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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $380,111,147,460
Number of Records: 7,452
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$38,995,648,319267
UBS$31,045,549,125177
Wells Fargo$27,517,918,911260
Citigroup$26,917,736,792179
Deutsche Bank$19,968,467,56396
Goldman Sachs$17,475,327,552105
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 .
Bankers Life and Casualty Co.CNO Financialinsurance violation2008MN-FIN$7,500
Sun Life Insurance Company of CanadaSun Life Financialinsurance violation2009MN-FIN$7,500
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2014MN-FIN$7,500
The Hanover Insurance Co.Hanover Insuranceinsurance violation2015MN-FIN$7,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2015MN-FIN$7,500
Genworth Life Insurance Co.Genworth Financialinsurance violation2016MN-FIN$7,500
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2007MT-INS$7,500
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2018NE-DOI$7,500
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2017NH-BSR$7,500
AIG Casualty CompanyAmerican International Groupinsurance violation2007OR-FIN$7,500
Travelers Indemnity Company of ConnecticutTravelersinsurance violation2004PA-INS$7,500
National General InsuranceAllstateinsurance violation2014RI-FIN$7,500
Bristol West Insurance CompanyZurich Insuranceinsurance violation2011SC-INS$7,500
Protective Insurance CompanyProgressiveinsurance violation2014SD-INS$7,500
Union Security Insurance CompanyAssurantinsurance violation2015SD-INS$7,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2008TX-INS$7,500
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2009TX-INS$7,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2009TX-INS$7,500
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2009TX-INS$7,500
Great American Alliance Insurance CompanyAmerican Financial Groupinsurance violation2014TX-INS$7,500
The Travelers Indemnity CompanyTravelersinsurance violation2015TX-INS$7,500
Old Republic National Title Insurance CompanyOld Republic Internationalinsurance violation2016TX-INS$7,500
Ace American Insurance CompanyChubb Limitedinsurance violation2018TX-INS$7,500
The Travelers Indemnity CompanyTravelersinsurance violation2018TX-INS$7,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2019TX-INS$7,500
AMERICAN FAMILY LIFE ASSURANCEAflacinsurance violation2003VA-INS$7,500
PRUDENTIAL INSURANCE COMPANYPrudential Financialinsurance violation2004VA-INS$7,500
PRUCO LIFE INSURANCE COPrudential Financialinsurance violation2004VA-INS$7,500
CONSECO SENIOR HEALTH INS.CNO Financialinsurance violation2005VA-INS$7,500
VICTORIA FIRE AND CASUALTY INSURANCENationwideinsurance violation2009VA-INS$7,500
UNITED OF OMAHA LIFE INSURANCEMutual of Omahainsurance violation2012VA-INS$7,500
TOKIO MARINE KILN SYNDICATES, LTD.Tokio Marineinsurance violation2018VA-INS$7,500
Chicago Insurance CompanyAllianzinsurance violation2010WA-INS$7,500
Fidelity & Guaranty Life Insurance CompanyFidelity National Financialinsurance violation2012WA-INS$7,500
Washington National Insurance CompanyCNO Financialinsurance violation2018WA-INS$7,500
American Family Connect Property And Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2019WA-INS$7,500
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2010WI-INS$7,500
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2012WI-INS$7,500
The Standard Insurance Co.Meiji Yasuda Life Insuranceinsurance violation2020CT-INS$7,500
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2020TX-INS$7,500
CMFG Life Insurance CompanyCUNA Mutualinsurance violation2021VA-INS$7,500
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-SEC$7,500
AMERICAN HEALTH AND LIFE INSURANCE COMPANYOneMain Holdingsinsurance violation2021MO-INS$7,500
Provident Life and Accident Insurance Co.Unuminsurance violation2021CT-INS$7,500
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2021TX-INS$7,500
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$7,500
Standard Fire Insurance Co.Travelersinsurance violation2021TX-INS$7,500
Accident Fund National Insurance Co.AF Groupinsurance violation2021TX-INS$7,500
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$7,500
