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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,816,534,046
Number of Records: 7,081
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$36,129,269,434222
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
Goldman Sachs$16,599,475,84889
NatWest Group PLC$13,515,546,85731
Credit Suisse$10,932,400,12651
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.

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CompanyCurrent ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
CMFG Life Insurance CompanyCUNA Mutualinsurance violation2019VT-FIN$231,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2019VT-FIN$11,000
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2019VT-FIN$1,656,000
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2019VT-FIN$800,000
Illinois Union Ins CoChubb Limitedinsurance violation2019WA-INS$102,000
Homesite Insurance Company Of The MidwestAmerican Family Insuranceinsurance violation2019WA-INS$15,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2019WA-INS$100,000
American Family Connect Property And Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2019WA-INS$7,500
Premera Blue CrossPremera Blue Crossinsurance violation2019WA-INS$50,000
Principal Life Insurance CompanyPrincipal Financialinsurance violation2019WA-INS$16,150
Bankers Life & Casualty CompanyCNO Financialinsurance violation2019WA-INS$30,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companyinsurance violation2019WA-INS$50,000
Banner Life Insurance CompanyLegal & General Group PLCinsurance violation2019WA-INS$10,000
Lifewise Health Plan Of WashingtonPremera Blue Crossinsurance violation2019WA-INS$25,000
Premera Blue CrossPremera Blue Crossinsurance violation2019WA-INS$50,000
Mutual Of Omaha Insurance CompanyMutual of Omahainsurance violation2019WA-INS$12,000
Premera Blue CrossPremera Blue Crossinsurance violation2019WA-INS$5,000
National Casualty CompanyNationwideinsurance violation2019WA-INS$20,000
State Farm Fire & Casualty CompanyState Farm Insuranceinsurance violation2019WA-INS$20,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2019WA-INS$25,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2019WA-INS$30,000
Transamerica Life Insurance CompanyAegoninsurance violation2019WA-INS$15,000
Ticor Title CompanyFidelity National Financialinsurance violation2019WA-INS$5,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2019WA-INS$50,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2019WA-INS$10,050
Bankers Standard Insurance Company et al.Chubb Limitedinsurance violation2019WA-INS$25,000
Globe Life and Accident Insurance Company of Omaha, NebraskaGlobe Life Inc.insurance violation2019MULTI-FIN$3,300,000
Protective Life Insurance Company et al.Dai-ichi Lifeinsurance violation2019MULTI-FIN$350,000
Seterus Inc.Mr. Cooper Groupmortgage abuses2019MULTI-FIN$350,000
Wells Fargo & Co.Wells Fargodiscriminatory practices (non-employment)2019private lawsuit-federal$10,000,000
U.S. BankU.S. Bancorpprivacy violation2019private lawsuit-federal$2,670,336
Buckeye TerminalsIFM Investorsenvironmental violation2019CA-ARB$6,000
BUCKEYE PIPE LINE CO LPIFM Investorsenvironmental violation2019IN-ENV$22,500
Louisiana Generating, LLCMacquarieenvironmental violation2019LA-ENV$16,500
Nyrstar ClarksvilleTrafiguraenvironmental violation2019TN-ENV$181,482
Nyrstar ClarksvilleTrafiguraenvironmental violation2019TN-ENV$622,389
JPMorgan ChaseJPMorgan Chasebenefit plan administrator violation2019private lawsuit-federal$75,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2019FINRA$4,600,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2019FINRA$280,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2019FINRA$280,000
LPL Financial LLCLPL Financialinvestor protection violation2019FINRA$280,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2019FINRA$280,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019FINRA$280,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2019FINRA$6,500,000
Robinhood Financial, LLCRobinhood Marketsinvestor protection violation2019FINRA$1,250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019FINRA$4,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2019FINRA$8,000,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc.BNP Paribasanti-money-laundering deficiencies2019FINRA$15,000,000
