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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $394,610,993,640
Number of Records: 7,983
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$87,299,969,499332
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,617,269,231267
Citigroup$27,081,211,792183
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,909,502,443206
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 ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
NBT Bank, N.A.NBT Bancorpconsumer protection violation2022private lawsuit-federal$5,747,792
Esurance Insurance CompanyAllstateinsurance violation2022CT-INS$37,000
Allstate Fire and Casualty Insurance CompanyAllstateinsurance violation2022CT-INS$86,500
Allstate Insurance CompanyAllstateinsurance violation2022CT-INS$29,500
Reliance Standard Life Insurance CompanyTokio Marineinsurance violation2022CT-INS$9,000
Arch Insurance CompanyArch Capitalinsurance violation2022CT-INS$6,500
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2022CT-INS$20,000
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2022CT-INS$68,000
Metropolitan Group Property & Casualty Insurance CompanyZurich Insuranceinsurance violation2022CT-INS$34,000
Ameritas Life Insurance CompanyAmeritas Mutual Holding Companyinsurance violation2022CT-INS$31,500
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022CT-INS$12,000
Aon Risk ServicesAonemployment discrimination2022NY-NYCCHR$80,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasewage and hour violation2022CO-LAE$5,838
Rocket MortgageRocket Companies Inc.wage and hour violation2022MI-LEO$57,000
Securian FinancialSecurian Financialwage and hour violation2022MI-LEO$12,530
The McClatchy CompanyChatham Asset Managementlabor relations violation2022NLRB$15,482
WELLS FARGO BANK NAWells Fargowage and hour violation2022IL-DOL$18,049
PNC BANK N APNC Financial Serviceswage and hour violation2022IL-DOL$7,600
WELLS FARGO BANK NAWells Fargowage and hour violation2022IL-DOL$18,049
BANK OF AMERICA CORPBank of Americawage and hour violation2022IL-DOL$9,660
JP Morgan Chase Bank, N.A.JPMorgan Chasewage and hour violation2022WA-DLI$9,526
JP Morgan Chase Bank, N.A.JPMorgan Chasewage and hour violation2022WA-DLI$9,526
State Farm Fire and Casualty Co.State Farm InsuranceFalse Claims Act and related2022private lawsuit-federal$100,000,000
Liberty Insurance Underwriters, Inc.Liberty Mutual Insuranceinsurance violation2022NJ-DBI$1,778,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2022NJ-DBI$142,800
Allstate Life Insurance Company of New YorkAllstatewage and hour violation2022NY-DOL$10,778
Carolina Coastal Railway, Inc.3i Infrastructure PLCrailroad safety violation2022FRA$5,625
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2022OSHA$12,327
BUCKEYE TEXAS PROCESSING, LLCIFM Investorsworkplace safety or health violation2022OSHA$14,502
BOYD CORPORATIONGoldman Sachsworkplace safety or health violation2022OSHA$14,917
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2022OSHA$15,948
SYNAGRO WWT INCGoldman Sachsworkplace safety or health violation2022OSHA$11,095
NYRSTAR CLARKSVILLE INC.Trafiguraworkplace safety or health violation2022OSHA$14,400
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2022OSHA$36,250
NEOVIA LOGISTICS DISTRIBUTION LPGoldman Sachsworkplace safety or health violation2022OSHA$24,435
SYNAGRO WEST, LLCGoldman Sachsworkplace safety or health violation2022OSHA$16,200
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$11,500
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$41,474
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$6,725
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$6,725
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$15,141
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$16,823
Solium Financial ServicesMorgan Stanleyinvestor protection violation2021DC-DISB$9,879
JPMorgan Chase BankJPMorgan Chasediscriminatory practices (non-employment)2021HUD$50,000
New York Life Insurance & Annuity CorporationNew York Life Insuranceconsumer protection violation2021NY-DFS$10,929,000
First American Title Co.First American Financialinsurance violation2021CA-INS$50,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$75,000
John Hancock Life Insurance Co.Manulife Financialinsurance violation2021DE-INS$5,000
Deutsche BankDeutsche BankForeign Corrupt Practices Act2021DOJ_CRIMINAL$87,091,424
