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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
Federal Insurance CompanyChubb Limitedinsurance violation2017TX-INS$22,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2017TX-INS$13,750
Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2017TX-INS$9,000
Arch Insurance CompanyArch Capitalinsurance violation2017TX-INS$5,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$32,400
Ace American Insurance CompanyChubb Limitedinsurance violation2017TX-INS$5,255
Travelers Lloyds of Texas Insurance CompanyTravelersinsurance violation2017TX-INS$10,000
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2017TX-INS$30,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2017TX-INS$6,825
American Alternative Insurance CorporationMunich Reinsurance violation2017TX-INS$160,000
State Farm Fire and Casualty CompanyState Farm Insuranceinsurance violation2017TX-INS$11,000
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2017UT-INS$5,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017UT-INS$67,500
ALLIED PROPERTY & CASUALTY INSURANCE CO.Nationwideinsurance violation2017VA-INS$678,398
SELECTIVE INSURANCE COMPANY OF AMERICASelective Insurance Groupinsurance violation2017VA-INS$339,333
STATE FARM MUTUAL INSURANCE COState Farm Insuranceinsurance violation2017VA-INS$50,600
AMERICAN STRATEGIC INSURANCEProgressiveinsurance violation2017VA-INS$41,962
LIBERTY INSURANCE CORP et al.Liberty Mutual Insuranceinsurance violation2017VA-INS$8,652
FEDERAL INSURANCE COMPANYChubb Limitedinsurance violation2017VA-INS$6,261
NEXT FINANCIAL GROUP, INC.Atria Wealth Solutionsinvestor protection violation2017VA-SEC$60,000
PROGRESSIVE DIRECT INSURANCEProgressiveinsurance violation2017VA-INS$9,839,379
UNITED SERVICES AUTOMOBILE ASSOCIATION ET AL.USAAinsurance violation2017VA-INS$182,209
HARTFORD ACCIDENT & INDEMNITYHartford Financial Servicesinsurance violation2017VA-INS$39,488
UNITED STATES FIRE INSURANCE COFairfax Financial Holdingsinsurance violation2017VA-INS$25,000
United Services Automobile Association (USAA)USAAinsurance violation2017VT-FIN$85,000
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2017VT-FIN$20,000
State Farm Fire & Casualty CompanyState Farm Insuranceinsurance violation2017WA-INS$10,000
American Modern Home Insurance CompanyMunich Reinsurance violation2017WA-INS$5,000
Farmers Insurance Exchange And Mid-Century Insurance CompanyFarmers Insurance Exchangeinsurance violation2017WA-INS$50,000
Amco Insurance CompanyNationwideinsurance violation2017WA-INS$5,000
AGCS Marine Insurance CompanyAllianzinsurance violation2017WA-INS$5,000
Federal Insurance CompanyChubb Limitedinsurance violation2017WA-INS$30,000
Farmers Insurance Company Of WashingtonZurich Insuranceinsurance violation2017WA-INS$10,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2017WA-INS$25,000
Hartford Insurance Company The MidwestHartford Financial Servicesinsurance violation2017WA-INS$10,000
Ticor Title CompanyFidelity National Financialinsurance violation2017WA-INS$6,000
AIG Assurance Company et al.American International Groupinsurance violation2017WA-INS$25,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017WA-INS$10,000
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2017WA-INS$30,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companyinsurance violation2017WA-INS$10,000
Titan Indemnity Company; Victoria Fire & Casualty CompanyNationwideinsurance violation2017WA-INS$60,000
Depositors Insurance CompanyNationwideinsurance violation2017WA-INS$10,000
American Family Life Insurance Company of ColumbusAflacinsurance violation2017MULTI-FIN$350,000
American Modern Home Insurance CompanyMunich Reinsurance violation2017MULTI-FIN$255,000
Arch Insurance CompanyArch Capitalinsurance violation2017MULTI-FIN$1,017,000
BCS Insurance CompanyBCS Financial Corporationinsurance violation2017MULTI-FIN$1,000,000
Generali U.S. BranchAssicurazioni Generaliinsurance violation2017MULTI-FIN$492,000
Jefferson Insurance CompanyAllianzinsurance violation2017MULTI-FIN$1,800,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2017MULTI-FIN$298,958
QBE Holdings Inc.QBE Insuranceinsurance violation2017MULTI-FIN$21,164,000
State Farm Life Insurance Company et al.State Farm Insuranceinsurance violation2017MULTI-FIN$250,000
