Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $385,467,775,190
Number of Records: 7,525
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$87,248,751,230324
JPMorgan Chase$39,322,669,157272
UBS$31,059,299,125178
Wells Fargo$27,517,928,133261
Citigroup$26,945,611,792181
Deutsche Bank$20,006,467,56398
Goldman Sachs$17,729,327,552109
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,542,431,900198
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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYear sort icon . AgencyPenalty Amount
Zurich American Insurance CompanyZurich Insuranceinsurance violation2021WA-INS$5,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2021WA-INS$10,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2021WA-INS$20,000
American Memorial Life Insurance CompanyAssurantinsurance violation2021WA-INS$20,000
Allstate Fire & Casualty Insurance CompanyAllstateinsurance violation2021WA-INS$10,000
Allstate Fire & Casualty Insurance Company et al.Allstateinsurance violation2021WA-INS$7,500
North River Insurance Company et al.Fairfax Financial Holdingsinsurance violation2021WA-INS$25,000
Transamerica CorporationAegonbenefit plan administrator violation2021private lawsuit-federal$5,400,000
BlackRock Institutional Trust Company, N.A.BlackRockbenefit plan administrator violation2021private lawsuit-federal$9,650,000
Wells Fargo Bank, N.A.Wells Fargoprivacy violation2021private lawsuit-federal$28,000,000
John Hancock Life Insurance CompanyManulife Financialbenefit plan administrator violation2021private lawsuit-federal$14,000,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2021CFTC$75,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2021SEC$125,000,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$12,500
Synchrony BankSynchrony Financialconsumer protection violation2021CA-MULTI$3,500,000
LPL Financial LLCLPL Financialinvestor protection violation2021CT-SEC$500,000
NatWest Markets PlcNatWest Group PLCfraud2021DOJ_CRIMINAL$35,000,000
FMR LLCFidelity Investmentsbenefit plan administrator violation2021EBSA$10,001
Buckeye Pipe Line Company, L.P. and West Shore Pipe Line ComanyIFM Investorsenvironmental violation2021IL-ENV$8,700,000
Louis Dreyfus Company Agricultural Industries LLCLouis Dreyfusenvironmental violation2021IN-ENV$17,400
LendingTree, LLCLendingTreeconsumer protection violation2021MA-BKG$34,000
Allstate Indemnity CompanyAllstateinsurance violation2021MD-INS$50,000
Travelers Home and Marine Insurance Company et al.Travelersinsurance violation2021MN-FIN$30,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2021MN-FIN$35,000
Security National Insurance Co.Zurich Insuranceinsurance violation2021MO-INS$23,150
Barclays Capital Inc.Barclaystoxic securities abuses2021NM-AG$4,642,857
Citigroup Global Markets Inc.Citigrouptoxic securities abuses2021NM-AG$4,642,857
Goldman Sachs & Co. LLCGoldman Sachstoxic securities abuses2021NM-AG$4,642,857
J.P. Morgan Securities LLCJPMorgan Chasetoxic securities abuses2021NM-AG$4,642,857
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americatoxic securities abuses2021NM-AG$4,642,857
NatWest Markets Securities Inc.NatWest Group PLCtoxic securities abuses2021NM-AG$4,642,857
Washington Mutual Mortgage Securities Corp.JPMorgan Chasetoxic securities abuses2021NM-AG$4,642,857
Pacific Life Insurance CompanyPacific Lifeinsurance violation2021NY-DFS$3,000,000
Oscar Insurance CorporationOscar Health Inc.insurance violation2021NY-DFS$1,465,800
Variable Annuity Life Insurance CompanyAmerican International Groupinsurance violation2021NY-DFS$230,820
Principal Life Insurance CompanyPrincipal Financialinsurance violation2021NY-DFS$1,997,866
Union Security Life Insurance Company of New YorkAssurantinsurance violation2021NY-DFS$20,000
Allstate Life Insurance Company of New YorkAllstateinsurance violation2021NY-DFS$196,250
Flagstar Bank, FSBNew York Community Bancorpbanking violation2021OCC$3,620,000
TD Bank, N.A.Toronto-Dominion Bankeconomic sanction violation2021OFAC$115,005
XL Specialty Insurance CompanyAXAconsumer protection violation2021RI-FIN$15,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2021TX-INS$5,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2021TX-INS$38,000
Horace Mann Insurance Company et al.Horace Mann Educators Corp.insurance violation2021TX-INS$25,000
Pacific Indemnity CompanyChubb Limitedinsurance violation2021TX-INS$45,000
Allstate Fire & Casualty Insurance Company et al.Allstateinsurance violation2021VT-FIN$225,000
Sentry Select Insurance CompanySentry Insuranceinsurance violation2021WA-INS$5,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2021WA-INS$100,000
