Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,416,567,662
Number of Records: 7,172
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
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYear sort icon . AgencyPenalty Amount
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2010WA-INS$12,000
Chicago Insurance CompanyAllianzinsurance violation2010WA-INS$7,500
Unum Life Insurance Company Of AmericaUnuminsurance violation2010WA-INS$7,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2010WA-INS$35,000
Virginia Surety Company IncAssurantinsurance violation2010WA-INS$12,000
Countrywide Home Loans Inc.Bank of Americaconsumer protection violation2010WA-FIN$650,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2010WI-INS$1,500,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2010WI-INS$8,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2010WI-INS$7,500
Time Insurance Co.Haven Holdingsinsurance violation2010WI-INS$280,000
AllstateAllstateinsurance violation2010MULTI-FIN$10,000,000
American International GroupAmerican International Groupinsurance violation2010MULTI-FIN$146,500,000
CitifinancialCitigrouphousing program violation2010MULTI-FIN$1,250,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2010MULTI-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
Conseco Life Insurance CompanyCNO Financialinsurance violation2010MULTI-FIN$11,000,000
Merrill LynchBank of Americainvestor protection violation2010MULTI-FIN$26,563,094
Nationwide Life Insurance CompanyNationwideinsurance violation2010MULTI-FIN$2,100,000
J.P. Morgan ChaseJPMorgan Chasediscriminatory practices (non-employment)2010private lawsuit-federal$1,950,000
HSBC Finance Corporation et al.HSBCdiscriminatory practices (non-employment)2010private lawsuit-federal$6,050,000
Countrywide Financial Corp.Bank of Americaprivacy violation2010private lawsuit-federal$6,500,000
GMAC Mortgage, LLCAlly Financialenvironmental violation2010AL-ENV$5,505
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusenvironmental violation2010FL-DEP$14,600
Royal Bank of Canada (USA)Royal Bank of Canadaenvironmental violation2010GA-ENV$9,375
CITIGROUPCitigroupenvironmental violation2010NJ-ENV$6,000
LITTON LOAN SERVICING LPOcwen Financialenvironmental violation2010OR-ENV$7,125
CAPITAL ONE NATIONAL ASSOCIATIONCapital One Financialenvironmental violation2010TX-ENV$8,400
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2010FINRA$650,000
Ferris, Baker Watts LLCRoyal Bank of Canadainvestor protection violation2010FINRA$690,000
Zions Direct, Inc.Zions Bancorporationinvestor protection violation2010FINRA$225,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2010FINRA$375,000
Merrill LynchBank of Americainvestor protection violation2010FINRA$2,500,000
Morgan Stanley & Co., Inc.Morgan Stanleyinvestor protection violation2010FINRA$800,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2010FINRA$1,440,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2010FINRA$7,500,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2010FINRA$1,500,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2010FINRA$700,000
Deutsche Bank SecuritiesDeutsche Bankinvestor protection violation2010FINRA$575,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2010FINRA$135,000
HSBC Securities (USA)HSBCinvestor protection violation2010FINRA$1,500,000
US Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2010FINRA$275,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010FINRA$650,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2010FINRA$200,000
H&R Block Financial Advisors, Inc.H&R Blockinvestor protection violation2010FINRA$200,000
El Paso Electric CompanyJPMorgan Chaseutility administrative violation2010NM-PRC$5,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2010TX-PUC$38,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2010TX-PUC$50,000
CITIBANK, N.A.Citigroupworkplace safety or health violation2010OSHA$5,000
IFCO SYSTEMS NORTH AMERICA INCTriton Investments Advisersworkplace safety or health violation2010OSHA$11,200
IMPERIAL SUGAR CO.Louis Dreyfusworkplace safety or health violation2010OSHA$7,200
EL PASO ELECTRICJPMorgan Chaseworkplace safety or health violation2010OSHA$6,000
FARMERS INSURANCE EXCHANGEFarmers Insurance Exchangeworkplace safety or health violation2010OSHA$5,000
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2010OSHA$12,600
R.R. DONNELLEYChatham Asset Managementworkplace safety or health violation2010OSHA$11,600
WHEELABRATOR SHASTA ENERGY CO, INCMacquarieworkplace safety or health violation2010OSHA$10,000
WHEELABRATOR PORTSMOUTHMacquarieworkplace safety or health violation2010OSHA$6,890
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2010OSHA$8,750
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2010OSHA$8,000
IFCO SYSTEMS N.A., INC.Triton Investments Advisersworkplace safety or health violation2010OSHA$7,000
IFCO SYSTEMS NA INC DBA PALLET COMPANIES INCTriton Investments Advisersworkplace safety or health violation2010OSHA$44,000
NYRSTAR CLARKSVILLE, INC.Trafiguraenvironmental violation2010EPA$45,524
LOUIS DREYFUS AGRICULTURAL INDUSTRIES, LLC.Louis Dreyfusenvironmental violation2010EPA$77,628
HSBC North AmericaHSBCenvironmental violation2010EPA$36,083
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$6,062
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2010MSHA$18,271
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$6,800
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$5,000
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$7,176
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$5,961
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$38,925
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$10,200
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2010MSHA$5,080
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2010MSHA$5,080
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$38,925
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$6,200
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$7,578
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$5,503
Citigroup Private Bank GP, Inc.Citigroupdata submission deficiencies2009CFTC$100,000
J.P. Morgan Futures, Inc.JPMorgan Chasedata submission deficiencies2009CFTC$300,000
UBS Fund Advisor, LLCUBSdata submission deficiencies2009CFTC$50,000
1ST FINANCIAL BANK USA1st Financial Bank USAbanking violation2009FDIC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $140,000
AFB&TSynovus Financialbanking violation2009FDIC$7,040
BANK OF KENTUCKY, INC., THETruist Financialbanking violation2009FDIC$30,415
American Express Centurion BankAmerican Expressbanking violation2009FDIC$250,000
REPUBLIC BANK & TRUST COMPANYRepublic Bancorpbanking violation2009FDIC$22,000
CITIZENS BUSINESS BANKCVB Financialbanking violation2009FDIC$16,200
WELLS FARGO FINANCIAL BANKWells Fargobanking violation2009FDIC$125,000
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
NYRSTAR CLARKSVILLE, INC.Trafigurarailroad safety violation2009FRA$10,000
Regions BankRegions Financialbanking violation2009FED$135,000
Compass BankPNC Financial Servicesbanking violation2009FED$70,625
MoneyGram International, Inc.MoneyGram Internationalconsumer protection violation2009FTC$18,000,000
Credit Suisse AGCredit Suisseeconomic sanction violation2009DOJ_CRIMINAL$268,000,000
Lloyds TSB Bank PLCLloyds Banking Groupeconomic sanction violation2009DOJ_CRIMINAL$175,000,000
UBS AGUBStax violations2009DOJ_TAX$780,000,000
National City BankPNC Financial Servicesbanking violation2009OCC$34,265
Wells Fargo Bank, National AssociationWells Fargobanking violation2009OCC$51,205
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2009OCC$100,000
First National Bank of OmahaFirst National of Nebraskabanking violation2009OCC$100,000
Capital One, National AssociationCapital One Financialbanking violation2009OCC$125,000
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2009PHMSA$7,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.