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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
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2016TX-INS$45,000
Sentinel Insurance Company, LtdHartford Financial Servicesinsurance violation2016TX-INS$32,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$7,000
Travelers Casualty and Surety Company of AmericaTravelersinsurance violation2016TX-INS$100,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$6,300
First American Title Insurance CompanyFirst American Financialinsurance violation2016UT-INS$6,500
Liberty Mutual General Insurance CompanyLiberty Mutual Insuranceinsurance violation2016UT-INS$5,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2016UT-INS$172,250
Liberty Mutual General Insurance CompanyLiberty Mutual Insuranceinsurance violation2016UT-INS$10,000
COMPANION LIFE INSURANCE CO.BlueCross BlueShield of South Carolinainsurance violation2016VA-INS$44,220
AMERIPRISE FINANCIAL SERVICES, INC.Ameriprise Financialinvestor protection violation2016VA-SEC$14,000
FREEDOM MORTGAGE CORPORATIONFreedom Mortgageconsumer protection violation2016VA-FIN$17,000
ALLIED PROPERTY & CASUALTY INSURANCE CO.Nationwideinsurance violation2016VA-INS$68,669
HOMESITE INSURANCE COMPANYAmerican Family Insuranceinsurance violation2016VA-INS$94,986
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2016VA-INS$8,131
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2016VA-SEC$11,500
CINCINNATI INSURANCE COMPANYCincinnati Financialinsurance violation2016VA-INS$54,475
Victoria Fire & Casualty Insurance CompanyNationwideinsurance violation2016VA-INS$2,236,476
ALLIED INSURANCE COMPANY OF AMERICANationwideinsurance violation2016VA-INS$8,000
PROGRESSIVE NORTHERN INSURANCEProgressiveinsurance violation2016VA-INS$52,619
AMERICAN STRATEGIC INSURANCEProgressiveinsurance violation2016VA-INS$15,147
ACE CASH EXPRESS, INC.ACE Cash Expressconsumer protection violation2016VA-FIN$45,000
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2016VT-FIN$28,000
Travelers Indemnity Co. et al.Travelersinsurance violation2016VT-FIN$96,000
Prosper Marketplace Inc.Prosper Marketplaceconsumer protection violation2016VT-FIN$60,000
Raymond James and Associates Inc.Raymond James Financialinvestor protection violation2016VT-FIN$4,200,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2016VT-FIN$300,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2016WA-INS$15,000
Qbe Insurance CorporationQBE Insuranceinsurance violation2016WA-INS$10,000
National Casualty CompanyNationwideinsurance violation2016WA-INS$9,000
Jackson National Life Insurance CompanyJackson Financialinsurance violation2016WA-INS$8,000
Jackson National Life Insurance CompanyJackson Financialinsurance violation2016WA-INS$20,000
American Family Connect Property And Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2016WA-INS$10,000
Unitrin Auto And Home Insurance CompanyKemperinsurance violation2016WA-INS$20,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2016WA-INS$20,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2016WA-INS$5,000
Jefferson Insurance CompanyAllianzinsurance violation2016WA-INS$5,000
Transamerica Life Insurance CompanyAegoninsurance violation2016WA-INS$5,000
American Modern Home Insurance CompanyMunich Reinsurance violation2016WA-INS$5,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2016WA-INS$25,000
AGCS Marine Insurance CompanyAllianzinsurance violation2016WA-INS$15,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2016WA-INS$100,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2016WA-FIN$59,678
Ocwen Loan Servicing, LLCOcwen Financialconsumer protection violation2016WA-FIN$900,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2016WA-FIN$76,421
Quicken Loans Inc.Rocket Companies Inc.consumer protection violation2016WA-FIN$250,000
MLD Mortgage, Inc. d/b/a The Money Store and Mortgage Loan DirectMLD Mortgage Inc. dba The Money Storeconsumer protection violation2016WA-FIN$407,103
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016WA-FIN$55,000
Assurant Inc.Assurantinsurance violation2016MULTI-FIN$80,217,000
Homesite Insurance GroupAmerican Family Insuranceinsurance violation2016MULTI-FIN$500,000
Minnesota Life Insurance Company et al.Securian Financialinsurance violation2016MULTI-FIN$625,000
