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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$388,802,802,308
Number of Records: 7,734
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$87,294,650,890329
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$14,264,317,61841
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
National Casualty CompanyNationwideinsurance violation2022RI-FIN$20,000
SYNAGRO WOONSOCKET, LLCGoldman Sachsenvironmental violation2022RI-ENV$120,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2022SD-INS$45,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$7,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$20,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$5,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$12,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$14,000
Ace American Insurance Co.Chubb Limitedinsurance violation2022TX-INS$6,500
Acadia Insurance CompanyW.R. Berkleyinsurance violation2022VT-FIN$100,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2022VT-FIN$640,000
Servicelink, LLCFidelity National Financialconsumer protection violation2022VA-INS$5,000
United Services Automobile Association et al.USAAconsumer protection violation2022VA-INS$71,358
Travelers Indemnity Company et al.Travelersinsurance violation2022WA-INS$20,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2022WA-INS$50,000
Cincinnati Insurance Company et al.Cincinnati Financialinsurance violation2022WA-INS$5,000
Fidelity National Title Company of Washington IncFidelity National Financialinsurance violation2022WA-INS$5,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2022WI-INS$5,000
Bank of AmericaBank of Americaconsumer protection violation2022CFPB$10,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2022FINRA$15,200,000
Bank of America, N.A.Bank of Americadiscriminatory practices (non-employment)2022HUD$15,000
Glencore International A.G. and Glencore Ltd.GlencoreForeign Corrupt Practices Act2022DOJ_CRIMINAL(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,185,000,000
Jardine Lloyd Thompson Group Holdings Ltd.Marsh & McLennanForeign Corrupt Practices Act2022DOJ_CRIMINAL$29,081,951
Banco Popular de Puerto RicoPopular Inc.economic sanction violation2022OFAC$255,938
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022OCC$60,000,000
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.investor protection violation2022SEC$187,000,000
BNY Mellon Investment Adviser, Inc.Bank of New York Melloninvestor protection violation2022SEC$1,500,000
Wells Fargo AdvisorsWells Fargoanti-money-laundering deficiencies2022SEC$7,000,000
First Republic Investment Management, Inc.JPMorgan Chaseinvestor protection violation2022SEC$1,825,953
Allianz Global Investors U.S. LLCAllianzinvestor protection violation2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,024,200,000
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022FINCEN$80,000,000
Allianz Global Investors U.S. LLCAllianzinvestor protection violation2022USAO$5,763,000,000
Kemper Corp.Kemperprivacy violation2022private lawsuit-federal$17,100,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2022CFTC$1,010,828
Glencore International A.G.Glencoreprice-fixing or anti-competitive practices2022CFTC$1,186,000,000
American Express CompanyAmerican Expressemployment discrimination2022DOJ_RIGHTS$29,008
UBS Financial Services Inc.UBSinvestor protection violation2022SEC$25,000,000
New Hampshire Insurance Co.American International Groupinsurance violation2022AK-INS$7,500
LAWYERS TITLE COMPANYFidelity National Financialinsurance violation2022CA-INS$50,000
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2022CA-LCO$9,795
Ticor Title Company of CaliforniaFidelity National Financialwage and hour violation2022CA-LCO$32,017
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2022CFTC$850,000
BNP ParibasBNP Paribasinvestor protection violation2022CFTC$6,000,000
U.S. BankU.S. Bancorpbanking violation2022CFPB$37,500,000
Bank of AmericaBank of Americabanking violation2022CFPB$100,000,000
Pruco Life Insurance CompanyPrudential Financialinsurance violation2022DE-INS$32,000
Wells Fargo and CompanyWells Fargobenefit plan administrator violation2022EBSA$145,000,000
IAC Greencastle, LLCInvescoenvironmental violation2022IN-ENV$14,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2022MA-SEC$262,092
American General Life Insurance Co.American International Groupinsurance violation2022MO-INS$117,300
John Hancock Life & Health Insurance CompanyManulife Financialinsurance violation2022NY-DFS$26,300,000
Banner Life Insurance CompanyLegal & General Group PLCinsurance violation2022NY-DFS$3,500,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022NY-DFS$477,600
Erie Insurance Company of New York and Erie Insurance CompanyErie Indemnityinsurance violation2022NY-DFS$19,000
Wells FargoWells Fargoworkplace whistleblower retaliation2022OSHA$22,000,000
American Express National BankAmerican Expresseconomic sanction violation2022OFAC$430,500
PNC Bank, National AssociationPNC Financial Servicesbanking violation2022OCC$2,614,456
Bank of America NABank of Americabanking violation2022OCC$125,000,000
Progressive Universal Insurance CompanyProgressiveinsurance violation2022OR-FIN$11,000
Allstate Property and Casualty et al.Allstateinsurance violation2022RI-FIN$65,000
BNY Mellon Capital Markets LLCBank of New York Melloninvestor protection violation2022SEC$956,833
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2022SEC$152,955
Janus Henderson Investors US LLCJanus Hendersoninvestor protection violation2022SEC$150,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2022SEC$1,200,000
UBS Financial Services Inc.UBSinvestor protection violation2022SEC$925,000
Equitable Financial Life Insurance CompanyEquitable Holdingsinvestor protection violation2022SEC$50,000,000
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2022TX-INS$7,000
Fireman's Fund Insurance CompanyAllianzinsurance violation2022TX-INS$10,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$10,600
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$20,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$6,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$30,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$9,000
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2022TX-INS$19,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2022TX-INS$5,000
XL Specialty Insurance CompanyAXAinsurance violation2022TX-INS$10,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$72,000
Standard Fire Insurance CompanyTravelersinsurance violation2022TX-INS$5,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2022TX-INS$12,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2022TX-INS$20,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2022UT-INS$317,750
Gerber Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2022VA-INS$27,600
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2022VA-INS$86,400
AMERICAN FAMILY CONNECT PROPERTY AND CASUALTY INSURANCE COMPANYAmerican Family Insuranceinsurance violation2022WA-INS$40,000
NATIONWIDE LIFE INSURANCE COMPANYNationwideinsurance violation2022WA-INS$30,000
NATIONWIDE GENERAL INSURANCE COMPANYNationwideinsurance violation2022WA-INS$35,000
Santander Bank, N.A.Banco Santanderwage and hour violation2022private lawsuit-federal$4,250,000
Wells Fargo & Co.Wells Fargobenefit plan administrator violation2022private lawsuit-federal$32,500,000
Ocwen Loan Servicing, LLCOcwen Financialprivacy violation2022private lawsuit-federal$1,500,000
Fifth Third BankFifth Third Bancorpprivacy violation2022private lawsuit-federal$50,000,000
T. Rowe Price Group, Inc.T. Rowe Pricebenefit plan administrator violation2022private lawsuit-federal$7,000,000
Waddell & Reed, LLCMacquarieinvestor protection violation2022SEC$200,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2022SEC$35,000,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2022SEC$500,000
Bank of AmericaBank of Americainvestor protection violation2022CFTC$100,000,000
Barclays Bank PLCBarclaysinvestor protection violation2022CFTC$75,000,000
Cantor FitzgeraldCantor Fitzgeraldinvestor protection violation2022CFTC$6,000,000
Citibank N.A.Citigroupinvestor protection violation2022CFTC$75,000,000
Credit SuisseUBSinvestor protection violation2022CFTC$75,000,000
Deutsche BankDeutsche Bankinvestor protection violation2022CFTC$75,000,000
Goldman SachsGoldman Sachsinvestor protection violation2022CFTC$75,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.