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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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$14,370,701,61843
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
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2012private lawsuit-federal$3,190,000
Ace American InsuranceChubb Limitedwage and hour violation2012MI-LEO$6,000
RR DONNELLEY INCChatham Asset Managementworkplace safety or health violation2012OSHA$7,750
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2012OSHA$5,950
PROGRESSIVE, INC.Progressiveworkplace safety or health violation2012OSHA$29,000
AMERICAN FAMILY INSURANCEAmerican Family Insuranceworkplace safety or health violation2012OSHA$12,500
CINCINNATI BELL TELEPHONEMacquarieworkplace safety or health violation2012OSHA$13,500
RR DONNELLY COMPANYChatham Asset Managementworkplace safety or health violation2012OSHA$17,000
IFCO SYSTEMS, NORTH AMERICATriton Investments Advisersworkplace safety or health violation2012OSHA$6,720
STATE FARM INSURANCEState Farm Insuranceworkplace safety or health violation2012OSHA$8,160
THE KEMPER COMPANYKemperworkplace safety or health violation2012OSHA$9,800
SYNAGROGoldman Sachsworkplace safety or health violation2012OSHA$7,000
BUCKEYE PARTNERSIFM Investorsair pollution violation2012EPA$463,745
INTERNATIONAL AUTOMOTIVE COMPONENTS A/K/A LEAR CORInvescoair pollution violation2012EPA$35,000
Buckeye Pipe Line Company, L.P.IFM Investorsair pollution violation2012EPA$8,397
Buckeye Terminals, LLCIFM Investorsair pollution violation2012EPA$6,766
Trafigura AGTrafiguraair pollution violation2012EPA$73,465
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$7,115
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$6,996
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$31,100
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$7,000
Cleco CorpMacquarieworkplace safety or health violation2012MSHA$9,310
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2013PHMSA$290,000
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2013PHMSA$102,800
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2013PHMSA$83,500
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2013PHMSA$78,900
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2013PHMSA$69,100
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2013PHMSA$66,400
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2013PHMSA$47,800
Florida Central Railroad3i Infrastructure PLCrailroad safety violation2013FRA$6,800
Indiana Eastern Railroad3i Infrastructure PLCrailroad safety violation2013FRA$5,300
Middletown & New Jersey Railroad3i Infrastructure PLCrailroad safety violation2013FRA$6,000
Peter Cremer CompanyCremerrailroad safety violation2013FRA$8,000
American ExpressAmerican Expressconsumer protection violation2013CFPB$69,100,000
National City Bank and its successor PNC BankPNC Financial Servicesbanking violation2013CFPB$35,000,000
Ally Financial Inc. and Ally BankAlly Financialconsumer protection violation2013CFPB$98,000,000
Ocwen Financial Corporation and Ocwen Loan ServicingOcwen Financialconsumer protection violation2013CFPB$2,125,000,000
GE Capital Retail Bank and CareCreditSynchrony Financialconsumer protection violation2013CFPB$34,100,000
Cash America International Inc.FirstCashpayday lending violation2013CFPB$19,000,000
Republic Mortgage Insurance CorporationOld Republic Internationalconsumer protection violation2013CFPB$100,000
Washington FederalWashington Federal Inc.consumer protection violation2013CFPB$34,000
Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A.JPMorgan Chaseconsumer protection violation2013CFPB$329,000,000
U.S. BankU.S. Bancorpbanking violation2013CFPB$3,200,000
American Express Centurion BankAmerican Expressbanking violation2013FDIC$3,600,000
Citizens BankCitizens Financial Groupbanking violation2013FDIC$6,400,000
Synovus BankSynovus Financialbanking violation2013FDIC$135,050
German American BancorpGerman American Bancorpbanking violation2013FDIC$70,000
Great Western BankFirst Interstate Bancsystembanking violation2013FDIC$40,810
