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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 TypeYearAgencyPenalty Amount sort icon
GRANITE STATE INSURANCE CO.American International Groupinsurance violation2018VA-INS$152,318
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2022SEC$152,955
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2010TX-INS$153,000
Norwest Investment Services, Inc.Wells Fargoinvestor protection violation2002SEC$153,245
Carl OstachIFM Investorswater pollution violation2021EPA$153,637
BUCKEYE PIPELINE CO LP-BREINIGSVILLE, PAIFM Investorswater pollution violation2021EPA$153,637
Popular Mortgage, Inc.Popular Inc.wage and hour violation2011WHD$153,736
Nationwide Mutual Insurance CompanyNationwideinsurance violation2017RI-FIN$154,228
Esurance Insurance Co.Allstateinsurance violation2010CO-INS$154,500
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2011ID-FIN$155,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2012NH-BSR$155,000
Ocwen Loan Servicing LLCOcwen Financialprivacy violation2015VT-FIN$155,000
The Gas Company LLC (dba Hawaii Gas)Macquarieair pollution violation2014EPA$155,000
LOUIS DREYFUS COMPANY AGRICULTURAL INDUSTRIESLouis Dreyfusair pollution violation2019EPA$155,806
ACE American Insurance Co.Chubb Limitedinsurance violation2022ID-INS$156,000
QBE Insurance Corp.QBE Insuranceinsurance violation2008FL-OFR$157,000
BUCKEYE TERMINALS LLC - HAMMONDIFM Investorsair pollution violation2015IN-ENV$158,000
Bank of AmericaBank of Americaeconomic sanction violation2003OFAC$158,038
BB&T Leasing CompanyTruist Financialconsumer protection violation2005NY-AG$159,097
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2018CFTC$160,000
GreenSky Servicing LLCGoldman Sachsconsumer protection violation2017NJ-AG$160,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2015MA-AG$160,000
American Alternative Insurance CorporationMunich Reinsurance violation2017TX-INS$160,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2005FINRA$160,000
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2012HUD$161,180
Bristol West Insurance Co.Zurich Insuranceinsurance violation2011CO-INS$161,500
Countrywide Financial CorporationBank of Americamortgage abuses2009SD-AG$161,805
Ace Cash Express Inc.ACE Cash Expressconsumer protection violation2002MD-FIN$164,000
Ally Financial, LLCAlly Financialwage and hour violation2017WHD$164,143
Franklin American MortgageCitizens Financial Groupwage and hour violation2013private lawsuit-federal$165,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2010FL-OFR$165,000
First American Title Insurance Co.First American Financialinsurance violation2012MO-INS$165,000
Jefferson National Life Insurance Co.Nationwideinsurance violation2021CA-INS$165,342
TitleMax of Virginia Inc.TMX Financeconsumer protection violation2014DC-AG$167,257
Travelers Personal Insurance CompanyTravelersinsurance violation2022VA-INS$167,427
National General Insurance Co.Allstateinsurance violation2019CT-INS$167,500
Northern Trust Hedge Fund Services LLCNorthern Trustinvestor protection violation2020SEC$167,629
ReliaStar Life Insurance Company of New YorkVoya Financialinsurance violation2020NY-DFS$169,000
Amex Assurance Co.American Expressinsurance violation2006CA-INS$170,000
American Contractors Indemnity Co.Tokio Marineinsurance violation2007CA-INS$170,000
American Bankers Insurance Company Of FloridaAssurantinsurance violation2011WA-INS$170,000
UBS Financial Services, Inc.UBSinvestor protection violation2009MO-SEC$170,175
Allianz Global Risks U.S. Insurance CompanAllianzeconomic sanction violation2019OFAC$170,535
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americabenefit plan administrator violation2011EBSA$170,854
The United States Life Insurance CompanyAmerican International Groupinsurance violation2019NY-DFS$171,902
Waddell & Reed, Inc.Macquarieinvestor protection violation2006MO-SEC$172,161
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2016UT-INS$172,250
Gerber Life Insurance CompanyWestern & Southern Financial Groupwage and hour violation2009WHD$172,799
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2018VA-INS$173,650
RR DonnelleyChatham Asset Managementwage and hour violation2021IL-DOL$174,600
