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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,660,984,318
Number of Records: 7,055
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$83,124,221,356268
JPMorgan Chase$36,129,269,434222
Citigroup$25,540,655,365157
Wells Fargo$22,081,446,244228
Deutsche Bank$18,341,457,30276
UBS$16,880,243,334103
Goldman Sachs$16,399,475,84887
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,154,369,73321
Credit Suisse$10,732,400,12649

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
United Services Automobile AssociationUSAAinsurance violation2011SC-INS$8,000
United Services Automobile Association et al.USAAinsurance violation2018TX-INS$40,000
United Services Automobile AssociationUSAAinsurance violation2006VA-INS$5,000
United Services Automobile AssociationUSAAinsurance violation2007VA-INS$6,000
UNITED SERVICES AUTOMOBILE ASSOCIATION ET AL.USAAinsurance violation2017VA-INS$182,209
USAA CASUALTY INSURANCE CO ET AL.USAAinsurance violation2018VA-INS$4,396,720
United Services Automobile Association (USAA)USAAinsurance violation2017VT-FIN$85,000
USAA General Indemnity Co. et al.USAAinsurance violation2020MD-INS$67,500
USAA Casualty Insurance Co.USAAinsurance violation2020OR-FIN$50,000
USAA Federal Savings BankUSAAbanking violation2020OCC$85,000,000
USAA Federal Savings BankUSAAbanking violation2020OCC$382,500
USAA Casualty Insurance Company et al.USAAinsurance violation2021NH-INS$25,000
United Services Automobile Association et al.USAAinsurance violation2021VA-INS$10,000
United Services Automobile AssociationUSAAinsurance violation2021CT-INS$32,500
USAA Casualty Insurance Co.USAAinsurance violation2021CT-INS$36,500
USAA Indemnity Co.USAAinsurance violation2021CT-INS$32,500
USAA Casualty Insurance Company et al.USAAinsurance violation2021KS-INS$5,000
United Services Automobile Association et al.USAAconsumer protection violation2022VA-INS$71,358
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022OCC$60,000,000
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022FINCEN$80,000,000
Vanguard GroupVanguard Groupemployment discrimination2010EEOC$300,000
Vanguard Group, Inc.Vanguard Groupemployment discrimination2008EEOC$500,000
Vanguard Advisers Inc.Vanguard Groupinvestor protection violation2017PA-BKG$23,480
Knight Securities, L.P.Virtu Financialinvestor protection violation2004SEC$66,500,000
KCG Americas LLCVirtu Financialinvestor protection violation2015SEC$1,055,197
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 violation2002SEC$75,000
Virtu Americas LLCVirtu Financialinvestor protection violation2019SEC$1,500,000
Knight Securities, L.P.Virtu Financialinvestor protection violation2004FINRA$12,500,000
Knight Securities L.P.Virtu Financialinvestor protection violation2002FINRA$1,500,000
Visa Inc.Visaconsumer protection violation2018NM-AG$2,270,000
Visa USA Inc.Visaprice-fixing or anti-competitive practices2008WV-AG$6,400,000
Noble Americas Corp.Vitolrailroad safety violation2012FRA$15,000
Vitol Inc. and Vitol Capital Management Ltd.Vitolinvestor protection violation2010CFTC$6,000,000
Noble Americas Corp.Vitolinvestor protection violation2010CFTC$130,000
Vitol, Inc.Vitolemployment discrimination2012EEOC$62,500
Noble Americas CorporationVitolrailroad safety violation2017FRA$6,500
Vitol Inc.Vitolenergy market violation2019FERC$2,742,881
VITOL, S.A.Vitolkickbacks and bribery2007NY-MANDA$17,500,000
Vitol Inc.Vitolfraud2020CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $95,700,000
Vitol Inc.VitolForeign Corrupt Practices Act2020DOJ_CRIMINAL$135,000,000
Vitol, Inc.Vitolenvironmental violation2014CA-ARB$70,000
VitolVitolenvironmental violation2007CA-ARB$150,000
VitolVitolenvironmental violation2005CA-ARB$20,000
Vitol S.A.Vitolenvironmental violation2002CA-ARB$25,000
Vitol S.A., Inc.Vitolenvironmental violation2005EPA$41,600
Vitol Inc.Vitolenvironmental violation2014EPA$30,394
Vitol, Inc.Vitolenvironmental violation2015EPA$14,047
Vitol, Inc.Vitolenvironmental violation2016EPA$17,934
Vitol Inc.Vitolenvironmental violation2016EPA$9,814
VitolVitolenvironmental violation2017EPA$35,000
VITOL SA, INCVitolenvironmental violation2002EPA$95,000
