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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,002,583,076
Number of Records: 6,975
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$82,898,016,192264
JPMorgan Chase$36,127,193,625218
Citigroup$25,540,645,217156
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
UBS$16,879,318,334102
Goldman Sachs$16,399,485,79387
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,148,363,95019
Credit Suisse$10,732,400,12649

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
California Physicians' Service d.b.a. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
National Union Fire Insurance Company of Pittsburgh, PaAmerican International Groupinsurance violation2021KS-INS$5,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2021TX-INS$5,000
Travelers Indemnity Co.Travelersinsurance violation2021TX-INS$5,000
Ace American Insurance Co.Chubb Limitedinsurance violation2021TX-INS$5,000
Accident Fund General Insurance Co.AF Groupinsurance violation2021TX-INS$5,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2021TX-INS$5,000
Hartford Fire Insurance Co.Hartford Financial Servicesinsurance violation2021TX-INS$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
USAA Casualty Insurance Company et al.USAAinsurance violation2021KS-INS$5,000
First American Title Insurance Company of LouisianaFirst American Financialinsurance violation2021LA-INS$5,000
Nationwide Life And Annuity Insurance Company et al.Nationwideinsurance violation2021WA-INS$5,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2021WA-INS$5,000
Premera Blue CrossPremera Blue Crossinsurance violation2021WA-INS$5,000
Wedbush Morgan SecuritiesWedbush Securitiesenvironmental violation2006CA-SCAQMD$5,000
Countrywide Home LoansBank of Americaenvironmental violation2000CA-SCAQMD$5,000
El Paso Electric CompanyJPMorgan Chaseutility administrative violation2010NM-PRC$5,000
Sentry Select Insurance CompanySentry Insuranceinsurance violation2021WA-INS$5,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2022ND-INS$5,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$5,000
Servicelink, LLCFidelity National Financialconsumer protection violation2022VA-INS$5,000
Cincinnati Insurance Company et al.Cincinnati Financialinsurance violation2022WA-INS$5,000
Fidelity National Title Company of Washington IncFidelity National Financialinsurance violation2022WA-INS$5,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2022WI-INS$5,000
R.R. DONNELLEYChatham Asset Managementworkplace safety or health violation2004OSHA$5,000
BANK OF AMERICABank of Americaworkplace safety or health violation2003OSHA$5,000
RR DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2001OSHA$5,000
WELLS FARGO SECURITIES, LLC.Wells Fargoworkplace safety or health violation2004OSHA$5,000
WASHINGTON MUTUALJPMorgan Chaseworkplace safety or health violation2007OSHA$5,000
PRO LINE PRINTING, INC.Chatham Asset Managementworkplace safety or health violation2007OSHA$5,000
CITIBANK, N.A.Citigroupworkplace safety or health violation2010OSHA$5,000
FARMERS INSURANCE EXCHANGEFarmers Insurance Exchangeworkplace safety or health violation2010OSHA$5,000
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2011OSHA$5,000
IAC MADISONVILLE LLCInvescoworkplace safety or health violation2014OSHA$5,000
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2014OSHA$5,000
RR DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2015OSHA$5,000
NEOVIA LOGISTICS DISTRIBUTION, LLCGoldman Sachsworkplace safety or health violation2016OSHA$5,000
FITTJE BROS. PRINTING CO.Chatham Asset Managementworkplace safety or health violation2017OSHA$5,000
W. R. BERKLEY CORPORATIONW.R. Berkleyworkplace safety or health violation2017OSHA$5,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$5,000
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2014MSHA$5,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$5,000
Keybank National AssociationKeyCorpbanking violation2015OCC$5,005
J P Morgan ChaseJPMorgan ChaseFamily and Medical Leave Act2007WHD$5,008
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$5,016
RR DONNELLEY RENO OFFSETChatham Asset Managementworkplace safety or health violation2011OSHA$5,024
