation2023AZ-DIFI$30,000
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2023TX-INS$6,300
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$12,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$11,000
Hartford Accident and Indemnity Company et al.Hartford Financial Servicesinsurance violation2024KS-INS$37,950
Hartford Fire & Casualty Group et al.Hartford Financial Servicesinsurance violation2024NY-DFS$287,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2024TX-INS$19,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2024TX-INS$13,000
TWIN CITY FIRE INSURANCE COMPANYHartford Financial Servicesinsurance violation2024MO-INS$26,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2024TX-INS$6,000
THE HARTFORD FINANCIAL SERVICES GROUP, INC.Hartford Financial Servicesworkplace safety or health violation2011OSHA$5,600
Hanover Insurance Co.Hanover Insuranceconsumer protection violation2009MA-AG$415,000
Hanover Insurance GroupHanover Insuranceconsumer protection violation2010MA-AG$2,500,000
Hanover Insurance CompanyHanover Insuranceinsurance violation2001MA-INS$7,040
The Hanover Insurance Co.Hanover Insuranceinsurance violation2015MN-FIN$7,500
Hanover Insurance Co.Hanover Insuranceinsurance violation2004NJ-DBI$40,000
Hanover Insurance CompanyHanover Insuranceinsurance violation2011TX-INS$15,000
The Hanover Insurance CompanyHanover Insuranceinsurance violation2019TX-INS$20,000
The Hanover Insurance Co.Hanover Insuranceinsurance violation2014WI-INS$5,000
HANOVER INSURANCE GROUPHanover Insuranceenvironmental violation2002MA-ENV$10,000
Hanover Insurance CompanyHanover Insuranceinsurance violation2023TX-INS$8,000
Hanover Insurance CompanyHanover Insuranceinsurance violation2023TX-INS$30,000
Hanover Insurance CompanyHanover Insuranceinsurance violation2023TX-INS$17,500
Hanmi BankHanmi Financial Corp.banking violation2007FED$8,835
Hanmi BankHanmi Financial Corp.economic sanction violation2004OFAC$7,000
FIRST NBC BANKHancock Whitney Corp.benefit plan administrator violation2011EBSA$10,001
H & R BlockH&R Blockwage and hour violation2015WHD$257,577
H & R BlockH&R Blockwage and hour violation2014WHD$128,872
H&R Block Eastern Enterprises IncH&R Blockwage and hour violation2014WHD$24,928
H & R BlockH&R Blockwage and hour violation2003CA-LCO$12,000
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 Block Financial AdvisorsH&R Blockprivacy violation2001MO-AG$15,000
H&R Block, Inc.H&R Blockdiscriminatory practices (non-employment)2011MA-AG$125,000,000
H&R BlockH&R Blockconsumer protection violation2002NY-NYCDCWP$4,000,000
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 BlockH&R Blockconsumer protection violation2024FTC$7,000,000
Gunvor S.A.Gunvor GroupForeign Corrupt Practices Act2024DOJ_CRIMINAL$661,698,515
Guggenheim Partners Investment Management LLCGuggenheim Partnersinvestor protection violation2015SEC$20,000,000
Guardian LifeGuardian Life Insuranceinsurance violation2015MULTI-AG$2,000,000
Guardian Life Insurance Company of AmericaGuardian Life Insurancediscriminatory practices (non-employment)2009NY-AG$500,000
The Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2007MA-AG$20,000
Berkshire Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2019CT-INS$7,500
The Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2008FL-OFR$10,500
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2000NY-DFS$250,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2016NY-DFS$50,000
The Guardian Insurance & Annuity Company, Inc.Guardian Life Insuranceinsurance violation2019NY-DFS$442,589
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2018SC-INS$10,000
THE GUARDIAN LIFE INSURANCE COGuardian Life Insuranceinsurance violation2004VA-INS$27,000
THE GUARDIAN LIFE INSURANCE COGuardian Life Insuranceinsurance violation2010VA-INS$62,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2020WA-INS$5,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2024MD-INS$10,000
GUARANTEED RATE, INC.Guaranteed Rate Inc.wage and hour violation2015WHD$12,548
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 Inc.Guaranteed Rate Inc.False Claims Act and related2020DOJ_CIVIL$15,060,000
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 RateGuaranteed Rate Inc.wage and hour violation2020MI-LEO$6,020
Guaranteed RateGuaranteed Rate Inc.wage and hour violation2018MI-LEO$7,191
GUARANTEED RATE INCGuaranteed Rate Inc.wage and hour violation2021IL-DOL$5,335
GREAT SOUTHERN BANKGreat Southern Bancorpbanking violation2011FDIC$21,935
Goldman SachsGoldman Sachsmortgage abuses2013FED$330,000,000
Goldman SachsGoldman Sachstoxic securities abuses2016DOJ$5,060,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2016SEC$15,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2015SEC$7,000,000
Goldman Sachs & Co.Goldman Sachscampaign finance violation2012SEC$12,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2012SEC$22,000,000
Goldman Sachs & Co.Goldman Sachstoxic securities abuses2010SEC$550,000,000
Goldman Sachs & Co.Goldman Sachstoxic securities abuses2014FHFA$3,150,000,000
Goldman SachsGoldman Sachsinvestor protection violation2012CFTC$1,500,000
Goldman Sachs Execution & Clearing LPGoldman Sachsinvestor protection violation2012CFTC$7,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2015SEC$500,000
Goldman Sachs GroupGoldman Sachsbanking violation2016FED$36,300,000
Goldman Sachs Execution and Clearing L.P.Goldman Sachsinvestor protection violation2007SEC$2,000,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2006SEC$1,500,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2005SEC$40,000,000
Spear, Leeds & Kellogg Specialists LLCGoldman Sachsinvestor protection violation2004SEC$45,272,478
Goldman SachsGoldman Sachsinvestor protection violation2003SEC$9,305,382
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2003SEC$110,000,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2002SEC$1,650,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2000SEC$5,200,000
Goldman SachsGoldman Sachsprice-fixing or anti-competitive practices2016CFTC$120,000,000
Synagro Technologies, IncGoldman Sachswage and hour violation2005WHD$149,141
Synagro West, LLCGoldman Sachswage and hour violation2005WHD$97,862
Goldman Sachs Bank USAGoldman Sachsbanking violation2018FED$90,000
Goldman SachsGoldman Sachsmortgage abuses2018FED$14,000,000
Goldman Sachs Group, Inc.Goldman Sachsinvestor protection violation2018FED$54,750,000
NEOVIA LOGISTICSGoldman Sachsaviation safety violation2016FAA$35,000
NEOVIA LOGISTICSGoldman Sachsaviation safety violation2015FAA$5,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsinvestor protection violation2010SEC$225,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLCGoldman Sachsinvestor protection violation2009SEC$7,200,000
Synagro NortheastGoldman Sachsenvironmental violation2017EPA$104,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2004SEC$2,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.