RiverSource Life Insurance CompanyAmeriprise Financialinsurance violation2016MULTI-FIN$1,500,000
HARLEYSVILLE MUTUAL INS CONationwideenvironmental violation2016PA-ENV$6,150
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusenvironmental violation2016IN-ENV$8,750
BUCKEYE TERMINALS LLCIFM Investorsenvironmental violation2016IN-ENV$49,750
THE HENNEGAN COChatham Asset Managementenvironmental violation2016KY-ENV$5,000
WHEELABRATOR GLOUCESTER COMPANY L PMacquarieenvironmental violation2016NJ-ENV$12,900
Buckeye Albany Terminal LLCIFM Investorsenvironmental violation2016NY-ENV$30,000
Courier Printing CompanyChatham Asset Managementenvironmental violation2016TN-ENV$8,555
R. R. Donnelley & Sons CompanyChatham Asset Managementenvironmental violation2016TX-ENV$10,051
Wheelabrator Portsmouth Inc.Macquarieenvironmental violation2016VA-ENV$7,669
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLCWells Fargoinvestor protection violation2016FINRA$4,000,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A.Royal Bank of Canadainvestor protection violation2016FINRA$3,500,000
RBS Securities, Inc.NatWest Group PLCinvestor protection violation2016FINRA$2,000,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLCWells Fargoinvestor protection violation2016FINRA$1,500,000
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2016FINRA$1,500,000
LPL Financial LLCLPL Financialinvestor protection violation2016FINRA$750,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2016FINRA$50,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2016FINRA$3,250,000
Credit Suisse Securities (USA) LLCUBSanti-money-laundering deficiencies2016FINRA$16,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2016FINRA$7,030,000
VALIC Financial Advisors, Inc.American International Groupinvestor protection violation2016FINRA$1,750,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2016FINRA$3,425,000
VOYA Financial Advisors Inc.Voya Financialinvestor protection violation2016FINRA$4,550,000
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americainvestor protection violation2016FINRA$2,800,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016FINRA$850,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2016FINRA$12,500,000
Barclays Capital Inc.Barclaysinvestor protection violation2016FINRA$1,300,000
Prudential Annuities Distributors, Inc.Prudential Financialinvestor protection violation2016FINRA$950,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2016FINRA$6,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2016FINRA$5,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2016FINRA$2,966,000
E-Trade Securities LLCMorgan Stanleyinvestor protection violation2016FINRA$900,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialanti-money-laundering deficiencies2016FINRA$17,000,000
MetLife Securities, Inc.MetLifeinvestor protection violation2016FINRA$25,000,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2016FINRA$675,000
JP Morgan Chase BankJPMorgan Chaseworkplace whistleblower retaliation2016OSHA$203,323
El Paso Electric CompanyJPMorgan Chaseutility service violation2016TX-PUC$7,000
IAC Group North AmericaInvescoenvironmental violation2016NC-ENV$6,751
Bank of AmericaCorp.Bank of Americaprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
BarclaysPLCBarclaysprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
BNP ParibasSABNP Paribasprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Citigroup Inc.Citigroupprice-fixing or anti-competitive practices2016private lawsuit-federal$23,000,000
CitigroupInc.Citigroupprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Credit Suisse GroupAGUBSprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Deutsche BankAGDeutsche Bankprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Goldman Sachs GroupInc.Goldman Sachsprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
HSBC Holdings PLCHSBCprice-fixing or anti-competitive practices2016private lawsuit-federal$35,000,000
HSBC HoldingsPLCHSBCprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
J.P. Morgan Chase& Co.JPMorgan Chaseprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
Morgan StanleyMorgan Stanleyprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.