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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
Progressive Direct Insurance Co.Progressiveconsumer protection violation2009MA-AG$120,000
Coast National Insurance Co.Zurich Insuranceinsurance violation2005CA-INS$120,000
QBE Insurance Corp.QBE Insuranceinsurance violation2007CA-INS$120,000
AIG Property Casualty Co.American International Groupinsurance violation2019CT-INS$120,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2015MO-INS$120,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2018VT-FIN$120,000
New Day Financial, LLC d/b/a NewDay USANew Day Financial LLCconsumer protection violation2015WA-FIN$120,000
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2020TX-INS$120,000
Liberty Mutual Group Inc. and Safeco Insurance Company of OregonLiberty Mutual Insuranceinsurance violation2021OR-FIN$120,000
Hartford Insurance Company of the Midwest et al.Hartford Financial Servicesinsurance violation2021TX-INS$120,000
SYNAGRO WOONSOCKET, LLCGoldman Sachsenvironmental violation2022RI-ENV$120,000
Transamerica Financial Life Insurance CompanyAegoninsurance violation2023NY-DFS$120,000
PHH Mortgage Corp.Ocwen Financialzoning violation2017NY-DFS$119,000
HealthNow New York, Inc.Highmark Inc.insurance violation2018NY-DFS$118,583
ACE Cash Express, Inc.ACE Cash Expresspayday lending violation2010CA-DFPI$118,400
American General Life Insurance Co.American International Groupinsurance violation2022MO-INS$117,300
Cash America International, Inc.FirstCashconsumer protection violation2015KY-FIN$116,998
Neovia Logistics ServicesGoldman Sachsaviation safety violation2015FAA$116,250
Fidelity and Guaranty Insurance Co.Fidelity National Financialinsurance violation2016MO-INS$115,250
TD Bank, N.A.Toronto-Dominion Bankeconomic sanction violation2021OFAC$115,005
Wells Fargo Bank, National AssociationWells Fargobanking violation2005OCC$115,000
Citizens Bank of PennsylvaniaCitizens Financial Groupdiscriminatory practices (non-employment)2016HUD$115,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2018CA-DFPI$115,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2014OR-FIN$115,000
AUTO OWNERS INSURANCE COMPANYAuto-Owners Insuranceinsurance violation2015VA-INS$114,217
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2012CO-INS$111,500
Societe GeneraleSociete Generaleeconomic sanction violation2011OFAC$111,259
American States Preferred Insurance CompanyLiberty Mutual Insuranceinsurance violation2021MD-INS$111,176
Bank of AmericaBank of Americaemployment discrimination2014EEOC$110,000
Comerica BankComericatoxic securities abuses2008MI-AG$110,000
Wells Fargo Financial Texas, Inc.Wells Fargoemployment discrimination2003EEOC$110,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2015WA-INS$110,000
William Penn Life Insurance Company of New YorkLegal & General Group PLCinsurance violation2020NY-DFS$110,000
MUFG Union Bank, National AssociationU.S. Bancorpbanking violation2019OCC$109,667
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2004FINRA$109,527
IFCO Systems of North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$108,261
LIBERTY MUTUAL FIRE INSURANCELiberty Mutual Insuranceinsurance violation2018VA-INS$108,053
Wheelabrator Falls Inc.Macquarieair pollution violation2005PA-ENV$106,849
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2020CT-INS$106,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2021DE-INS$106,000
Towers PerrinWillis Towers Watsonwage and hour violation2005WHD$105,865
Deutsche Bank Trust Company AmericasDeutsche Bankbanking violation2022FED$105,500
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2015DE-SEC$105,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2008KY-FIN$105,000
LendingClub Corp.LendingClub Corp.investor protection violation2012MO-SEC$105,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020VT-AG$105,000
Bryn Mawr Trust CompanyWSFS Financial Corp.banking violation2021FED$105,000
RR Donnelly & Sons CompanyChatham Asset Managementwage and hour violation2016WHD$104,981
Freedom Mortgage CorporationFreedom Mortgagediscriminatory practices (non-employment)2014HUD$104,000