Jackson National Life Insurance CompanyJackson Financialinsurance violation2021WA-INS$10,000
Regions Financial CorporationRegions FinancialFamily and Medical Leave Act2021WHD$7,210
Wells Fargo Bank, N.A.Wells Fargowage and hour violation2021private lawsuit-federal$95,696,122
Wilmington Trust, N.A.M&T Bankbenefit plan administrator violation2021private lawsuit-federal$5,500,000
Travelers Casualty and Surety Company of AmericaTravelersinsurance violation2021NY-DFS$75,000
National Union Fire Insurance Company of Pittsburgh, PA. et al.American International Groupinsurance violation2021NY-DFS$50,000
Erie Insurance Company and Erie Insurance Company of New YorkErie Indemnityinsurance violation2021NY-DFS$561,900
Nationwide Mutual Insurance CompanyNationwidewage and hour violation2021WHD$13,808
Flagstar Bancorp, Inc. a Michigan CorporationNew York Community Bancorpwage and hour violation2021CA-LCO$30,677
Flagstar Bank, FSB,New York Community Bancorpwage and hour violation2021CA-LCO$30,677
Bank of America N.A.Bank of Americaprice-fixing or anti-competitive practices2021private lawsuit-federal$17,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2021private lawsuit-federal$5,700,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2021private lawsuit-federal$38,000,000
Deutsche Bank Securities Inc.Deutsche Bankprice-fixing or anti-competitive practices2021private lawsuit-federal$48,500,000
HSBC Securities (USA) Inc.HSBCprice-fixing or anti-competitive practices2021private lawsuit-federal$30,000,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2021private lawsuit-federal$15,000,000
Allstate Fire and Casualty Insurance Co.Allstateconsumer protection violation2021private lawsuit-federal$10,092,600
Bank of America N.A.Bank of Americaconsumer protection violation2021private lawsuit-federal$5,950,000
Capital One N.A.Capital One Financialconsumer protection violation2021private lawsuit-federal$13,000,000
Fifth Third BankFifth Third Bancorpconsumer protection violation2021private lawsuit-federal$5,200,000
Seterus Inc.Mr. Cooper Groupconsumer protection violation2021private lawsuit-federal$7,000,000
Navy Federal Credit UnionNavy Federal Credit Unionconsumer protection violation2021private lawsuit-federal$16,000,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2021private lawsuit-federal$6,945,095
Wells Fargo Bank, N.A.Wells Fargoconsumer protection violation2021private lawsuit-federal$45,000,000
Wells Fargo Merchant Services LLCWells Fargoconsumer protection violation2021private lawsuit-federal$40,000,000
IAC WAUSEON, LLCInvescoworkplace safety or health violation2021OSHA$10,143
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2021OSHA$16,524
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2021OSHA$10,500
BUCKEYE TERMINALS, LLCIFM Investorsenvironmental violation2021EPA$67,856
Carl OstachIFM Investorsenvironmental violation2021EPA$153,637
BUCKEYE PIPELINE CO LP-BREINIGSVILLE, PAIFM Investorsenvironmental violation2021EPA$153,637
Kevin NishimuraMacquarieenvironmental violation2021EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $230,000
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2021MSHA$6,232
Western & Southern LifeWestern & Southern Financial Groupwage and hour violation2021MI-LEO$20,000
Western & Southern LifeWestern & Southern Financial Groupwage and hour violation2021MI-LEO$7,000
Freedom MortgageFreedom Mortgagewage and hour violation2021MI-LEO$8,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$10,000
First Midwest BankOld National Bancorpbanking violation2022FED$253,500
Credit Suisse SecuritiesUBSinvestor protection violation2022FINRA$9,000,000
Santander Consumer USABanco Santanderconsumer protection violation2022MA-AG$5,560,000
Mutual of Omaha Mortgage, Inc.Mutual of Omahaconsumer protection violation2022MA-BKG$25,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2022MD-INS$123,105
NavientNavientconsumer protection violation2022MULTI-AG$1,850,000,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2022MULTI-FIN$1,950,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2022OK-SEC$15,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2022RI-FIN$10,000
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyinvestor protection violation2022SEC$4,628,194
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$19,500
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022TX-INS$10,000
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2022TX-INS$10,950
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$6,000
Chubb Seguros Mexico, S.A.Chubb Limitedinsurance violation2022TX-INS$100,000
Philadelphia Indemnity Insurance CompanyTokio Marineinsurance violation2022TX-INS$40,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.