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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 ParentPrimary Offense TypeYear sort icon . AgencyPenalty Amount
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$34,500
XL Insurance America Inc.AXAinsurance violation2022TX-INS$6,500
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2022TX-INS$6,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$16,500
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$7,500
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2022TX-INS$8,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2022TX-INS$24,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$8,000
XL Insurance America Inc.AXAinsurance violation2022TX-INS$5,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$11,000
Standard Fire Insurance CompanyTravelersinsurance violation2022TX-INS$8,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$22,000
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$9,500
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$20,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$5,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$58,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2022TX-INS$5,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$5,500
XL Specialty Insurance CompanyAXAinsurance violation2022TX-INS$10,500
Travelers Personal Insurance Company et al.Travelersinsurance violation2022TX-INS$7,344,048
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$17,500
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2022TX-INS$7,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$9,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$24,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$21,800
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$12,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$22,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$22,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$35,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$27,000
LPL Financial LLCLPL Financialinvestor protection violation2022TX-SEC$125,000
Travelers Personal Insurance CompanyTravelersinsurance violation2022VA-INS$167,427
Hartford Casualty Insurance Company et al.Hartford Financial Servicesinsurance violation2022VA-INS$30,030
AMERICAN FAMILY MUTUAL INSURANCE COMPANY S.I.American Family Insuranceinsurance violation2022WA-INS$10,000
STANDARD INSURANCE COMPANYMeiji Yasuda Life Insuranceinsurance violation2022WA-INS$25,000
UNITED SERVICES AUTOMOBILE ASSOCIATION et a.USAAinsurance violation2022WA-INS$50,000
STANDARD FIRE INSURANCE COMPANYTravelersinsurance violation2022WA-INS$15,000
Cash America West, Inc. and First Cash, Inc.FirstCashwage and hour violation2022WA-SOLS$383,873
Deutsche Bank Trust Company AmericasDeutsche Bankbanking violation2022FED$105,500
The Bank of New York Mellon CorporationBank of New York Mellonemployment discrimination2022OFCCP$1,925,000
Goldman Sachs Asset Management, L.P.Goldman Sachsinvestor protection violation2022SEC$4,000,000
Allstate InsuranceAllstateprivacy violation2022private lawsuit-federal$4,500,000
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
WHEELABRATOR MILLBURY INC.Macquarieworkplace safety or health violation2022OSHA$8,287
NYRSTAR CLARKSVILLE INC.Trafiguraworkplace safety or health violation2022OSHA$14,400
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$59,500
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$22,329
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$6,725
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$6,725
Academy Mortgage CorporationAcademy Mortgage Corp.False Claims Act and related2022DOJ_CIVIL$38,500,000
Danske Bank A/SDanske Bankanti-money-laundering deficiencies2022DOJ_CRIMINAL$2,000,000,000
Danske Bank A/SDanske Bankanti-money-laundering deficiencies2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,000,000
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
California Physicians' Service dba. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
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 Investorsenvironmental 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
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$10,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$10,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$7,500
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.