Allstate Property & Casualty Insurance Company, et al.Allstateinsurance violation2021RI-FIN$7,500
Unitrin Direct Property & Casualty CompanyKemperinsurance violation2021TX-INS$7,500
Allstate Fire & Casualty Insurance Company et al.Allstateinsurance violation2021WA-INS$7,500
R. R. Donnelley & Sons Co.Chatham Asset Managementenvironmental violation2013CA-SCAQMD$7,500
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2009CA-SCAQMD$7,500
Credit Suisse Energy LLCUBSutility service violation2017TX-PUC$7,500
New Hampshire Insurance Co.American International Groupinsurance violation2022AK-INS$7,500
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$7,500
Brown & Brown Insurance Agency of Virginia, Inc.Brown & Browninsurance violation2014NC-INS$7,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$7,500
Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$7,500
R R DONNELLEYChatham Asset Managementworkplace safety or health violation2009OSHA$7,500
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2008OSHA$7,500
IAC MADISONVILLE LLCInvescoworkplace safety or health violation2014OSHA$7,500
WHEELABRATOR NORTH ANDOVERMacquarieworkplace safety or health violation2019OSHA$7,500
Morgan Stanley Capital Group, Inc.Morgan Stanleyenvironmental violation2002EPA$7,500
Citizens Bank of Rhode IslandCitizens Financial Groupenvironmental violation2007RI-ENV$7,510
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$7,578
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2018CT-SEC$7,590
HSBC BankHSBCwage and hour violation2006WHD$7,599
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2018TX-INS$7,600
NEOVIA LOGISTICS SERVICES, LLCGoldman Sachsworkplace safety or health violation2017OSHA$7,605
Bank of HawaiiBank of Hawaiiwage and hour violation2018WHD$7,631
CITICORP CREDIT CARD SERVICES, INC. (USA)Citigroupworkplace safety or health violation2014OSHA$7,650
Wheelabrator Portsmouth Inc.Macquarieenvironmental violation2016VA-ENV$7,669
Continental Western Insurance Co.W.R. Berkleyinsurance violation2007MO-INS$7,708
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusenvironmental violation2013IN-ENV$7,750
RR DONNELLEY INCChatham Asset Managementworkplace safety or health violation2012OSHA$7,750
Huntington Bancshares IncorporatedHuntington BancsharesFamily and Medical Leave Act2015WHD$7,788
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2020VA-INS$7,800
Ruesch International, Inc.Western Unioneconomic sanction violation2004OFAC$7,811
American Home Assurance CompanyAmerican International Groupinsurance violation2014TX-INS$7,848
Ace Fire Underwriters Insurance CompanyChubb Limitedinsurance violation2010OR-FIN$7,900
Synagro of Texas-CDR, Inc.Goldman Sachsenvironmental violation2015TX-ENV$7,927
Fidelity National Financial, IncFidelity National Financialwage and hour violation2004WHD$7,945
Peter Cremer CompanyCremerrailroad safety violation2013FRA$8,000
NEW YORK COMMUNITY BANKNew York Community Bancorpbanking violation2004FDIC$8,000
Wells Fargo Fund Distributor, LLCWells Fargoconsumer protection violation2014CA-DFPI$8,000
Pruco Life Insurance Co.Prudential Financialinsurance violation2015CA-INS$8,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2019DE-INS$8,000
Travelers Indemnity Co.Travelersinsurance violation2003FL-OFR$8,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2008FL-OFR$8,000
Amex Assurance Co.American Expressinsurance violation2008FL-OFR$8,000
Workmen's Auto Insurance CompanyMercury General Corporationinsurance violation2003IN-INS$8,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2003IN-INS$8,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2009KS-INS$8,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2010KY-FIN$8,000
Thrivent Financial For LutheransThrivent Financialinsurance violation2012MD-INS$8,000
Fidelity & Guaranty Life Insurance Co.Fidelity National Financialinsurance violation2014MD-INS$8,000
The Standard Fire Insurance Co.Travelersinsurance violation2015MD-INS$8,000
Empire Fire and Marine Insurance Co. et al.Zurich Insuranceinsurance violation2015MD-INS$8,000
LM General Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2015MD-INS$8,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.