ING AmericaVoya Financialwage and hour violation2010WHD$21,986
Voya Financial Advisors, Inc.Voya Financialinvestor protection violation2017SEC$3,095,953
Voya Holdings Inc.Voya Financialinvestor protection violation2018SEC$3,600,000
ING Life Insurance and Annuity Co.Voya Financialbenefit plan administrator violation2013EBSA$5,200,000
Voya Financial Advisors Inc.Voya Financialinvestor protection violation2018SEC$1,000,000
ING Life Insurance & Annuity Co.Voya Financialbenefit plan administrator violation2014private lawsuit-federal$14,950,000
ING Groep N.V.Voya Financialbenefit plan administrator violation2013private lawsuit-federal$3,500,000
INGVoya Financialinvestor protection violation2006MULTI-AG$33,000,000
ING Life Insurance and Annuity CompanyVoya Financialinsurance violation2013MULTI-AG$10,700,000
ING USA Annuity and Life Insurance Co.Voya Financialinsurance violation2007CO-INS$5,000
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc.Voya Financialinvestor protection violation2019CT-SEC$1,015,000
ING Financial Partners, Inc.Voya Financialinvestor protection violation2008IL-SEC$4,677,326
ING Financial Partners, Inc.Voya Financialinvestor protection violation2012MN-FIN$5,000
ING Life Insurance and Annuity Co. et al.Voya Financialinsurance violation2012MN-FIN$200,000
Voya Insurance and Annuity Co. et al.Voya Financialinsurance violation2014MN-FIN$1,250,000
ReliaStar Life Insurance Co.Voya Financialinsurance violation2014MN-FIN$30,000
ReliaStar Insurance Co.Voya Financialinsurance violation2017MN-FIN$5,000
ING Life Insurance and Annuity CompanyVoya Financialinvestor protection violation2006NH-BSR$3,000,000
ING Life Insurance and Annuity CompanyVoya Financialinsurance violation2004OR-FIN$10,000
RELIASTAR LIFE INSURANCE COVoya Financialinsurance violation2001VA-INS$9,000
RELIASTAR LIFE INSURANCE CO.Voya Financialinsurance violation2007VA-INS$8,000
Voya Financial Advisors, Inc.Voya Financialinvestor protection violation2020SEC$22,919,155
VOYA Financial Advisors Inc.Voya Financialinvestor protection violation2016FINRA$4,550,000
ING Groep N.V.Voya Financialinvestor protection violation2013FINRA$1,200,000
ING America Insurance Holdings Inc.Voya Financialinvestor protection violation2006FINRA$7,000,000
ING Funds DistributorVoya Financialinvestor protection violation2005FINRA$1,500,000
ING Financial Partners, Inc.Voya Financialinvestor protection violation2004FINRA$200,000
ReliaStar Life Insurance Company of New YorkVoya Financialinsurance violation2020NY-DFS$169,000
W.R. Berkley Corp.W.R. Berkleyinsurance violation2017CA-INS$3,015,000
Admiral Risk Insurance Services, Inc.W.R. Berkleyinsurance violation2017CA-INS$1,542,500
Admiral Insurance Co.W.R. Berkleyinsurance violation2017CA-INS$1,542,500
Continental Western Insurance Co.W.R. Berkleyinsurance violation2019CT-INS$23,000
Continental Western Insurance Co.W.R. Berkleyinsurance violation2008KS-INS$10,000
Continental Western Insurance Co.W.R. Berkleyinsurance violation2012KS-INS$6,000
Continental Western Insurance Co.W.R. Berkleyinsurance violation2007MO-INS$7,708
Continental Western Insurance Co.W.R. Berkleyinsurance violation2014MO-INS$12,000
Berkley National Insurance CompanyW.R. Berkleyinsurance violation2016TX-INS$8,000
CAROLINA CASUALTY INSURANCE COW.R. Berkleyinsurance violation2011VA-INS$10,000
CAROLINA CASUALTY INSURANCE COW.R. Berkleyinsurance violation2012VA-INS$5,000
ACADIA INSURANCE COMPANY ET ALW.R. Berkleyinsurance violation2018VA-INS$91,793
Acadia Insurance Company et al.W.R. Berkleyinsurance violation2019VA-INS$9,341
Berkley National Insurance CompanyW.R. Berkleyinsurance violation2018WA-INS$10,000
CONTINENTAL WESTERN INSURANCE COMPANYW.R. Berkleyinsurance violation2020WA-INS$10,000
Acadia Insurance Co.W.R. Berkleyinsurance violation2021TX-INS$8,250
Acadia Insurance CompanyW.R. Berkleyinsurance violation2022VT-FIN$100,000
W. R. BERKLEY CORPORATIONW.R. Berkleyworkplace safety or health violation2017OSHA$5,000
Washington FederalWashington Federal Inc.consumer protection violation2013CFPB$34,000
Washington Federal Bank, N.A.Washington Federal Inc.consumer protection violation2020CFPB$200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.