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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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$14,370,701,61843
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
Hanover Insurance CompanyHanover Insuranceinsurance violation2023TX-INS$30,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$12,000
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$22,250
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$9,500
Hanover Insurance CompanyHanover Insuranceinsurance violation2023TX-INS$17,500
XL Specialty Insurance CompanyAXAinsurance violation2023TX-INS$9,500
Liberty Mutual Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$6,250
Safety National Casualty Corp.Tokio Marineinsurance violation2023TX-INS$19,000
Riversource Life Insurance CompanyAmeriprise Financialinsurance violation2023WA-INS$59,613
TRANSAMERICA LIFE INSURANCE COMPANYAegoninsurance violation2023WA-INS$40,000
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANYMassachusetts Mutual Life Insuranceinsurance violation2023WA-INS$10,000
Bank of AmericaBank of Americaconsumer protection violation2023CFPB$12,000,000
Principal Life Insurance CompanyPrincipal Financialbenefit plan administrator violation2023EBSA$10,001
Citizens BankCitizens Financial Groupemployment discrimination2023EEOC$100,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceconsumer protection violation2023KY-AG$1,350,000
BofA Securities, Inc.Bank of Americainvestor protection violation2023FINRA$24,000,000
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2023PHMSA$441,151
NeoviaGoldman Sachslabor relations violation2023NLRB$7,000
Cooperatieve Rabobank U.ARabobankprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
Lloyds Banking Group plcLloyds Banking Groupprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
Royal Bank of CanadaRoyal Bank of Canadaprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
Portigon Financial ServicesPortigon Financial Servicesprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
MUFG Bank, Ltd.U.S. Bancorpprice-fixing or anti-competitive practices2023private lawsuit-federal$30,000,000
Norinchukin BankNorinchukin Bankprice-fixing or anti-competitive practices2023private lawsuit-federal$30,000,000
Societe GeneraleSociete Generaleprice-fixing or anti-competitive practices2023private lawsuit-federal$30,000,000
USAA Casualty Insurance CompanyUSAAconsumer protection violation2023private lawsuit-federal$2,291,738
Navient Solutions LLCNavientconsumer protection violation2023private lawsuit-federal$198,400,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$9,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$9,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$7,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$7,000
U.S. BankU.S. Bancorpconsumer protection violation2023CFPB$20,700,000
Privilege Underwriters Reciprocal ExchangeTokio Marineeconomic sanction violation2023OFAC$466,200
Nasdaq, Inc.Nasdaq Inc.economic sanction violation2023OFAC$4,040,923
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2023SEC$10,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2023OCC$15,000,000
Midland Credit Management, Inc.Encore Capital Groupbenefit plan administrator violation2023EBSA$10,001
Pacific Life Insurance CompanyPacific Lifeinsurance violation2023MN-FIN$250,000
Transamerica Financial Life Insurance CompanyAegoninsurance violation2023NY-DFS$120,000
Navient Solutions, LLCNavientconsumer protection violation2023VA-FIN$43,600
Progressive Specialty Insurance CompanyProgressiveinsurance violation2023MD-INS$38,500
Standard Fire Insurance CompanyTravelersinsurance violation2023TX-INS$25,000
XL Insurance America Inc.AXAinsurance violation2023TX-INS$24,000
Travelers Casualty & Surety CompanyTravelersinsurance violation2023TX-INS$22,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$18,000
Nyrstar Clarksville Inc.Trafiguraair pollution violation2023TN-ENV$17,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$17,500
Safety National Casualty CorporationTokio Marineinsurance violation2023TX-INS$17,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$17,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2023TX-INS$15,000
Everest Premier Insurance CompanyEverest Re Groupinsurance violation2023TX-INS$13,500
AIU Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$12,500
Phoenix Insurance CompanyTravelersinsurance violation2023TX-INS$12,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$12,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$11,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2023TX-INS$10,000
AIG Property Casualty CompanyAmerican International Groupinsurance violation2023TX-INS$9,000
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2023VA-INS$8,800
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$7,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$6,000
QBE Insurance CorporationQBE Insuranceinsurance violation2023TX-INS$5,000
United Wisconsin Insurance Co.AF Groupinsurance violation2023TX-INS$5,000
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2023OSHA$11,786
SYNAGRO-WWT, INC.Goldman Sachsworkplace safety or health violation2023OSHA$16,500
EL PASO ELECTRIC COMPANYJPMorgan Chaseworkplace safety or health violation2023OSHA$10,000
FIFTH THIRD BANK, NATIONAL ASSOCIATIONFifth Third Bancorpworkplace safety or health violation2023OSHA$8,500
NEW YORK LIFE INSURANCE COMPANYNew York Life Insuranceworkplace safety or health violation2023OSHA$6,697
R. R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2023OSHA$5,125
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2023OSHA$8,766
MIDFIRST BANKMidFirst Bankworkplace safety or health violation2023OSHA$5,581
RR DONNELLEY AND SONS, INC.Chatham Asset Managementworkplace safety or health violation2023OSHA$32,262
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2023MSHA$9,979
Bank of AmericaBank of Americawage and hour violation2024private lawsuit-federal$1,890,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2024USAO$153,431,223
Nelnet, Inc.Nelnetconsumer protection violation2024MA-AG$1,800,000
AllianzAllianzdiscriminatory practices (non-employment)2024WA-AG$1,500,000
Vitol Inc.Vitolenergy market violation2024FERC$2,225,000
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinabanking violation2024FED$2,400,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2024SEC$18,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2024SEC$83,000,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2024private lawsuit-federal$81,700,000
Wells Fargo Bank N.A.Wells Fargowage and hour violation2024private lawsuit-federal$16,600,000
Prosper Marketplace, Inc.Prosper Marketplaceconsumer protection violation2024CO-AG$10,000
First National Bank of PennsylvaniaF.N.B. Corporationmortgage abuses2024NC-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $13,500,000
AllianzAllianzdiscriminatory practices (non-employment)2024WA-AG$1,500,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2024FINRA$1,600,000
First National Bank of PennsylvaniaF.N.B. Corporationdiscriminatory practices (non-employment)2024DOJ_RIGHTS$13,500,000
City National BankRoyal Bank of Canadabanking violation2024OCC$65,000,000
TIAA-CREF Individual & Institutional Services LLCTIAAinvestor protection violation2024SEC$2,200,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualinvestor protection violation2024SEC$16,500,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2024SEC$12,000,000
Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2024SEC$8,500,000
U.S. Bancorp Investments Inc.U.S. Bancorpinvestor protection violation2024SEC$8,000,000
Aon Investments USA Inc.Aoninvestor protection violation2024SEC$1,542,187
LendingTree LLCLendingTreeprivacy violation2024private lawsuit-federal$875,000
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinabanking violation2024NY-DFS$30,000,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2024MA-SEC$7,500,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2024MT-FIN$2,000,000
Edward D. Jones & Co., LPJones Financialinvestor protection violation2024PA-BKG$300,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2024NY-DFS$150,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2024OR-FIN$100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.