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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,479,735,000115
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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 icon . AgencyPenalty Amount
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
Marsh USA Inc.Marsh & McLennaninsurance violation2023AK-INS$55,000
California Physicians' Service d.b.a. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2023CA-MHC$10,000
Metlife Pet Insurance Services LLC fka Petfirst Healthcare LLCMetLifeinsurance violation2023NY-DFS$129,000
Freddie MacFreddie Mac (Federal Home Loan Mortgage Corporation)environmental violation2023RI-AG$460,000
Everest National Insurance CompanyEverest Re Groupinsurance violation2023TX-INS$22,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$22,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$69,750
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$34,500
XL Specialty Insurance CompanyAXAinsurance violation2023TX-INS$22,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$60,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$97,200
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2023TX-INS$29,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2023TX-INS$8,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023UT-INS$79,000
ESURANCE INSURANCE COMPANYAllstateinsurance violation2023WA-INS$5,000
Park National BankPark National Corp.discriminatory practices (non-employment)2023DOJ_RIGHTS$9,000,000
Wells FargoWells FargoAmericans with Disabilities Act2023USAO$10,000
KeyBanc Capital Markets Inc.KeyCorpinvestor protection violation2023SEC$397,135
Ocwen Loan Servicing, LLCOcwen Financialconsumer protection violation2023CA-DFPI$5,988,704
Wells Fargo & Co.Wells Fargobanking violation2023FED$67,762,500
Wells Fargo & Co.Wells Fargoeconomic sanction violation2023OFAC$30,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2023SEC$9,660,000
Chatham Asset Management LLCChatham Asset Managementinvestor protection violation2023SEC$18,800,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2023MULTI-FIN$10,200,000
Mizuho Capital Markets LLCMizuho Financialinvestor protection violation2023CFTC$6,847,182
Goldman SachsGoldman Sachsinvestor protection violation2023CFTC$15,000,000
HSBC Bank USA, N.A.HSBCinvestor protection violation2023CFTC$45,000,000
HSBC Bank PLCHSBCinvestor protection violation2023CFTC$30,000,000
Bank of Nova ScotiaScotiabankinvestor protection violation2023CFTC$15,000,000
Citizens BankCitizens Financial Groupconsumer protection violation2023CFPB$9,000,000
Asurion LLCAsurionemployment discrimination2023DOJ_RIGHTS$13,395
HSBC Securities (USA) Inc.HSBCinvestor protection violation2023SEC$15,000,000
Scotia Capital (USA) Inc.Scotiabankinvestor protection violation2023SEC$7,500,000
UBSUBSbanking violation2023TX-AG$850,000
Robinhood Financial LLCRobinhood Marketsprivacy violation2023private lawsuit-federal$20,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2023private lawsuit-federal$17,750,000
TP ICAP PLCTP ICAP PLCprice-fixing or anti-competitive practices2023private lawsuit-federal$2,375,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$89,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$10,000
California Physicians' ServiceCalifornia Physicians' ServiceMedicare Parts C and D Enforcement Action2022CMS$40,282
First Midwest BankOld National Bancorpbanking violation2022FED$253,500
Credit Suisse SecuritiesCredit Suisseinvestor 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
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2022WA-INS$40,000
Allstate Vehicle And Property Insurance CompanyAllstateinsurance violation2022WA-INS$25,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2022WA-INS$25,000
American Family Insurance CompanyAmerican Family Insuranceinsurance violation2022WA-INS$25,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2022WA-INS$50,000
CashCall, Inc. and WS Funding LLCCashCall Inc.consumer protection violation2022AZ-AG$4,800,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$7,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$15,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$10,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$40,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$10,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2022CA-MHC$17,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$15,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$10,000
NavientNavientconsumer protection violation2022ID-AG$3,972,316
The Hartford et al.Hartford Financial Servicesinsurance violation2022ID-INS$360,000
ACE American Insurance Co.Chubb Limitedinsurance violation2022ID-INS$156,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2022MD-INS$128,790
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2022MD-INS$60,000
The Hartford Casualty Insurance Co. and Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2022MN-FIN$11,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2022MN-FIN$25,000
Transamerica Life Insurance CompanyAegoninsurance violation2022NE-DOI$25,000
Ameritas Investment Co.Ameritas Mutual Holding Companyinvestor protection violation2022NV-SEC$15,000
Navient Corp. and Navient Solutions, LLCNavientconsumer protection violation2022NH-AG$3,590,988
Nationwide Life Insurance CompanyNationwideinsurance violation2022NY-DFS$5,640,000
MoneyGram International Inc.MoneyGram Internationalanti-money-laundering deficiencies2022NY-DFS$8,250,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022NY-DFS$2,200,000
Progressive Direct Insurance CompanyProgressiveinsurance violation2022NY-DFS$2,000,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2022ND-INS$5,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2022PA-INS$25,000
National Casualty CompanyNationwideinsurance violation2022RI-FIN$20,000
SYNAGRO WOONSOCKET, LLCGoldman Sachsenvironmental violation2022RI-ENV$120,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2022SD-INS$45,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$7,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$20,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$5,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$12,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$14,000
Ace American Insurance Co.Chubb Limitedinsurance violation2022TX-INS$6,500
Acadia Insurance CompanyW.R. Berkleyinsurance violation2022VT-FIN$100,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2022VT-FIN$640,000
Servicelink, LLCFidelity National Financialconsumer protection violation2022VA-INS$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.