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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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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Goldman Sachs & Co. LLCGoldman Sachsinvestor protection violation2023SEC$6,000,000
Goldman SachsGoldman Sachsemployment discrimination2023private lawsuit-federal$215,000,000
NeoviaGoldman Sachslabor relations violation2023NLRB$7,000
SYNAGRO TECHNOLOGIES, INC.Goldman Sachsworkplace safety or health violation2004OSHA$5,725
SYNAGRO A RESIDUALS MANAGEMENT COMPANYGoldman Sachsworkplace safety or health violation2008OSHA$13,000
SYNAGRO TECHNOLOGIES INC.Goldman Sachsworkplace safety or health violation2008OSHA$10,000
SYNAGROGoldman Sachsworkplace safety or health violation2012OSHA$7,000
NEOVIA LOGISTICS DISTRIBUTION, LLCGoldman Sachsworkplace safety or health violation2016OSHA$5,000
NEOVIA LOGISTICS SERVICES, LLCGoldman Sachsworkplace safety or health violation2017OSHA$7,605
NEOVIA LOGISTICS DISTRIBUTION, LLCGoldman Sachsworkplace safety or health violation2018OSHA$10,000
SYNAGRO-WWT, INC.Goldman Sachsworkplace safety or health violation2019OSHA$8,525
BOYD CORPORATIONGoldman Sachsworkplace safety or health violation2019OSHA$6,300
BOYD CORPORATIONGoldman Sachsworkplace safety or health violation2022OSHA$14,917
SYNAGRO WWT INCGoldman Sachsworkplace safety or health violation2022OSHA$11,095
NEOVIA LOGISTICS DISTRIBUTION LPGoldman Sachsworkplace safety or health violation2022OSHA$24,435
SYNAGRO WEST, LLCGoldman Sachsworkplace safety or health violation2022OSHA$16,200
SYNAGRO-WWT, INC.Goldman Sachsworkplace safety or health violation2023OSHA$16,500
GREAT SOUTHERN BANKGreat Southern Bancorpbanking violation2011FDIC$21,935
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
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
Guggenheim Partners Investment Management LLCGuggenheim Partnersinvestor protection violation2015SEC$20,000,000
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
FIRST NBC BANKHancock Whitney Corp.benefit plan administrator violation2011EBSA$10,001
Hanmi BankHanmi Financial Corp.banking violation2007FED$8,835
Hanmi BankHanmi Financial Corp.economic sanction violation2004OFAC$7,000
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
Navigators Insurance CompanyHartford Financial Serviceseconomic sanction violation2015OFAC$271,815
Hartford Financial Services Group, Inc.Hartford Financial Servicesinvestor protection violation2006SEC$55,000,000
Hartford Fire Insurance CompanyHartford Financial Serviceswage and hour violation2010WHD$25,448
Hartford Fire InsuranceHartford Financial Serviceswage and hour violation2016private lawsuit-federal$2,650,000
Hartford Fire InsuranceHartford Financial Serviceswage and hour violation2011private lawsuit-federal$1,200,000
Hartford Financial Services Group Inc.Hartford Financial Servicesbenefit plan administrator violation2012private lawsuit-federal$1,935,000
Hartford Life Insurance CompanyHartford Financial Servicesbenefit plan administrator violation2010private lawsuit-federal$13,775,000
Hartford Financial Services Group, Inc.Hartford Financial Servicesprice-fixing or anti-competitive practices2009CT-AG$1,300,000
Hartford Fire and Casualty GroupHartford Financial Servicesinsurance violation2016MULTI-AG$2,100,000
Hartford Financial Services Group, Inc.Hartford Financial Servicesprice-fixing or anti-competitive practices2007MULTI-AG$115,000,000
The Hartford Financial Services GroupHartford Financial Servicesinvestor protection violation2006MULTI-AG$20,000,000
Hartford Fire Insurance Co. et al.Hartford Financial Servicesinsurance violation2006CA-INS$125,000
Hartford Accident and Indemnity Co. et al.Hartford Financial Servicesinsurance violation2010CA-INS$40,000
Hartford Casualty Insurance Co.Hartford Financial Servicesinsurance violation2019CT-INS$57,500
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2019CT-INS$43,000
Property Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2019CT-INS$14,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2019CT-INS$141,500
Sentinel Insurance Co.Hartford Financial Servicesinsurance violation2019CT-INS$84,000
Hartford Underwriters Insurance Co. et al.Hartford Financial Servicesinsurance violation2019DE-INS$23,000
Hartford Underwriters Insurance Co. et al.Hartford Financial Servicesinsurance violation2020DE-INS$34,000
Property and Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2008FL-OFR$13,000
Sentinel Insurance Company Ltd.Hartford Financial Servicesinsurance violation2011IL-INS$9,000
Hartford Accident and Indemnity Co. et al.Hartford Financial Servicesinsurance violation2011MD-INS$125,000
Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2011MD-INS$95,000
Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2011MD-INS$12,500
Hartford Casualty Insurance Co. et al.Hartford Financial Servicesinsurance violation2014MD-INS$35,000
Hartford Accident and Indemnity Co. et al.Hartford Financial Servicesinsurance violation2015MD-INS$15,000
Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2016MD-INS$60,000
Twin City Fire Insurance Co. et al.Hartford Financial Servicesinsurance violation2016MD-INS$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.