Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,416,567,662
Number of Records: 7,172
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$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
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.

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
LPL Financial LLCLPL Financialinvestor protection violation2022NH-BSR$10,307
Credit Suisse Securities (USA) LLC et al.Credit Suisseinvestor protection violation2022NJ-AG$495,000,000
First Unum Life Insurance CompanyUnuminsurance violation2022NY-DFS$1,100,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022OR-FIN$20,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2022SC-SEC$50,000
TD Ameritrade, Inc.Charles Schwab Corp.consumer protection violation2022TX-FIN$81,750
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2022TX-INS$5,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2022TX-INS$12,000
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2022TX-INS$8,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$17,500
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$34,500
XL Insurance America Inc.AXAinsurance violation2022TX-INS$6,500
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2022TX-INS$6,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$16,500
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$7,500
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2022TX-INS$8,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2022TX-INS$24,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$8,000
XL Insurance America Inc.AXAinsurance violation2022TX-INS$5,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$11,000
Standard Fire Insurance CompanyTravelersinsurance violation2022TX-INS$8,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$22,000
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$9,500
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$20,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$5,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$58,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2022TX-INS$5,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$5,500
XL Specialty Insurance CompanyAXAinsurance violation2022TX-INS$10,500
Travelers Personal Insurance Company et al.Travelersinsurance violation2022TX-INS$7,344,048
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$17,500
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2022TX-INS$7,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$9,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$24,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$21,800
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$12,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$22,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$22,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$35,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$27,000
LPL Financial LLCLPL Financialinvestor protection violation2022TX-SEC$125,000
Travelers Personal Insurance CompanyTravelersinsurance violation2022VA-INS$167,427
Hartford Casualty Insurance Company et al.Hartford Financial Servicesinsurance violation2022VA-INS$30,030
AMERICAN FAMILY MUTUAL INSURANCE COMPANY S.I.American Family Insuranceinsurance violation2022WA-INS$10,000
STANDARD INSURANCE COMPANYMeiji Yasuda Life Insuranceinsurance violation2022WA-INS$25,000
UNITED SERVICES AUTOMOBILE ASSOCIATION et a.USAAinsurance violation2022WA-INS$50,000
STANDARD FIRE INSURANCE COMPANYTravelersinsurance violation2022WA-INS$15,000
Cash America West, Inc. and First Cash, Inc.FirstCashwage and hour violation2022WA-SOLS$383,873
Deutsche Bank Trust Company AmericasDeutsche Bankbanking violation2022FED$105,500
The Bank of New York Mellon CorporationBank of New York Mellonemployment discrimination2022OFCCP$1,925,000
Goldman Sachs Asset Management, L.P.Goldman Sachsinvestor protection violation2022SEC$4,000,000
Allstate InsuranceAllstateprivacy violation2022private lawsuit-federal$4,500,000
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2022OSHA$12,327
BUCKEYE TEXAS PROCESSING, LLCIFM Investorsworkplace safety or health violation2022OSHA$14,502
BOYD CORPORATIONGoldman Sachsworkplace safety or health violation2022OSHA$14,917
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2022OSHA$15,948
SYNAGRO WWT INCGoldman Sachsworkplace safety or health violation2022OSHA$11,095
WHEELABRATOR MILLBURY INC.Macquarieworkplace safety or health violation2022OSHA$8,287
NYRSTAR CLARKSVILLE INC.Trafiguraworkplace safety or health violation2022OSHA$14,400
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$59,500
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$22,329
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$6,725
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$6,725
Academy Mortgage CorporationAcademy Mortgage Corp.False Claims Act and related2022DOJ_CIVIL$38,500,000
Danske Bank A/SDanske Bankanti-money-laundering deficiencies2022DOJ_CRIMINAL$2,000,000,000
Danske Bank A/SDanske Bankanti-money-laundering deficiencies2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,000,000
Wells Fargo BankWells Fargoconsumer protection violation2022CFPB$3,700,000,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2022SEC$198,323
Stewart Title Guaranty CorporationStewart Information Serviceswage and hour violation2022NY-AG$2,500,000
City National BankRoyal Bank of Canadadiscriminatory practices (non-employment)2023DOJ_RIGHTS$31,000,000
Coinbase Inc.Coinbase Global Inc.anti-money-laundering deficiencies2023NY-DFS$100,000,000
TitleMax and TMX FinanceTMX Financeconsumer protection violation2023CFPB$15,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.