American Express Bank, FSBAmerican Expressbanking violation2013OCC$7,500,000
Mutual of Omaha BankFirst Citizens BancSharesbanking violation2013OCC$51,765
TD Bank, National AssociationToronto-Dominion Bankbanking violation2013OCC$37,500,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2013OCC$60,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2013OCC$300,000,000
Swineford National BankFulton Financialbanking violation2013OCC$33,880
EverbankTIAAbanking violation2013OCC$37,000,000
RBS Citizens, National AssociationCitizens Financial Groupbanking violation2013OCC$7,500,000
Seacoast National BankSeacoast Banking Corporation of Floridabanking violation2013OCC$26,950
TCF National BankHuntington Bancsharesbanking violation2013OCC$10,000,000
HSBC Bank USA, National AssociationHSBCbanking violation2013OCC$249,000,000
Bank of AmericaBank of Americabanking violation2013OCC$2,886,578,478
CitibankCitigroupbanking violation2013OCC$793,492,868
JPMorgan ChaseJPMorgan Chasebanking violation2013OCC$1,958,450,341
MetLife BankMetLifebanking violation2013OCC$78,536,455
PNC Bank N.A.PNC Financial Servicesbanking violation2013OCC$180,526,382
Sovereign Bank N.A.Banco Santanderbanking violation2013OCC$16,086,180
U.S. BankU.S. Bancorpbanking violation2013OCC$208,156,501
Wells FargoWells Fargobanking violation2013OCC$1,991,141,181
THE ROYAL BANK OF SCOTLAND GROUP PLCNatWest Group PLCbanking violation2013FED$50,000,000
Midland States BankMidland States Bancorpbanking violation2013FED$5,645
JPMORGAN CHASE & CO.JPMorgan Chasebanking violation2013FED$200,000,000
Goldman SachsGoldman Sachsmortgage abuses2013FED$330,000,000
Morgan StanleyMorgan Stanleymortgage abuses2013FED$227,000,000
JPMorgan ChaseJPMorgan Chasetoxic securities abuses2013DOJ$13,000,000,000
PNC Bank N.APNC Financial ServicesFalse Claims Act and related2013DOJ_CIVIL$7,100,000
RabobankRabobankprice-fixing or anti-competitive practices2013DOJ_CRIMINAL$325,000,000
Merrill LynchBank of Americatoxic securities abuses2013SEC$131,800,000
Fifth Third BancorpFifth Third Bancorpaccounting fraud or deficiencies2013SEC$6,500,000
RBS Securities Inc.NatWest Group PLCtoxic securities abuses2013SEC$153,700,000
JPMorgan & Co.JPMorgan Chaseaccounting fraud or deficiencies2013SEC$200,000,000
UBS SecuritiesUBStoxic securities abuses2013SEC$50,000,000
Capital One Financial CorporationCapital One Financialaccounting fraud or deficiencies2013SEC$3,500,000
Deutsche Bank AGDeutsche Banktoxic securities abuses2013FHFA$1,925,000,000
UBS Americas Inc.UBStoxic securities abuses2013FHFA$885,000,000
Wells FargoWells Fargotoxic securities abuses2013FHFA$591,000,000
Bank of AmericaBank of Americatoxic securities abuses2013FHFA$404,000,000
Wells Fargo Bank, National AssociationWells Fargotoxic securities abuses2013FHFA$869,000,000
Citimortgage Inc. and Citibank N.A.Citigrouptoxic securities abuses2013FHFA$395,000,000
SunTrust Mortgage, Inc.Truist Financialtoxic securities abuses2013FHFA$65,000,000
Bank of AmericaBank of Americatoxic securities abuses2013FHFA$10,350,000,000
CitigroupCitigrouptoxic securities abuses2013FHFA$968,000,000
Bank of AmericaBank of Americatoxic securities abuses2013NCUA$165,000,000
RabobankRabobankprice-fixing or anti-competitive practices2013CFTC$475,000,000
JPMorgan ChaseJPMorgan Chaseinvestor protection violation2013CFTC$100,000,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2013CFTC$1,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2013CFTC$325,000,000
Mizuho Securities USA Inc.Mizuho Financialdata submission deficiencies2013CFTC$175,000
Deutsche Bank Energy Trading LLDeutsche Bankprice-fixing or anti-competitive practices2013FERC$1,670,000
JP Morgan Ventures Energy CorporationJPMorgan Chaseprice-fixing or anti-competitive practices2013FERC$410,000,000
Chevy Chase Bank F.S.B.Capital One Financialmortgage abuses2013DOJ_RIGHTS$2,850,000
Royal Bank of Scotland PLCNatWest Group PLCeconomic sanction violation2013OFAC$33,000,000
Torchmark CorporationGlobe Life Inc.Medicare Parts C and D Enforcement Action2013CMS$150,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.