UBS Financial Services Inc.UBSinvestor protection violation2019FINRA$2,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2019FINRA$1,100,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2019FINRA$1,250,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2019FINRA$772,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2019FINRA$2,000,000
Buckeye Terminals LLC-MacungieIFM Investorsrailroad safety violation2019FRA$5,000
JP Morgan Chase Bank, NAJPMorgan Chaseemployment discrimination2019CA-DFEH$60,000
Franklin Resources, Inc.Franklin Resourcesbenefit plan administrator violation2019private lawsuit-federal$13,850,000
SYNAGRO-WWT, INC.Goldman Sachsworkplace safety or health violation2019OSHA$8,525
BROADRIDGE FINANCIAL SOLUTIONS, INC.Broadridge Financial Solutionsworkplace safety or health violation2019OSHA$8,335
BOYD CORPORATIONGoldman Sachsworkplace safety or health violation2019OSHA$6,300
BUCKEYE PARTNERS, L.P.IFM Investorsworkplace safety or health violation2019OSHA$13,500
WHEELABRATOR CONCORD INC.Macquarieworkplace safety or health violation2019OSHA$7,100
WHEELABRATOR NORTH ANDOVERMacquarieworkplace safety or health violation2019OSHA$7,500
LOUIS DREYFUS COMPANY AGRICULTURAL INDUSTRIESLouis Dreyfusenvironmental violation2019EPA$155,806
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$7,401
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2019MSHA$5,776
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$11,041
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$36,151
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$8,016
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$72,600
Wells Fargo & CompanyWells Fargowage and hour violation2020private lawsuit-federal$35,000,000
PNC Financial Services Group, Inc.PNC Financial Serviceswage and hour violation2020private lawsuit-federal$2,750,000
Blue Shield of California Promise Health PlanCalifornia Physicians' ServiceMedicare Parts C and D Enforcement Action2020CMS$148,506
M&T BankM&T Bankemployment discrimination2020EEOC$100,000
Jackson National Life Insurance CompanyJackson Financialemployment discrimination2020EEOC$20,500,000
Glacier BankGlacier Bancorpbanking violation2020FDIC$16,750
Wells Fargo & CompanyWells Fargofraud2020DOJ_CIVIL$3,000,000,000
Union Bancaire Privee, UBP SAUnion Bancaire Priveetax violations2020DOJ_TAX$14,000,000
Citibank, N.A.Citigroupbanking violation2020OCC$17,998,510
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargoinvestor protection violation2020SEC$35,000,000
Wells Fargo & Co.Wells Fargoinvestor protection violation2020SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $500,000,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2020SEC$586,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020SEC$1,822,438
LendingClub CorporationLendingClub Corp.consumer protection violation2020MA-AG$1,250,000
Wilmington Trust, N.A.M&T Bankbenefit plan administrator violation2020EBSA$88,000,000
American Security Insurance CompanyAssurantemployment discrimination2020EEOC$49,000
East West BankEast West Bancorpbanking violation2020FED$129,108
Bank Hapoalim B.M,Bank Hapoalimtax violations2020FED$37,350,000
Guaranteed Rate Inc.Guaranteed Rate Inc.False Claims Act and related2020DOJ_CIVIL$15,060,000
Bank Hapoalim B.M.Bank Hapoalimanti-money-laundering deficiencies2020DOJ_CRIMINAL$30,063,317
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd.Bank Hapoalimtax violations2020DOJ_TAX$616,910,000
Industrial Bank of KoreaIndustrial Bank of Koreaanti-money-laundering deficiencies2020USAO$51,000,000
Buckeye Partners, LPIFM Investorsenvironmental violation2020PHMSA$209,002
U.S. Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2020SEC$15,992,441
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2020SEC$5,000,000
RBC Capital Markets LLCRoyal Bank of Canadainvestor protection violation2020SEC$3,889,007
Merrill Lynch, Pierce and Fenner & Smith, IncorporatedBank of Americainvestor protection violation2020SEC$325,376
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2020SEC$3,200,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2020SEC$725,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020MULTI-AG$550,000,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020MA-AG$363,000
Securian Financial Services, Inc.Securian Financialinvestor protection violation2020AK-DBS$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.