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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
Credit Lyonnais, NYCredit Agricoleeconomic sanction violation2003OFAC$5,500
Deutsche Bank A.G.Deutsche Bankeconomic sanction violation2003OFAC$5,500
HSBC Bank USAHSBCeconomic sanction violation2003OFAC$5,500
National City BankPNC Financial Serviceseconomic sanction violation2003OFAC$5,500
Wells Fargo BankWells Fargoeconomic sanction violation2003OFAC$5,500
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2007CO-INS$5,500
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2000FL-OFR$5,500
GREAT AMERICAN ALLIANCE INSURANCE COMPANYAmerican Financial Groupinsurance violation2001FL-OFR$5,500
Jackson National Life Insurance Co.Jackson Financialinsurance violation2004FL-OFR$5,500
Fireman's Fund Insurance Co.Allianzinsurance violation2007FL-OFR$5,500
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2010MD-INS$5,500
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2011MD-INS$5,500
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2011MD-INS$5,500
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2014MD-INS$5,500
Liberty Mutual Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2015MD-INS$5,500
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$5,500
Securian Financial Services, Inc.Securian Financialconsumer protection violation2013NE-DBF$5,500
Hartford Casualty Insurance CorporationHartford Financial Servicesinsurance violation2011TX-INS$5,500
American Home Assurance CompanyAmerican International Groupinsurance violation2013TX-INS$5,500
Zurich American Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$5,500
State Farm Fire and Casualty CompanyState Farm Insuranceinsurance violation2015TX-INS$5,500
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2015TX-INS$5,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$5,500
United Insurance CompanyKemperinsurance violation2012UT-INS$5,500
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$5,500
Everest National Insurance CompanyEverest Re Groupinsurance violation2021TX-INS$5,500
Mercury Air CentersMacquarieenvironmental violation2011CA-SCAQMD$5,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2021TX-INS$5,500
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2015OSHA$5,500
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$5,503
GMAC Mortgage, LLCAlly Financialenvironmental violation2010AL-ENV$5,505
ALLIED PROPERTY & CASUALTY INSURANCENationwideinsurance violation2014VA-INS$5,530
CLECO CORPORATIONMacquarieworkplace safety or health violation2017OSHA$5,545
World Acceptance CorporationWorld Acceptance Corporationwage and hour violation2019WHD$5,549
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2007OSHA$5,550
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2015NE-DBF$5,600
THE HARTFORD FINANCIAL SERVICES GROUP, INC.Hartford Financial Servicesworkplace safety or health violation2011OSHA$5,600
FIDELITY NATIONAL FINANCIAL, INC.Fidelity National Financialworkplace safety or health violation2015OSHA$5,605
Conseco Life Insurance Co.CNO Financialinsurance violation2000FL-OFR$5,625
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2007OSHA$5,625
Midland States BankMidland States Bancorpbanking violation2013FED$5,645
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2015MSHA$5,645
American Express Travel Related Services Co.American Expresswage and hour violation2021WHD$5,663
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsenvironmental violation2007NJ-ENV$5,700
Chubb Indemnity CompanyChubb Limitedinsurance violation2014TX-INS$5,725
SYNAGRO TECHNOLOGIES, INC.Goldman Sachsworkplace safety or health violation2004OSHA$5,725
Allied Home Mortgage Capital Corp.Americus Mortgageconsumer protection violation2009KY-FIN$5,740
Phoenix Insurance CompanyTravelersinsurance violation2014TX-INS$5,750
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020SD-SEC$5,750
IAC DAYTON LLCInvescoworkplace safety or health violation2013OSHA$5,775
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2019MSHA$5,776
Mastercard International, IncMasterCardwage and hour violation2008WHD$5,777
ASURION, LLC.Asurionworkplace safety or health violation2020OSHA$5,783
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$5,800
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2014TX-INS$5,800
Buckeye Pipe Line Company LP,IFM Investorsenvironmental violation2014EPA$5,813
Bank of America, NABank of Americawage and hour violation2010WHD$5,827
The Bank of New YorkBank of New York Melloneconomic sanction violation2005OFAC$5,844
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2019TX-INS$5,850
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLCInvescoworkplace safety or health violation2011OSHA$5,850
Illinois National Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$5,856
DITECH INCDitech Holding Corporationworkplace safety or health violation2014OSHA$5,880
Federal Insurance Co.Chubb Limitedinsurance violation2008MO-INS$5,900
AMERICAN INTERNATIONAL GROUPAmerican International Groupworkplace safety or health violation2003OSHA$5,900
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2018MSHA$5,903
Praetorian Insurance CompanyQBE Insuranceinsurance violation2019MD-INS$5,920
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2004FL-OFR$5,950
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2012OSHA$5,950
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersworkplace safety or health violation2011OSHA$5,950
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$5,961
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2015MSHA$5,961
Bank of America CorporationBank of Americawage and hour violation2004WHD$5,972
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$5,997
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2016FRA$6,000
CNG FINANCIAL CORPORATIONCNG Financiallabor relations violation2001NLRB$6,000
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2018FRA$6,000
Interactive Brokers, LLCInteractive Brokers Groupinvestor protection violation2013AR-SEC$6,000
Ticor Title Company of CaliforniaFidelity National Financialinsurance violation2018CA-INS$6,000
Commerce and Industry Insurance Co.American International Groupinsurance violation2005CO-INS$6,000
Old Republic Insurance Co.Old Republic Internationalinsurance violation2006CO-INS$6,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2006CO-INS$6,000
Nationwide Mutual Fire Insurance Co.Nationwideinsurance violation2007CO-INS$6,000
Nationwide Property and Casualty Insurance Co.Nationwideinsurance violation2007CO-INS$6,000
PHH Mortgage Corp. dba Century MortgageOcwen Financialconsumer protection violation2009CT-BKG$6,000
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2014DE-INS$6,000
The Travelers Indemnity Company of America et al.Travelersinsurance violation2020DE-INS$6,000
STANDARD GUARANTY INSURANCE COMPANYAssurantinsurance violation2001FL-OFR$6,000
Globe Life and Accident Insurance Co.Globe Life Inc.insurance violation2001FL-OFR$6,000
Ace American Insurance Co.Chubb Limitedinsurance violation2003FL-OFR$6,000
Continental Western Insurance Co.W.R. Berkleyinsurance violation2012KS-INS$6,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2016KY-FIN$6,000
Axa Insurance Co.AXAinsurance violation2019LA-INS$6,000
Zurich DirectZurich Insuranceinsurance violation2002MA-INS$6,000
Harleysville Worcester Insurance CompanyNationwideinsurance violation2002MA-INS$6,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2013MD-INS$6,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2014MD-INS$6,000
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2000ME-INS$6,000
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2001MN-FIN$6,000
United Services Automobile Association et al.USAAinsurance violation2007MO-INS$6,000
Transamerica Life Insurance Co.Aegoninsurance violation2019MO-INS$6,000
Investment Centers of America Inc.LPL Financialinvestor protection violation2006ND-SEC$6,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.