Capital One, National AssociationCapital One Financialanti-money-laundering deficiencies2021FINCEN$290,000,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2021MN-FIN$10,000
CitibankCitigroupconsumer protection violation2021MULTI-AG$4,200,000
E*Trade Securities LLCMorgan Stanleyinvestor protection violation2021NH-BSR$5,000
BUCKEYE PIPE LINE COIFM Investorsair pollution violation2021NJ-ENV$16,000
American International GroupAmerican International Groupinsurance violation2021NY-DFS$12,000,000
Liberty Northwest Insurance Corp.Liberty Mutual Insuranceinsurance violation2021OR-FIN$5,000
Safeco Insurance Company of OregonLiberty Mutual Insuranceinsurance violation2021OR-FIN$5,000
Deutsche Bank AGDeutsche BankForeign Corrupt Practices Act2021SEC$43,000,000
Nationwide Mutual Insurance Company et al.Nationwideinsurance violation2021TX-INS$75,000
Farmers Insurance Exchange and Truck Insurance ExchangeFarmers Insurance Exchangeinsurance violation2021VA-INS$15,950
CMFG Life Insurance CompanyCUNA Mutualinsurance violation2021VA-INS$7,500
Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2021VT-FIN$287,000
Travelers Home and Marine Insurance CompanyTravelersinsurance violation2021WA-INS$10,000
Wells Fargo & Co.Wells Fargoemployment discrimination2021private lawsuit-federal$18,700,000
Aon Hewitt Health Market Insurance Solutions, Inc.Aonwage and hour violation2021private lawsuit-federal$1,250,000
BB&T Equipment Finance LLCTruist Financialconsumer protection violation2021CA-DFPI$75,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$10,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$30,000
E-Trade Financial Corporate Services, Inc.Morgan Stanleyconsumer protection violation2021CT-BKG$10,000
Prudential Retirement Insurance and Annuity CompanyPrudential Financialinsurance violation2021CT-INS$300,000
AMERICAN HEALTH AND LIFE INSURANCE COMPANYOneMain Holdingsinsurance violation2021MO-INS$7,500
TRANSAMERICA LIFE INSURANCE COMPANYAegoninsurance violation2021MO-INS$11,000
FIDELITY NATIONAL TITLE INSURANCE COMPANYFidelity National Financialinsurance violation2021MO-INS$45,900
USAA Casualty Insurance Company et al.USAAinsurance violation2021NH-INS$25,000
First Unum Life Insurance Company of America and Paul Revere Life Insurance CompanyUnumprivacy violation2021NY-DFS$1,800,000
American Family Connect Insurance CompanyAmerican Family Insuranceinsurance violation2021NY-DFS$23,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2021NY-DFS$22,000
Farmers InsuranceZurich Insuranceinsurance violation2021OK-AG$25,000,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2021SD-SEC$20,000
Ace American Insurance CompanyChubb Limitedinsurance violation2021UT-INS$41,500
Transamerica Premier Life Insurance CompanyAegoninsurance violation2021VT-FIN$84,000
Metropolitan Property and Casualty Insurance CompanyZurich Insuranceinsurance violation2021VT-FIN$13,000
United Services Automobile Association et al.USAAinsurance violation2021VA-INS$10,000
AMERICAN FAMILY INSURANCE COMPANYAmerican Family Insuranceinsurance violation2021WA-INS$50,000
HSBC SECURITIES USA INCHSBCinsurance violation2021WA-INS$10,000
STANDARD FIRE INSURANCE COMPANYTravelersinsurance violation2021WA-INS$5,000
ALLIED PROPERTY AND CASUALTY INSURANCE COMPANY ET AL.Nationwideinsurance violation2021WA-INS$20,000
NATIONAL CASUALTY COMPANYNationwideinsurance violation2021WA-INS$50,000
State Farm Fire & Casualty CoState Farm Insuranceinsurance violation2021WI-INS$10,000
Coinbase Inc.Coinbase Global Inc.investor protection violation2021CFTC$6,500,000
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2021EBSA$50,000
Bank of the WestBank of Montrealbanking violation2021FDIC$281,000
Bryn Mawr Trust CompanyWSFS Financial Corp.banking violation2021FED$105,000
Wells Fargo BankWells Fargodiscriminatory practices (non-employment)2021HUD$125,000
Bank Julius Baer & Co. Ltd.Julius Baer Groupmoney laundering2021DOJ_CRIMINAL$79,000,000
Swiss Life Holding AG et al.Swiss Life Grouptax violations2021DOJ_TAX$77,374,337
State Street CorporationState Street Corp.fraud2021USAO$115,000,000
American Express Travel Related Services Co.American Expresswage and hour violation2021WHD$5,663
First American Title Co.First American Financialinsurance violation2021CA-INS$1,185,000
First American Title Co.First American Financialinsurance violation2021CA-INS$55,000
Jefferson National Life Insurance Co.Nationwideinsurance violation2021CA-INS$165,342
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.