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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $380,015,282,562
Number of Records: 7,409
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$87,232,669,824317
JPMorgan Chase$38,995,638,319266
UBS$31,045,549,125177
Wells Fargo$27,482,918,911259
Citigroup$26,914,836,792178
Deutsche Bank$19,968,467,56396
Goldman Sachs$17,469,794,852102
NatWest Group PLC$14,349,701,61842
Morgan Stanley$10,535,931,900197
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 .
Metropolitan Life Insurance CompanyMetLifeFamily and Medical Leave Act2009WHD$6,375
Accident Fund General Insurance CompanyAF Groupinsurance violation2018TX-INS$6,400
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2011OSHA$6,400
Bank of AmericaBank of AmericaFamily and Medical Leave Act2008WHD$6,500
Noble Americas CorporationVitolrailroad safety violation2017FRA$6,500
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2017AK-DBS$6,500
Principal Life Insurance Co.Principal Financialinsurance violation2002FL-OFR$6,500
United Insurance Co. of AmericaKemperinsurance violation2007IN-INS$6,500
National Casualty CompanyNationwideinsurance violation2000MA-INS$6,500
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2008OR-FIN$6,500
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2014TX-INS$6,500
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$6,500
Marsh USA, Inc.Marsh & McLennaninsurance violation2016TX-INS$6,500
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2019TX-INS$6,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2019TX-INS$6,500
First American Title Insurance CompanyFirst American Financialinsurance violation2016UT-INS$6,500
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2010WA-INS$6,500
General Casualty Company of WisconsinQBE Insuranceinsurance violation2003WI-INS$6,500
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2003WI-INS$6,500
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020NM-SEC$6,500
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020RI-FIN$6,500
BROADRIDGE FINANCIAL SOLUTIONS INCBroadridge Financial Solutionsenvironmental violation2008NJ-ENV$6,500
Harleysville Worcester Insurance CompanyNationwideinsurance violation2020CT-INS$6,500
Coinbase, Inc.Coinbase Global Inc.consumer protection violation2021FL-OFR$6,500
Accident Fund General Insurance Co.AF Groupinsurance violation2021TX-INS$6,500
Progressive Direct Insurance CompanyProgressiveinsurance violation2021DE-INS$6,500
First American Financial Corp.First American Financialenvironmental violation2002CA-SCAQMD$6,500
Ace American Insurance Co.Chubb Limitedinsurance violation2022TX-INS$6,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$6,500
XL Insurance America Inc.AXAinsurance violation2022TX-INS$6,500
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2023CA-MHC$6,500
Arch Insurance CompanyArch Capitalinsurance violation2022CT-INS$6,500
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$6,500
RR DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2014OSHA$6,510
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2006AK-INS$6,530
Universal Underwriters Insurance Co.Zurich Insuranceinsurance violation2007MO-INS$6,530
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$6,550
JP Morgan ChaseJPMorgan Chaseenvironmental violation2011TX-ENV$6,555
Bankers Life and Casualty Co.CNO Financialinsurance violation2007IN-INS$6,569
Stewart Title CompanyStewart Information Servicesinsurance violation2023IN-INS$6,570
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2005CA-LCO$6,572
World Acceptance Corporation, IncWorld Acceptance Corporationwage and hour violation2019WHD$6,582
Societe GeneraleSociete Generaleeconomic sanction violation2003OFAC$6,600
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2018MD-INS$6,600
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2020VA-INS$6,600
BANK OF AMERICABank of Americaworkplace safety or health violation2011OSHA$6,600
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA INCInvescoworkplace safety or health violation2015OSHA$6,600
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2009MSHA$6,600
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2014TX-INS$6,662
Bank OneJPMorgan Chaseeconomic sanction violation2004OFAC$6,682
J P Morgan Chase BankJPMorgan Chasewage and hour violation2005WHD$6,688
IFCO SYSTEMS, NORTH AMERICATriton Investments Advisersworkplace safety or health violation2012OSHA$6,720
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$6,725
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$6,725
Franklin American Mortgage CompanyCitizens Financial Groupconsumer protection violation2010PA-BKG$6,750
Old Republic InsuranceOld Republic Internationalinsurance violation2021TX-INS$6,750
THEO. DAVIS SONS, INCORPORATEDChatham Asset Managementworkplace safety or health violation2013OSHA$6,750
IAC Group North AmericaInvescoenvironmental violation2016NC-ENV$6,751
Buckeye Terminals, LLCIFM Investorsenvironmental violation2012EPA$6,766
Imperial Sugar CompanyLouis Dreyfusenvironmental violation2003TX-ENV$6,800
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$6,800
Netherlands Insurance CompanyLiberty Mutual Insuranceinsurance violation2014TX-INS$6,801
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2017TX-INS$6,825
Heritage Bank of CommerceHeritage Commerce Corp.banking violation2008FED$6,840
ZENITH INSURANCE COMPANYFairfax Financial Holdingsinsurance violation2001FL-OFR$6,850
WHEELABRATOR PORTSMOUTHMacquarieworkplace safety or health violation2010OSHA$6,890
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020VT-FIN$6,900
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2012TX-INS$6,960
JPMorgan Chase Bank, NAJPMorgan Chasewage and hour violation2009WHD$6,996
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$6,996
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2007FAA$7,000
THE COLUMBIA BANKFulton Financialbanking violation2002FDIC$7,000
Hanmi BankHanmi Financial Corp.economic sanction violation2004OFAC$7,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$7,000
Progressive Northern Insurance Co.Progressiveinsurance violation2016DE-INS$7,000
Nationwide Financial ServicesNationwideconsumer protection violation2008FL-OFR$7,000
American General Life and Accident Insurance Co.American International Groupinsurance violation2011MD-INS$7,000
Allied Property and Casualty Insurance Co.Nationwideinsurance violation2008MN-FIN$7,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2016MO-INS$7,000
Edward D. Jones & Co. LPJones Financialinvestor protection violation2003ND-SEC$7,000
Ace Cash Express, Inc.,ACE Cash Expressconsumer protection violation2010NE-DBF$7,000
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$7,000
Nationwide Property & Casualty Insurance CompanyNationwideinsurance violation2015NY-DFS$7,000
USAA Casualty Insurance Co.USAAinsurance violation2010SC-INS$7,000
Virginia Surety Company, Inc.Assurantinsurance violation2008TX-INS$7,000
XL Insurance America Inc.AXAinsurance violation2011TX-INS$7,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2013TX-INS$7,000
Chubb Indemnity Insurance CompanyChubb Limitedinsurance violation2013TX-INS$7,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2014TX-INS$7,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$7,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$7,000
The Travelers Indemnity Company of ConnecticutTravelersinsurance violation2016TX-INS$7,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$7,000
Federal Insurance CompanyChubb Limitedinsurance violation2018TX-INS$7,000
Arch Insurance CompanyArch Capitalinsurance violation2018TX-INS$7,000
AMERICAN HEALTH & LIFE INSURANCE COOneMain Holdingsinsurance violation2005VA-INS$7,000
THE TRAVELERS INDEMNITY CO. et al.Travelersinsurance violation2009VA-INS$7,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2010WA-INS$7,000
HSBC Securities USA IncHSBCinsurance violation2011WA-INS$7,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2018WA-INS$7,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2018WA-INS$7,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.