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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
Ace Cash Express Inc.ACE Cash Expressconsumer protection violation2002MD-FIN$164,000
Countrywide Financial CorporationBank of Americamortgage abuses2009SD-AG$161,805
Bristol West Insurance Co.Zurich Insuranceinsurance violation2011CO-INS$161,500
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2012HUD$161,180
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
BB&T Leasing CompanyTruist Financialconsumer protection violation2005NY-AG$159,097
Bank of AmericaBank of Americaeconomic sanction violation2003OFAC$158,038
BUCKEYE TERMINALS LLC - HAMMONDIFM Investorsair pollution violation2015IN-ENV$158,000
QBE Insurance Corp.QBE Insuranceinsurance violation2008FL-OFR$157,000
ACE American Insurance Co.Chubb Limitedinsurance violation2022ID-INS$156,000
LOUIS DREYFUS COMPANY AGRICULTURAL INDUSTRIESLouis Dreyfusair pollution violation2019EPA$155,806
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
Esurance Insurance Co.Allstateinsurance violation2010CO-INS$154,500
Nationwide Mutual Insurance CompanyNationwideinsurance violation2017RI-FIN$154,228
Popular Mortgage, Inc.Popular Inc.wage and hour violation2011WHD$153,736
Carl OstachIFM Investorswater pollution violation2021EPA$153,637
BUCKEYE PIPELINE CO LP-BREINIGSVILLE, PAIFM Investorswater pollution violation2021EPA$153,637
Norwest Investment Services, Inc.Wells Fargoinvestor protection violation2002SEC$153,245
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2010TX-INS$153,000
TD Securities (USA) LLCToronto-Dominion Bankinvestor protection violation2022SEC$152,955
GRANITE STATE INSURANCE CO.American International Groupinsurance violation2018VA-INS$152,318
Deutsche BankDeutsche Bankinvestor protection violation2009FINRA$152,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010AK-DBS$150,507
First American Title Insurance Co.First American Financialinsurance violation2007MO-INS$150,344
Torchmark CorporationGlobe Life Inc.Medicare Parts C and D Enforcement Action2013CMS$150,000
INTL FCStoneStoneX Groupaccounting fraud or deficiencies2016SEC$150,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupinvestor protection violation2015CFTC$150,000
Macquarie Futures USA LLCMacquarieinvestor protection violation2013CFTC$150,000
R.R. Donnelley & SonsChatham Asset Managementemployment discrimination2002EEOC$150,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2009SEC$150,000
Five Star BankFinancial Institutions Inc.discriminatory practices (non-employment)2015NY-AG$150,000
Metropolitan Life Insurance Co.MetLifeconsumer protection violation2004MA-AG$150,000
PayPalPayPal Holdingsconsumer protection violation2004NY-AG$150,000
American Bankers Insurance Company of Florida et al.Assurantinsurance violation2004CA-INS$150,000
Coast National Insurance Co.Zurich Insuranceinsurance violation2009CA-INS$150,000
OneMain Financial Group, LLCOneMain Holdingsconsumer protection violation2019CA-DFPI$150,000
State Farm Fire & Casualty Co.State Farm Insuranceinsurance violation2012DE-INS$150,000
PHH Mortgage Corp.Ocwen Financialmortgage abuses2012IL-BKG$150,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2019MA-SEC$150,000
Lincoln National Life Insurance Co. and Lincoln Financial GroupLincoln Nationalinsurance violation2013MN-FIN$150,000
The Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2013MN-FIN$150,000
Washington National Insurance Co.CNO Financialinsurance violation2012MO-INS$150,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008MS-SEC$150,000
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2013NY-DFS$150,000
American Modern Home Insurance CompanyMunich Reinsurance violation2015NY-DFS$150,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2015NY-DFS$150,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2008OR-FIN$150,000
Great American Insurance CompanyAmerican Financial Groupinsurance violation2005PA-INS$150,000
LendingClub CorporationLendingClub Corp.investor protection violation2015SC-SEC$150,000
MARSH USA, INC.Marsh & McLennaninsurance violation2006VA-INS$150,000
ACE CASH EXPRESS, INC.ACE Cash Expressconsumer protection violation2010VA-FIN$150,000
Allianz Life Insurance Company Of North AmericaAllianzinsurance violation2013WA-INS$150,000
Transamerica Premier Life Insurance CompanyAegoninsurance violation2013WA-INS$150,000
Allstate Life Insurance CompanyAllstateinsurance violation2018MULTI-FIN$150,000
Janney Montgomery Scott, LLCPenn Mutualinvestor protection violation2020CT-BKG$150,000
VitolVitolair pollution violation2007CA-ARB$150,000
Buckeye Pipline Co.IFM Investorsoil spill2006PA-ENV$150,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2009FINRA$150,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2009FINRA$150,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2008FINRA$150,000
BMO Capital Markets Corp.Bank of Montrealinvestor protection violation2008FINRA$150,000
Cowen and Company, LLCToronto-Dominion Bankinvestor protection violation2008FINRA$150,000
Deutsche Bank Securities, Inc.,Deutsche Bankinvestor protection violation2008FINRA$150,000
RBC Capital Markets Corp.Royal Bank of Canadainvestor protection violation2008FINRA$150,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2005FINRA$150,000
Allstate Financial Services LLCAllstateinvestor protection violation2004FINRA$150,000
RBC Dain Rauscher, Inc.Royal Bank of Canadainvestor protection violation2004FINRA$150,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2004FINRA$150,000
World Group Securities, Inc.Aegoninvestor protection violation2004FINRA$150,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankinvestor protection violation2004FINRA$150,000
Janus Henderson Investors US LLCJanus Hendersoninvestor protection violation2022SEC$150,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2023MO-SEC$150,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2024NY-DFS$150,000
Titan Insurance CompanyNationwideinsurance violation2019NY-DFS$149,300
Synagro Technologies, IncGoldman Sachswage and hour violation2005WHD$149,141
American Fire and Casualty Company and Ohio Security Insurance CompanyLiberty Mutual Insuranceinsurance violation2019VA-INS$148,910
American International GroupAmerican International Groupeconomic sanction violation2017OFAC$148,698
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2019CO-INS$147,775
Ace American Insurance CompanyChubb Limitedinsurance violation2010TX-INS$147,000
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2016NY-DFS$146,485
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2016MI-FIN$146,000
Conseco Finance Servicing Corp.CNO Financialwage and hour violation2002WHD$145,512
Arch Insurance Co.Arch Capitalinsurance violation2016MO-INS$145,000
Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2020MA-AG$145,000
Principal Life Insurance CompanyPrincipal Financialinsurance violation2020MULTI-FIN$145,000
Claritas Investments Ltd.Principal Financialinvestor protection violation2013SEC$144,819
Metropolitan Life Insurance CompanyMetLifeinsurance violation2022NJ-DBI$142,800
New Hampshire Insurance Co.American International Groupinsurance violation2012CA-INS$142,500
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2019CT-INS$141,500
Ace American Insurance Co.Chubb Limitedinsurance violation2009UT-INS$141,500
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2011PHMSA$141,200
U.S. BancorpU.S. Bancorpwage and hour violation2006WHD$140,788
U.S. BankU.S. Bancorpwage and hour violation2008WHD$140,787
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2015CO-INS$140,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.