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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$39,340,688,209275
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 ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
Wausau Underwriters Insurance CompanyLiberty Mutual Insuranceinsurance violation2013TX-INS$8,000
Protective Insurance CompanyProgressiveinsurance violation2013TX-INS$30,000
Pacific Indemnity CompanyChubb Limitedinsurance violation2013TX-INS$17,500
Globe Life and Accident Insurance CompanyGlobe Life Inc.insurance violation2013UT-INS$10,000
BANKERS LIFE AND CASUALTY CO.CNO Financialinsurance violation2013VA-INS$27,000
ALLSTATE INSURANCE COMPANYAllstateinsurance violation2013VA-INS$5,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2013VA-INS$10,000
PROGRESSIVE NORTHERN INSURANCEProgressiveinsurance violation2013VA-INS$221,905
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2013VA-INS$6,154
Horace Mann Insurance CompanyHorace Mann Educators Corp.insurance violation2013VT-FIN$11,007
Bankers Life and Casualty CompanyCNO Financialinsurance violation2013VT-FIN$600,000
Dairyland Insurance CompanySentry Insuranceinsurance violation2013VT-FIN$37,852
American Income Life Insurance CompanyGlobe Life Inc.insurance violation2013WA-INS$75,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2013WA-INS$10,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2013WA-INS$15,000
American Alternative Insurance Corporation et al.Munich Reinsurance violation2013WA-INS$10,000
Allianz Life Insurance Company Of North AmericaAllianzinsurance violation2013WA-INS$150,000
Hartford Fire Insurance Company And Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2013WA-INS$10,000
Hartford Accident & Indemnity Company et al.Hartford Financial Servicesinsurance violation2013WA-INS$100,000
Allstate Fire & Casualty Insurance CompanyAllstateinsurance violation2013WA-INS$15,000
American Guarantee & Liability Insurance Company et al.Zurich Insuranceinsurance violation2013WA-INS$50,000
Transamerica Premier Life Insurance CompanyAegoninsurance violation2013WA-INS$150,000
Bankers Life & CasualtyCNO Financialinsurance violation2013WI-INS$200,000
Thrivent Financial for LutheransThrivent Financialinsurance violation2013WI-INS$5,000
Amerisave Mortgage CorporationAmeriSave Mortgageinvestor protection violation2013MULTI-FIN$2,300,000
Morgan Keegan & CompanyRaymond James Financialtoxic securities abuses2013MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2013MULTI-FIN$6,200,000
UBS Financial Services Inc.UBSinvestor protection violation2013MULTI-FIN$4,600,000
UVEST Financial Services Group, Inc.LPL Financialinvestor protection violation2013MULTI-FIN$750,000
Virginia Surety Company Inc.Assurantinsurance violation2013MULTI-FIN$200,000
BUCKEYE TERM LLCIFM Investorsenvironmental violation2013PA-ENV$7,000
Wheelabrator Lisbon, Inc.Macquarieenvironmental violation2013CT-ENV$9,350
RR DONNELLEY & SONSChatham Asset Managementenvironmental violation2013IL-ENV$5,000
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusenvironmental violation2013IN-ENV$7,750
Louisiana Generating, LLCMacquarieenvironmental violation2013LA-ENV$1,750,000
BUCKEYE RARITAN BAY TERMINALIFM Investorsenvironmental violation2013NJ-ENV$10,000
Buckeye Terminals LLCIFM Investorsenvironmental violation2013SC-ENV$15,000
Nyrstar Gordonsville LLCTrafiguraenvironmental violation2013TN-ENV$5,000
Buckeye Terminals, LLCIFM Investorsenvironmental violation2013VA-ENV$14,262
Bank of America, National AssociationBank of Americaenvironmental violation2013VA-ENV$27,625
Barclays Capital Inc.Barclaysinvestor protection violation2013FINRA$3,750,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2013FINRA$6,500,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsinvestor protection violation2013FINRA$921,000
TD Ameritrade Clearing, Inc.Charles Schwab Corp.investor protection violation2013FINRA$1,150,000
SG Americas Securities, Inc.Societe Generaleinvestor protection violation2013FINRA$675,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2013FINRA$1,188,000
Oppenheimer and Co., Inc.Oppenheimer Holdingsanti-money-laundering deficiencies2013FINRA$1,425,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2013FINRA$3,250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2013FINRA$2,000,000
LPL Financial LLCLPL Financialinvestor protection violation2013FINRA$9,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013FINRA$1,373,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013FINRA$750,000