American Express Bank Ltd.American Expresseconomic sanction violation2004OFAC$5,041
Univest Corporation of PennsylvaniaUnivest FinancialFamily and Medical Leave Act2016WHD$5,076
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2014TX-INS$5,079
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2010MSHA$5,080
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2010MSHA$5,080
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$5,080
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$5,080
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$5,080
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2015MSHA$5,080
IFCO SYSTEMS N.A. INC.Triton Investments Advisersworkplace safety or health violation2013OSHA$5,082
CITIMORTGAGE, INC.Citigroupworkplace safety or health violation2007OSHA$5,097
Great Plains Specialty Finance, Inc., d/b/a Check 'n goCNG Financialconsumer protection violation2016NE-DBF$5,100
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2007OSHA$5,100
Compass BankPNC Financial Serviceswage and hour violation2005WHD$5,105
Wells Fargo BankWells FargoFamily and Medical Leave Act2006WHD$5,152
BUSEY BANKFirst Busey Corp.banking violation2006FDIC$5,200
United American Insurance Co.Globe Life Inc.insurance violation2013MD-INS$5,200
Sentry Insurance a Mutual CompanySentry Insuranceinsurance violation2011MO-INS$5,200
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INCInvescoworkplace safety or health violation2007OSHA$5,200
IFCO SYSTEMS DBA VALLEY WOOD PRODUCTS, INC.Triton Investments Advisersworkplace safety or health violation2006OSHA$5,226
IMPERIAL SUGAR COMPANYLouis Dreyfusenvironmental violation2009EPA$5,240
City National BankRoyal Bank of Canadabanking violation2010OCC$5,250
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$5,250
BUCKEYE PENNSAUKEN TERMINAL LLCIFM Investorsenvironmental violation2012NJ-ENV$5,250
IFCO SYSTEMS NORTH AMERICATriton Investments Advisersworkplace safety or health violation2004OSHA$5,250
BOWNE & COMPANY, INC.Chatham Asset Managementworkplace safety or health violation2006OSHA$5,250
DEUTSCHE BANK USADeutsche Bankworkplace safety or health violation2013OSHA$5,250
Ace American Insurance CompanyChubb Limitedinsurance violation2017TX-INS$5,255
Group Hospitalization & Medical Services, Inc.CareFirst of Marylandinsurance violation2012MD-INS$5,300
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2017TX-INS$5,300
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2014TX-INS$5,325
Bristol West Insurance Co.Zurich Insuranceinsurance violation2008ID-INS$5,330
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2020MSHA$5,332
HSBC North America IncHSBCwage and hour violation2006WHD$5,357
IAC Springfield, LLCInvescoFamily and Medical Leave Act2015WHD$5,377
Pacific Resources Benefits Advisors, LLCBrown & Browntax violations2014CT-AG$5,400
New Hampshire Insurance Co.American International Groupinsurance violation2002FL-OFR$5,400
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$5,400
IFCO SYSTEMS NORTH AMERICA INCTriton Investments Advisersworkplace safety or health violation2008OSHA$5,400
UNUM GROUP CORPORATIONUnumworkplace safety or health violation2011OSHA$5,400
Transamerica OccidentalAegonenvironmental violation2003CA-SCAQMD$5,438
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2015NE-DBF$5,450
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020KY-FIN$5,465
Scott Danahy Naylon Co. Inc.Financial Institutions Inc.wage and hour violation2005WHD$5,495
Union Bank of CaliforniaMitsubishi UFJ Financial Groupeconomic sanction violation2005OFAC$5,500
Wachovia BankWells Fargoeconomic sanction violation2005OFAC$5,500
American Express CompanyAmerican Expresseconomic sanction violation2004OFAC$5,500
Arab Banking Corp.Arab Banking Corp.economic sanction violation2004OFAC$5,500
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$5,500
Bank OneJPMorgan Chaseeconomic sanction violation2004OFAC$5,500
CitibankCitigroupeconomic sanction violation2004OFAC$5,500
Commerzbank AGCommerzbankeconomic sanction violation2004OFAC$5,500
Deutsche BankDeutsche Bankeconomic sanction violation2004OFAC$5,500
HSBC Bank USAHSBCeconomic sanction violation2004OFAC$5,500
Credit Lyonnais, NYCredit Agricoleeconomic sanction violation2003OFAC$5,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.