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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$39,340,688,209275
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
HARTFORD CASUALTY INSURANCE COMPANYHartford Financial Servicesinsurance violation2020WA-INS$90,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2005FINRA$90,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2005FINRA$90,000
E-Trade SecuritiesMorgan Stanleyinvestor protection violation2001FINRA$90,000
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2015PHMSA$89,400
Standard Fire Insurance Co.Travelersinsurance violation2015MO-INS$89,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2014TX-INS$89,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2007IN-INS$87,500
Rocket Mortgage, LLC fka Quicken Loans, LLCRocket Companies Inc.consumer protection violation2021WA-FIN$87,500
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2015MO-INS$87,000
United American Insurance Co.Globe Life Inc.insurance violation2012CO-INS$86,500
John Alden Life Insurance Co.Assurantinsurance violation2012CO-INS$86,500
Allstate Fire and Casualty Insurance CompanyAllstateinsurance violation2022CT-INS$86,500
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2022VA-INS$86,400
State Farm Fire & Casualty Co.State Farm Insuranceinsurance violation2015MO-INS$85,750
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$85,353
Wilmington Savings Fund Society, Federal Savings BankWSFS Financial Corp.banking violation2019OCC$85,265
Capital City BankCapital City Bank Groupbanking violation2007FED$85,045
Credit Lyonnais Rouse LimitedCredit Agricoleinvestor protection violation2005CFTC$85,000
American General Life Insurance Co.American International Groupinsurance violation2019DE-INS$85,000
American Alternative Insurance Corp.Munich Reinsurance violation2019MO-INS$85,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2011TX-INS$85,000
United Services Automobile Association (USAA)USAAinsurance violation2017VT-FIN$85,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2020SD-INS$85,000
AllstateAllstatewage and hour violation2021IL-DOL$85,000
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2020NY-DFS$84,668
Federal Insurance Co.Chubb Limitedinsurance violation2016MO-INS$84,500
IFCO Systems of North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$84,459
Ocwen Financial CorporationOcwen Financialconsumer protection violation2019ME-AG$84,000
Sentinel Insurance Co.Hartford Financial Servicesinsurance violation2019CT-INS$84,000
Transamerica Premier Life Insurance CompanyAegoninsurance violation2021VT-FIN$84,000
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2013PHMSA$83,500
BUCKEYE PIPELINEIFM Investorsenvironmental violation2009IL-ENV$82,845
CIT Bank, National AssociationFirst Citizens BancSharesbanking violation2020OCC$82,500
IFCO Systems of North America Inc.Triton Investments Adviserswage and hour violation2006WHD$82,085
TD Ameritrade, Inc.Charles Schwab Corp.consumer protection violation2022TX-FIN$81,750
Progressive Casualty Insurance Co.Progressiveinsurance violation2018MD-INS$81,520
Nationwide Insurance Company of AmericaNationwideinsurance violation2007CO-INS$81,500
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MO-INS$81,500
CitiFinancial, Inc.Citigroupconsumer protection violation2007NE-DBF$81,500
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2011PHMSA$81,400
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2011CO-INS$81,400
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2015KS-INS$81,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$80,300
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2011IL-SEC$80,224
Capital One BankCapital One Financialbanking violation2005WI-AG$80,032
LPL Financial LLCLPL Financialinvestor protection violation2018AL-SEC$80,000
Homebridge Financial Services, Inc.Homebridge Financial Servicesconsumer protection violation2017CA-DFPI$80,000
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2018KS-INS$80,000
Harleysville Insurance Co.Nationwideinsurance violation2002MN-FIN$80,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2013MO-SEC$80,000