Transamerica Casualty Insurance CompanyAegoninsurance violation2017MULTI-FIN$3,000,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017MULTI-FIN$1,914,370
Wells Fargo Bank, N.A.Wells Fargoprivacy violation2017private lawsuit-federal$30,446,022
Iberiabank CorpFirst Horizon Nationalenvironmental violation2017LA-ENV$14,213
WHEELABRATOR GLOUCESTER COMPANY L PMacquarieair pollution violation2017NJ-ENV$6,000
Regions BankRegions Financialair pollution violation2017TN-ENV$20,750
Nyrstar Tennessee Mines - Gordonsville, LLCTrafigurawater pollution violation2017TN-ENV$41,760
Buckeye Terminals, LLCIFM Investorsenvironmental violation2017VA-ENV$9,537
Navy Federal Credit UnionNavy Federal Credit Unionenvironmental violation2017VA-ENV$7,426
Citigroup Global Markets Inc.Citigroupinvestor protection violation2017FINRA$11,500,000
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2017FINRA$2,800,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2017FINRA$2,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2017FINRA$1,400,000
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2017FINRA$1,250,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2017FINRA$3,400,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2017FINRA$13,030,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2017FINRA$2,500,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2017FINRA$1,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2017FINRA$800,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2017FINRA$450,000
Wells FargoWells Fargoworkplace whistleblower retaliation2017OSHA$577,500
Wells Fargo Bank N.AWells Fargoworkplace whistleblower retaliation2017OSHA$5,400,000
R. R. Donnelley & Sons CoChatham Asset Managementair pollution violation2017CA-SCAQMD$27,500
Credit Suisse Energy LLCUBSutility service violation2017TX-PUC$7,500
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2017private lawsuit-federal$77,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2017private lawsuit-federal$71,000,000
Assurant Inc.Assurantconsumer protection violation2017private lawsuit-federal$3,350,000
Bank of America N.A.Bank of Americaconsumer protection violation2017private lawsuit-federal$29,000,000
CashCall Inc. and Delbert Service CorporationCashCall Inc.consumer protection violation2017private lawsuit-federal$14,435,000
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2017private lawsuit-federal$2,295,000
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insuranceconsumer protection violation2017private lawsuit-federal$37,500,000
Ocwen Loan Servicing, LLCOcwen Financialconsumer protection violation2017private lawsuit-federal$600,000
PayPal, Inc.PayPal Holdingsconsumer protection violation2017private lawsuit-federal$4,000,000
TD Bank, N.A.Toronto-Dominion Bankconsumer protection violation2017private lawsuit-federal$500,000
Branch Banking & Trust Co.Truist Financialconsumer protection violation2017private lawsuit-federal$3,350,000
United Services Automobile AssociationUSAAconsumer protection violation2017private lawsuit-federal$53,200,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2017private lawsuit-federal$750,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2017private lawsuit-federal$880,000
Wells Fargo N.A.Wells Fargoconsumer protection violation2017private lawsuit-federal$50,000,000
Citizens BankCitizens Financial Groupwage and hour violation2017MI-LEO$5,719
New York Life Insurance CompanyNew York Life Insurancewage and hour violation2017MI-LEO$8,000
Allstate InsuranceAllstatewage and hour violation2017MI-LEO$5,000
Allstate Insurance CompanyAllstatewage and hour violation2017MI-LEO$5,000
Bankers Life & CasualtyCNO Financialwage and hour violation2017MI-LEO$16,190
WELLS FARGO BANK, NAWells Fargoworkplace safety or health violation2017OSHA$9,000
IAC ALBEMARLE, LLCInvescoworkplace safety or health violation2017OSHA$7,000
BUCKEYE PARTNERS, L.P.IFM Investorsworkplace safety or health violation2017OSHA$7,000
WHEELABRATOR SAUGUS, INC.Macquarieworkplace safety or health violation2017OSHA$17,600
FITTJE BROS. PRINTING CO.Chatham Asset Managementworkplace safety or health violation2017OSHA$5,000
CLECO CORPORATIONMacquarieworkplace safety or health violation2017OSHA$8,626
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.