Charles Schwab & CompanyCharles Schwab Corp.investor protection violation2013FINRA$500,000
ING Groep N.V.Voya Financialinvestor protection violation2013FINRA$1,200,000
R. R. Donnelley & Sons Co.Chatham Asset Managementenvironmental violation2013CA-SCAQMD$7,500
JPMorgan Chase BankJPMorgan Chasewage and hour violation2013CA-LCO$9,111
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2013CA-LCO$37,036
Countrywide Financial CorporationBank of AmericaWARN Act violation2013private lawsuit-federal$1,200,000
Wells FargoWells Fargoprice-fixing or anti-competitive practices2013private lawsuit-federal$35,000,000
Associated Bank N.A.Associated Banc-Corpconsumer protection violation2013private lawsuit-federal$13,000,000
BBVA CompassBanco Bilbao Vizcaya Argentariaconsumer protection violation2013private lawsuit-federal$11,500,000
Bank of AmericaBank of Americaconsumer protection violation2013private lawsuit-federal$20,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2013private lawsuit-federal$100,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2013private lawsuit-federal$19,610,000
Countrywide Financial CorporationBank of Americaconsumer protection violation2013private lawsuit-federal$500,000,000
BMO HarrisBank of Montrealconsumer protection violation2013private lawsuit-federal$9,400,000
BMO HarrisBank of Montrealconsumer protection violation2013private lawsuit-federal$4,000,000
Capital One N.A.Capital One Financialconsumer protection violation2013private lawsuit-federal$10,000,000
Citibank N.A.Citigroupconsumer protection violation2013private lawsuit-federal$2,320,000
Citibank N.A.Citigroupconsumer protection violation2013private lawsuit-federal$7,500,000
Citizens FinancialCitizens Financial Groupconsumer protection violation2013private lawsuit-federal$137,500,000
First National Bank of PennsylvaniaF.N.B. Corporationconsumer protection violation2013private lawsuit-federal$3,000,000
Great Western BankFirst Interstate Bancsystemconsumer protection violation2013private lawsuit-federal$2,200,000
RBS Financial Products Inc.NatWest Group PLCconsumer protection violation2013private lawsuit-federal$1,750,000
PNC Bank N.A.PNC Financial Servicesconsumer protection violation2013private lawsuit-federal$90,000,000
Sallie Mae Inc.SLM Corp.consumer protection violation2013private lawsuit-federal$76,000,000
TD Bank N.A.Toronto-Dominion Bankconsumer protection violation2013private lawsuit-federal$62,000,000
Wells Fargo & Co.Wells Fargoconsumer protection violation2013private lawsuit-federal$12,500,000
Commerce Bank NACommerce Bancsharesconsumer protection violation2013private lawsuit-federal$18,300,000
Asset Acceptance, LLCEncore Capital Groupconsumer protection violation2013NC-INS$8,000
Jackson HewittJackson Hewittwage and hour violation2013MI-LEO$8,553
IACInvescoworkplace safety or health violation2013OSHA$9,025
IAC DAYTON LLCInvescoworkplace safety or health violation2013OSHA$5,775
THEO. DAVIS SONS, INCORPORATEDChatham Asset Managementworkplace safety or health violation2013OSHA$6,750
IFCO SYSTEMS US, LLC SITE146Triton Investments Advisersworkplace safety or health violation2013OSHA$23,099
R.R. DONNELLEYChatham Asset Managementworkplace safety or health violation2013OSHA$15,400
THE GAS COMPANY, LLCMacquarieworkplace safety or health violation2013OSHA$7,000
THE GAS COMPANY, LLCMacquarieworkplace safety or health violation2013OSHA$10,500
R. R. DONNELLEY AND SONS COMPANYChatham Asset Managementworkplace safety or health violation2013OSHA$7,000
IFCO SYSTEMS N.A. INC.Triton Investments Advisersworkplace safety or health violation2013OSHA$5,082
DEUTSCHE BANK USADeutsche Bankworkplace safety or health violation2013OSHA$5,250
WELLS FARGO BANK #1692Wells Fargoworkplace safety or health violation2013OSHA$12,000
IAC GREENVILLE, LLCInvescoenvironmental violation2013EPA$16,870
Peter Cremer North AmericaCremerenvironmental violation2013EPA$98,000
Louisiana GeneratingMacquarieenvironmental violation2013EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $3,500,000
Glencore Ltd.Glencoreenvironmental violation2013EPA$98,954
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2013MSHA$6,351
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2012PHMSA$36,200
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2012PHMSA$22,500
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2012PHMSA$17,500
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2012PHMSA$11,800
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.