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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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
Western & Southern LifeWestern & Southern Financial Groupwage and hour violation2021MI-LEO$20,000
Western & Southern LifeWestern & Southern Financial Groupwage and hour violation2021MI-LEO$7,000
Ruesch International, Inc.Western Unioneconomic sanction violation2004OFAC$7,811
Western Union CompanyWestern Unionanti-money-laundering deficiencies2017DOJ_CRIMINAL$586,000,000
Western Union Financial Services, Inc.Western Unioneconomic sanction violation2019OFAC$401,697
Western Union Co.Western Unionconsumer protection violation2017MULTI-AG$5,000,000
Western Union Financial ServicesWestern Unionconsumer protection violation2005MULTI-AG$8,529,000
Western Union Financial Services, Inc.Western Unionanti-money-laundering deficiencies2010MULTI-AG$94,000,000
Western Union Financial Services, Inc.Western Unionconsumer protection violation2008AZ-DIFI$2,000,000
Western Union International Services LLCWestern Unionconsumer protection violation2019FL-OFR$10,000
Western Union Financial Services, Inc.Western Unionanti-money-laundering deficiencies2002NY-DFS$8,000,000
Western UnionWestern Unionanti-money-laundering deficiencies2018NY-DFS$60,000,000
Western Union Co.Western Unionconsumer protection violation2016private lawsuit-federal$133,000,000
Western Union Co.Western Unionconsumer protection violation2000private lawsuit-federal$375,000,000
WESTERN UNIONWestern Unionworkplace safety or health violation2015OSHA$11,000
Westpac Banking CorporationWestpac Bankingprice-fixing or anti-competitive practices2022private lawsuit-federal$25,000,000
WEX Bank and Higher One, Inc.WEX Inc.banking violation2015FDIC$34,980,000
WEX Inc.WEX Inc.investor protection violation2021SEC$350,000
Towers PerrinWillis Towers Watsonwage and hour violation2005WHD$105,865
Towers, Perrin, Forrester & CrosbyWillis Towers Watsonwage and hour violation2005WHD$294,279
Towers PerrinWillis Towers Watsonwage and hour violation2004WHD$376,093
Watson Wyatt & Co.Willis Towers Watsonlabor relations violation2005NLRB$91,000
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
Watson Wyatt & CompanyWillis Towers WatsonFalse Claims Act and related2005USAO$689,828
Towers PerrinWillis Towers Watsonbenefit plan administrator violation2011private lawsuit-federal$9,200,000
Willis Group Holdings Ltd.Willis Towers Watsonprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Wintrust Financial CorporationWintrust Financial Corp.banking violation2019FED$1,012,500
Woodforest National BankWoodforest National Bankbanking violation2010OCC$33,000,000
World Acceptance CorporationWorld Acceptance Corporationwage and hour violation2019WHD$5,549
World Acceptance Corporation, IncWorld Acceptance Corporationwage and hour violation2019WHD$6,582
World Acceptance CorporationWorld Acceptance CorporationForeign Corrupt Practices Act2020SEC$21,700,000
Wilmington Savings Fund Society, Federal Savings BankWSFS Financial Corp.banking violation2019OCC$85,265
Bryn Mawr Trust CompanyWSFS Financial Corp.banking violation2021FED$105,000
Zions First National BankZions Bancorporationbanking violation2011OCC$8,000,000
Zions BancorporationZions Bancorporationwage and hour violation2009WHD$15,347
ZB N.A. (fka Zions First National Bank)Zions Bancorporationconsumer protection violation2017USAO$3,600,000
Zions Direct, Inc.Zions Bancorporationinvestor protection violation2010FINRA$225,000
Zions Bancorporation dba California Bank & TrustZions Bancorporationconsumer protection violation2022private lawsuit-federal$14,000,000
Zions First National BankZions Bancorporationconsumer protection violation2014private lawsuit-federal$2,500,000
Zurich Financial ServicesZurich Insuranceaccounting fraud or deficiencies2008SEC$25,000,000
Zurich Capital Markets Inc.Zurich Insuranceinvestor protection violation2007SEC$16,800,000
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$565,065
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$754,148
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$20,122
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$209,170
Farmer's InsuranceZurich Insurancewage and hour violation2011WHD$1,520,705
