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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$389,299,537,184
Number of Records: 7,790
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$87,294,669,499330
JPMorgan Chase$39,888,888,209278
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$27,081,211,792183
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,407,380112
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
Fidelity National Title Insurance Co. et al.Fidelity National Financialinsurance violation2010TX-INS$25,000
American Guarantee & Liability Insurance CompanyZurich Insuranceinsurance violation2010TX-INS$30,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$78,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2010TX-INS$40,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2010TX-INS$41,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2010TX-INS$12,500
Travelers Indemnity CompanyTravelersinsurance violation2010TX-INS$55,000
Travelers Indemnity CompanyTravelersinsurance violation2010TX-INS$60,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2010TX-INS$20,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2010TX-INS$525,418
METROPOLITAN LIFE INSURANCEMetLifeinsurance violation2010VA-INS$8,000
THE GUARDIAN LIFE INSURANCE COGuardian Life Insuranceinsurance violation2010VA-INS$62,000
ALLIED HOME MORTGAGE CAPITALAmericus Mortgageconsumer protection violation2010VA-FIN$25,000
Victoria Fire & Casualty Insurance CompanyNationwideinsurance violation2010VA-INS$23,558
HOMESITE INSURANCE COMPANYAmerican Family Insuranceinsurance violation2010VA-INS$126,252
TRUMBULL INSURANCE COMPANYHartford Financial Servicesinsurance violation2010VA-INS$66,684
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2010VA-INS$26,942
HARTFORD CASUALTY INSURANCE, ET AL.Hartford Financial Servicesinsurance violation2010VA-INS$15,000
FOREMOST INSURANCE CO.Zurich Insuranceinsurance violation2010VA-INS$6,000
SELECTIVE INSURANCE CO., ET AL.Selective Insurance Groupinsurance violation2010VA-INS$66,000
American States Preferred Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2010VA-INS$205,463
ALLSTATE INSURANCE COMPANYAllstateinsurance violation2010VA-INS$15,000
UBS FINANCIAL SERVICES, INC.UBSinvestor protection violation2010VA-SEC$625,000
ACE CASH EXPRESS, INC.ACE Cash Expressconsumer protection violation2010VA-FIN$150,000
Lincoln Financial Securities CorporationLincoln Nationalinvestor protection violation2010VT-FIN$10,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2010WA-INS$10,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2010WA-INS$100,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2010WA-INS$40,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2010WA-INS$55,000
National General Insurance CompanyAllstateinsurance violation2010WA-INS$15,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2010WA-INS$6,500
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
Fidelity National Title Co.Fidelity National Financialconsumer protection violation2010WA-FIN$23,500
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 Dreyfusair pollution violation2010FL-DEP$14,600
Royal Bank of Canada (USA)Royal Bank of Canadawater pollution violation2010GA-ENV$9,375
CITIGROUPCitigroupair pollution 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 Chaseconsumer protection violation2010NM-PRC$5,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2010TX-PUC$38,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2010TX-PUC$50,000
Metropolitan Life Insurance Co.MetLifeconsumer protection violation2010private lawsuit-federal$50,000,000
State Farm Fire and Casualty CompanyState Farm Insuranceconsumer protection violation2010private lawsuit-federal$30,000,000
Wells Fargo Home Mortgage IncWells Fargowage and hour violation2010MI-LEO$9,222
Comerica Securities IncComericawage and hour violation2010MI-LEO$24,968
Bank Of AmericaBank of Americawage and hour violation2010MI-LEO$15,406
Bank Of AmericaBank of Americawage and hour violation2010MI-LEO$14,000
Chase BankJPMorgan Chasewage and hour violation2010MI-LEO$15,000
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.