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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $343,567,149,199
Number of Records: 7,165
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$83,354,221,356271
JPMorgan Chase$36,129,286,132223
Citigroup$25,740,655,365159
Wells Fargo$22,081,458,643229
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
Morgan Stanley$10,167,765,234190

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 icon . Primary Offense TypeYearAgencyPenalty Amount
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
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
Visa Inc.Visaconsumer protection violation2018NM-AG$2,270,000
Visa USA Inc.Visaprice-fixing or anti-competitive practices2008WV-AG$6,400,000
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
Vanguard GroupVanguard Groupemployment discrimination2010EEOC$300,000
Vanguard Group, Inc.Vanguard Groupemployment discrimination2008EEOC$500,000
Vanguard Advisers Inc.Vanguard Groupinvestor protection violation2017PA-BKG$23,480
USAA InsuranceUSAAlabor relations violation2005NLRB$125,361
USAAUSAAwage and hour violation2008private lawsuit-federal$738,423
USAA Federal Savings BankUSAAconsumer protection violation2019CFPB$15,500,000
United Services Automobile AssociationUSAAdiscriminatory practices (non-employment)2014MA-AG$50,000
United Services Automobile AssociationUSAAconsumer protection violation2010MA-AG$25,000
United Services Automobile AssociationUSAAconsumer protection violation2010MA-AG$2,300,000
USAA Federal Savings BankUSAAconsumer protection violation2003NY-AG$33,500
United Services Automobile Association et al.USAAinsurance violation2016DE-INS$34,000
United Service Automobile Association et al.USAAinsurance violation2019DE-INS$32,500
USAA Life Insurance Co.USAAinsurance violation2007FL-OFR$22,500
USAA Life Insurance Co.USAAinsurance violation2009FL-OFR$50,000
United Services Automobile AssociationUSAAinsurance violation2001KS-INS$5,000
USAA Life Insurance Co.USAAinsurance violation2014MD-INS$9,000
USAA Casualty Insurance Co. et al.USAAinsurance violation2014MD-INS$5,000
USAA Casualty Insurance Co.USAAinsurance violation2014MN-FIN$5,000
USAA Casualty Insurance Co.USAAinsurance violation2015MN-FIN$50,000
United Services Automobile Association et al.USAAinsurance violation2007MO-INS$6,000
USAA Casualty Insurance and United Services Auto AssociationUSAAinsurance violation2003NJ-DBI$6,200,000
USAAUSAAinsurance violation2002OH-INS$30,000
USAA Life Insurance Company of New YorkUSAAinsurance violation2016NY-DFS$10,000
United Services Automobile AssociationUSAAinsurance violation2018OR-FIN$6,200
USAA General Indemnity CompanyUSAAinsurance violation2018OR-FIN$5,000
USAA General Indemnity CompanyUSAAinsurance violation2016RI-FIN$15,000
USAA Casualty Insurance CompanyUSAAinsurance violation2019RI-FIN$8,000
USAA Casualty Insurance CompanyUSAAinsurance violation2020RI-FIN$12,000
USAA Casualty Insurance Co.USAAinsurance violation2010SC-INS$7,000
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
UNITED SERVICES AUTOMOBILE ASSOCIATION et a.USAAinsurance violation2022WA-INS$50,000
UNUMUnumwage and hour violation2011WA-DLI$15,070
UNUM Life Insurance Company of AmericaUnumbenefit plan administrator violation2010private lawsuit-federal$5,000,000
Unum Life Insurance Co.UnumFalse Claims Act and related2005MA-AG$650,000
UnumProvident CorporationUnumconsumer protection violation2006NY-AG$17,400,000
UnumProvident CorporationUnumconsumer protection violation2004MULTI-AG$15,000,000
Unum GroupUnumkickbacks and bribery2008USAO$5,550,000
Unum Insurance Co.Unumkickbacks and bribery2008CA-MULTI$250,000
Unum Life Insurance Company of America et al.Unuminsurance violation2005CA-INS$8,598,503
UnumProvident Corp. et al.Unuminsurance violation2006CA-INS$700,000
Unum Life Insurance Company of AmericaUnuminsurance violation2014CA-INS$25,000
Unum Life Insurance Company of AmericaUnuminsurance violation2012MD-INS$19,000
Unum Life Insurance Company of AmericaUnuminsurance violation2015MD-INS$35,000
Provident Life and Accident Insurance Co.Unuminsurance violation2000NC-INS$80,000
UNUM LIFE INSURANCE COMPANYUnuminsurance violation2003VA-INS$14,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2010WA-INS$7,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2011WA-INS$75,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.