Coast National InsuranceZurich Insurancewage and hour violation2002private lawsuit-state$18,000,000
Farmers Group, Inc.Zurich Insurancebenefit plan administrator violation2012private lawsuit-federal$6,850,000
Zurich Life Insurance Company LtdZurich Insurancetax violations2019DOJ_TAX$5,115,000
Farmers Insurance GroupZurich Insurancediscriminatory practices (non-employment)2001OH-AG$4,300,000
Farmers Insurance GroupZurich Insuranceconsumer protection violation2003TX-AG$2,400,000
Metropolitan Property & CasualtyZurich Insuranceconsumer protection violation2010MA-AG$20,000
Metropolitan Property & Casualty Co.Zurich Insuranceconsumer protection violation2019MS-AG$3,167,173
Metropolitan Property & Casualty Insurance Co.Zurich Insuranceconsumer protection violation2010MA-AG$3,500,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2013MA-AG$50,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2012MA-AG$395,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2000MA-AG$1,840,000
Universal Underwriters Life Insurance Co.Zurich Insuranceconsumer protection violation2008TX-AG$2,400,000
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 Company et al.Zurich InsuranceFalse Claims Act and related2010NY-AG$37,500,000
Coast National Insurance Co.Zurich Insuranceinsurance violation2009AZ-DIFI$38,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2015AZ-DIFI$58,000
Foremost Property & Casualty Insurance Co.Zurich Insuranceinsurance violation2015AZ-DIFI$21,000
Coast National Insurance Co.Zurich Insuranceinsurance violation2005CA-INS$120,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2006CA-INS$15,000
21st Century Insurance Co. and 21st Century Casualty Co.Zurich Insuranceinsurance violation2007CA-INS$50,000
Coast National Insurance Co.Zurich Insuranceinsurance violation2009CA-INS$150,000
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2011CO-INS$255,500
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2011CO-INS$66,000
Bristol West Insurance Co.Zurich Insuranceinsurance violation2011CO-INS$161,500
Zurich Insurance GroupZurich Insuranceinsurance violation2010CT-INS$235,000
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2019CT-INS$64,000
21st Century Centennial Insurance Co.Zurich Insuranceinsurance violation2016DE-INS$27,500
Foremost Property and Casualty Insurance Co. et al.Zurich Insuranceinsurance violation2019DE-INS$11,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$44,500
American Guarantee and Liability Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$10,850
Security National Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$31,500
Bristol West Insurance Co.Zurich Insuranceinsurance violation2004FL-OFR$26,500
Zurich American Insurance Co.Zurich Insuranceinsurance violation2008FL-OFR$8,000
Bristol West Insurance Co.Zurich Insuranceinsurance violation2008ID-INS$5,330
Zurich American Insurance Co.Zurich Insuranceinsurance violation2015ID-INS$5,000
Universal Underwriters Insurance CompanyZurich Insuranceinsurance violation2006IN-INS$948,240
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2012IN-INS$5,000
Metropolitan Property and Casualty Co.Zurich Insuranceinsurance violation2006KS-INS$5,000
Farmers Insurance Company, Inc.Zurich Insuranceinsurance violation2013KS-INS$50,000
Farmers Insurance Company, Inc.Zurich Insuranceinsurance violation2016KS-INS$20,000
Zurich DirectZurich Insuranceinsurance violation2002MA-INS$6,000
Zurich Life Insurance Company of AmericaZurich Insuranceinsurance violation2002MA-INS$12,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2003MA-INS$40,000
Zurich American Insurance Co. et al.Zurich Insuranceinsurance violation2011MD-INS$30,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2011MD-INS$125,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2014MD-INS$10,000
Empire Fire and Marine Insurance Co. et al.Zurich Insuranceinsurance violation2015MD-INS$8,000
Zurich American Insurance Co. et al.Zurich Insuranceinsurance violation2013ME-INS$35,350
Metropolitan Property and Casualty Insurance Co. et al.Zurich Insuranceinsurance violation2001MN-FIN$10,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceinsurance violation2002MN-FIN$7,500
Illinois Farmers Insurance Co.Zurich Insuranceinsurance violation2003MN-FIN$20,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.