Provident Life and Accident Insurance Co.Unuminsurance violation2000NC-INS$80,000
AXA Advisors LLCEquitable Holdingsinvestor protection violation2011OR-FIN$80,000
ACE Cash Express Inc.ACE Cash Expressconsumer protection violation2017PA-BKG$80,000
Elephant Insurance CompanyAdmiral Groupinsurance violation2020TX-INS$80,000
UBS AGUBSenvironmental violation2011CT-ENV$80,000
Imperial-Savannah, L.P.Louis Dreyfusenvironmental violation2011GA-ENV$80,000
Unitrin County Mutual Insurance CompanyKemperinsurance violation2020TX-INS$80,000
Aon Risk ServicesAonemployment discrimination2022NY-NYCCHR$80,000
El Paso Electric CompanyJPMorgan Chaselabor relations violation2012NLRB$79,692
Lasalle Bank National AssociationBank of Americabanking violation2007OCC$79,524
Securian Financial Services, Inc.Securian Financialinvestor protection violation2009MO-SEC$79,445
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020FL-OFR$79,045
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2018VA-INS$79,017
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2017DE-INS$79,000
Ace American Insurance CompanyChubb Limitedinsurance violation2023UT-INS$79,000
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2013PHMSA$78,900
Buckeye Pipe Line Co.IFM Investorsenvironmental violation2010EPA$78,780
BUCKEYE PIPELINE COMPANY LPIFM Investorsenvironmental violation2015EPA$78,780
Buckeye Terminals, LLCIFM Investorsenvironmental violation2021VA-ENV$78,045
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$78,000
Wheelabrator South Broward, Inc.Macquarieenvironmental violation2021FL-DEP$78,000
LOUIS DREYFUS AGRICULTURAL INDUSTRIES, LLC.Louis Dreyfusenvironmental violation2010EPA$77,628
WHEELABRATOR BALTIMOREMacquarieenvironmental violation2011MD-ENV$77,500
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2009MO-INS$77,375
Harleysville Worcester Insurance CompanyNationwideinsurance violation2015NY-DFS$76,500
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2016WA-FIN$76,421
National City Mortgage Co.PNC Financial Serviceswage and hour violation2007CA-LCO$76,000
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2018DE-INS$76,000
North Pointe Insurance Co.QBE Insuranceinsurance violation2012IN-INS$75,575
BRISTOL WEST INSURANCE CO.Zurich Insuranceinsurance violation2011VA-INS$75,400
Stewart Title Guarantee Co.Stewart Information Servicesinsurance violation2006MO-INS$75,087
Conseco Medical Insurance Co.CNO Financialinsurance violation2009MO-INS$75,018
Ace America's Cash ExpressACE Cash Expresswage and hour violation2004CA-LCO$75,000
Knight Securities, L.P.Virtu Financialinvestor protection violation2002SEC$75,000
Josephthal & Co., Inc.Oppenheimer Holdingsinvestor protection violation2002SEC$75,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2018GA-AG$75,000
Citigroup Global Markets Inc.Citigroupconsumer protection violation2009CT-BKG$75,000
Wachovia Securities, LLC nka Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2010CT-SEC$75,000
RiverSource Life Insurance Co.Ameriprise Financialinsurance violation2018DE-INS$75,000
Quicken Loans, Inc.Rocket Companies Inc.consumer protection violation2011IL-BKG$75,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2011MD-INS$75,000
The United States Life Insurance Company In the City of New YorkAmerican International Groupinsurance violation2012MD-INS$75,000
Elephant Insurance Co.Admiral Groupinsurance violation2018MD-INS$75,000
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2001MN-FIN$75,000
Fortis Insurance Co. and John Alden Life Insurance Co.Assurantinsurance violation2002MN-FIN$75,000
Foremost Insurance Co. at al.Zurich Insuranceinsurance violation2004MN-FIN$75,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2017MN-FIN$75,000
Allstate Insurance Co. and Encompass Indemnity Co. et al.Allstateinsurance violation2019MN-FIN$75,000
Wachovia Securities LLCWells Fargoinvestor protection violation2007ND-SEC$75,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2015NH-BKG$75,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.