RR DonnelleyChatham Asset Managementwage and hour violation2021IL-DOL$174,720
Mizuho Securities USA Inc.Mizuho Financialdata submission deficiencies2013CFTC$175,000
KeyBanc Capital Markets Inc.KeyCorpaccounting fraud or deficiencies2016SEC$175,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2007CFTC$175,000
PayPal Inc.PayPal Holdingsprivacy violation2016TX-AG$175,000
Royal Bank of CanadaRoyal Bank of Canadaprice-fixing or anti-competitive practices2013WV-AG$175,000
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2005CA-INS$175,000
Horace Mann Insurance Co. and Horace Mann Property & Casualty Insurance Co.Horace Mann Educators Corp.insurance violation2007CA-INS$175,000
New York Life Insurance Co.New York Life Insuranceinsurance violation2009CA-INS$175,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2012MD-INS$175,000
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co.CNO Financialinsurance violation2019MN-FIN$175,000
John Alden Life Insurance Co.Assurantinsurance violation2010MT-FIN$175,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2018RI-FIN$175,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2016SC-SEC$175,000
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2010TX-INS$175,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2010TX-INS$175,000
Synagro Woonsocket, LLCGoldman Sachsenvironmental violation2018RI-ENV$175,000
Putnam Retail Management Limited PartnershipFranklin Resourcesinvestor protection violation2007FINRA$175,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2022WA-SEC$175,000
Commerzbank AGCommerzbankeconomic sanction violation2011OFAC$175,500
Great American Insurance Co.American Financial Groupinsurance violation2009MA-AG$176,000
First American Title Insurance Co.First American Financialinsurance violation2013CO-INS$177,500
AIG Claims Inc.American International Groupinsurance violation2018NY-DFS$177,500
Indiana Insurance Co.Liberty Mutual Insuranceemployment discrimination2004EEOC$178,065
Time Insurance CompanyHaven Holdingsinsurance violation2016OR-FIN$178,948
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2005OCC$180,000
Zenith Insurance Co.Fairfax Financial Holdingsemployment discrimination2006EEOC$180,000
Nationwide Property and Casualty Insurance Company et al.Nationwideinsurance violation2023MD-INS$180,000
First National Bank of PennsylvaniaF.N.B. Corporationbanking violation2015OCC$180,720
Nyrstar ClarksvilleTrafiguraair pollution violation2019TN-ENV$181,482
UNITED SERVICES AUTOMOBILE ASSOCIATION ET AL.USAAinsurance violation2017VA-INS$182,209
Praetorian Insurance CompanyQBE Insuranceinsurance violation2019VA-INS$183,819
U.S. Bank National AssociationU.S. Bancorpbanking violation2017OCC$183,920
Transamerica Life Insurance CompanyAegoninsurance violation2019MD-INS$184,000
Guaranteed Rate INCGuaranteed Rate Inc.wage and hour violation2015WHD$184,423
Ameriprise FinancialAmeriprise Financialwage and hour violation2011private lawsuit-federal$185,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2011CA-INS$185,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2011CA-INS$185,000
LPL Financial LLCLPL Financialinvestor protection violation2013MO-SEC$185,000
Comerica Securities, Inc.Comericainvestor protection violation2019SEC$186,377
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2012MT-FIN$186,439
Jackson Hewitt Tax Service Inc.Jackson Hewittconsumer protection violation2019MA-AG$187,000
Bank of New York MellonBank of New York Mellonemployment discrimination2010NJ-AG$188,037
CashCall Inc. and WS Funding LLCCashCall Inc.consumer protection violation2019NH-BKG$188,800
CashCall, Inc.CashCall Inc.consumer protection violation2019NH-BKG$188,880
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2010MO-INS$188,976
Progressive Casualty Insurance Company et al.Progressiveinsurance violation2022NY-DFS$189,000
Lawyers Title Insurance Corp.Fidelity National Financialinsurance violation2010MO-INS$190,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2014NY-DFS$190,000
LPL Financial, LLCLPL Financialinvestor protection violation2023PA-BKG$190,000
Buckeye Partners LPIFM Investorspipeline safety violation2017PHMSA$193,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.