Synagro NortheastGoldman Sachsenvironmental violation2017EPA$104,000
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusair pollution violation2011IN-ENV$103,750
Allied Cash Advance California, LLCCNG Financialpayday lending violation2011CA-DFPI$103,709
BUCKEYE PORT READING TERMINAL LLCIFM Investorsair pollution violation2005NJ-ENV$103,600
Time Insurance Co.Haven Holdingsinsurance violation2009CO-INS$103,500
Allstate Insurance CompanyAllstateinsurance violation2017RI-FIN$103,414
Metropolitan Life Insurance Co.MetLifeinsurance violation2012FL-OFR$103,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2011ME-INS$102,801
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2013PHMSA$102,800
Bankers Life and Casualty Co.CNO Financialinvestor protection violation2015MO-SEC$102,178
Illinois Union Ins CoChubb Limitedinsurance violation2019WA-INS$102,000
Transamerica Life Insurance CompanyAegoninsurance violation2023MD-INS$102,000
HealthNowHighmark Inc.insurance violation2012NY-DFS$101,640
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2012NH-BKG$101,185
TD AmeritradeCharles Schwab Corp.investor protection violation2014SEC$100,800
CashCall, Inc. and Western Sky Financial, LLC et al.CashCall Inc.payday lending violation2014MD-FIN$100,018
Wells Fargo & CompanyWells Fargowage and hour violation2014WHD$100,001
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2010PHMSA$100,000
Republic Mortgage Insurance CorporationOld Republic Internationalconsumer protection violation2013CFPB$100,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2011CFTC$100,000
Citigroup Private Bank GP, Inc.Citigroupdata submission deficiencies2009CFTC$100,000
National Australia Bank Ltd.National Australia Bankeconomic sanction violation2007OFAC$100,000
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2009OCC$100,000
First National Bank of OmahaFirst National of Nebraskabanking violation2009OCC$100,000
Brown & BrownBrown & Brownemployment discrimination2017EEOC$100,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2015SEC$100,000
Wells Fargo BankWells Fargowage and hour violation2011private lawsuit-federal$100,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2012SEC$100,000
BB&T Securities, LLCTruist Financialinvestor protection violation2018SEC$100,000
Wilmington Trust CompanyM&T Bankinvestor protection violation2007SEC$100,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002SEC$100,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2000SEC$100,000
CitibankCitigroupgambling violation2002NY-AG$100,000
E*TradeMorgan Stanleyprice-fixing or anti-competitive practices2012MULTI-AG$100,000
FleetBoston Financial CorporationBank of Americaprivacy violation2001NY-AG$100,000
Interactive Brokers, LLCInteractive Brokers Groupinvestor protection violation2019NJ-AG$100,000
Morgan Stanley & Co., LLCMorgan Stanleyinvestor protection violation2013NJ-AG$100,000
Santander Securities LLCBanco Santanderconsumer protection violation2019MA-AG$100,000
M&T BankM&T Bankemployment discrimination2020EEOC$100,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2005AL-SEC$100,000
Progressive Casualty Insurance Co. et al.Progressiveinsurance violation2004CA-INS$100,000
Harleysville Mutual Insurance Co.Nationwideinsurance violation2005CA-INS$100,000
Workmen's Auto Insurance Co.Mercury General Corporationinsurance violation2006CA-INS$100,000
Ace Limited Insurance GroupChubb Limitedinsurance violation2014CA-INS$100,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2009CT-INS$100,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2018CT-BKG$100,000
LendingClub Corp.LendingClub Corp.investor protection violation2012FL-OFR$100,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2017KS-INS$100,000
Morgan Stanley D.W., Inc.Morgan Stanleyinvestor protection violation2004KY-FIN$100,000
Lincoln Financial Advisors Corp.Lincoln Nationalinvestor protection violation2013MA-SEC$100,000
Investment Professionals, Inc.Ameriprise Financialinvestor protection violation2017MA-SEC$100,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2009MD-SEC$100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.