Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $394,610,993,640
Number of Records: 7,983
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$87,299,969,499332
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,617,269,231267
Citigroup$27,081,211,792183
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,909,502,443206
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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
Buckeye Pipe Line Co.IFM Investorsoil spill2010EPA$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 BALTIMOREMacquarieair pollution 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
Transamerica Premier Life Insurance CompanyAegoninsurance violation2016NJ-DBI$75,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2014NY-DFS$75,000
Marsh USA, Inc.Marsh & McLennaninsurance violation2005OR-FIN$75,000
American General Financial Services Inc.OneMain Holdingsprivacy violation2010OR-FIN$75,000
State Farm VP Management Corp.State Farm Insuranceinvestor protection violation2013PA-BKG$75,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2018TX-INS$75,000
Oscar Insurance CompanyOscar Health Inc.insurance violation2018TX-INS$75,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2006VA-SEC$75,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2011WA-INS$75,000
American Income Life Insurance CompanyGlobe Life Inc.insurance violation2013WA-INS$75,000
National General Insurance CompanyAllstateinsurance violation2020AZ-DIFI$75,000
Franklin Templeton Investments Corp.Franklin Resourcesinvestor protection violation2020SEC$75,000
Freedom Mortgage CorporationFreedom Mortgageconsumer protection violation2020CA-DFPI$75,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$75,000
Nationwide Mutual Insurance Company et al.Nationwideinsurance violation2021TX-INS$75,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsinvestor protection violation2004FINRA$75,000
BB&T Equipment Finance LLCTruist Financialconsumer protection violation2021CA-DFPI$75,000
Foremost Insurance Company Grand Rapids MichiganZurich Insuranceinsurance violation2021WA-INS$75,000
Bankers Conseco Life Insurance CompanyCNO Financialinsurance violation2020NY-DFS$75,000
Travelers Casualty and Surety Company of AmericaTravelersinsurance violation2021NY-DFS$75,000
AIG Property Casualty CompanyAmerican International Groupinsurance violation2023TX-INS$75,000
State Farm Fire and Casualty Company et al.State Farm Insuranceinsurance violation2023TX-INS$75,000
AllstateAllstatewage and hour violation2021IL-DOL$75,000
Voya Financial Advisors, Inc.Voya Financialinvestor protection violation2024AZ-CC$75,000
Voya Financial Advisors, Inc.Voya Financialinvestor protection violation2024AZ-CC$75,000
American General Financial ServicesOneMain Holdingsconsumer protection violation2009WA-FIN$74,984
CIT Group Inc.First Citizens BancSharesexport control violation2005BIS$74,800
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2011PHMSA$74,400
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2011MO-INS$74,000
Ace American Insurance CompanyChubb Limitedinsurance violation2010TX-INS$74,000
IFCO SYSTEMS NORTH AMERICA INC.Triton Investments Advisersworkplace safety or health violation2011OSHA$73,950
Trafigura AGTrafiguraenvironmental violation2012EPA$73,465
JP Morgan Chase & Co.JPMorgan Chaseeconomic sanction violation2004OFAC$73,281
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2010MO-INS$73,113
John Hancock Life Insurance Company of New YorkManulife Financialinsurance violation2017NY-DFS$73,000
First American Title Insurance Company:First American Financialinsurance violation2014UT-INS$73,000
AllstateAllstatewage and hour violation2021IL-DOL$73,000
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2015NY-DFS$72,975
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$72,600
UBS Financial Services Inc.UBSinvestor protection violation2012NH-BSR$72,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023CT-INS$72,500
CITIGROUP GLOBAL MARKETS INCCitigroupinvestor protection violation2004VA-SEC$72,486
VICTORIA FIRE AND CASUALTY CO.Nationwideinsurance violation2014VA-INS$72,400
The First American Title CompanyFirst American Financialwage and hour violation2006WHD$72,363
BB&TTruist Financialwage and hour violation2018private lawsuit-federal$72,336
Seneca Insurance Co.Fairfax Financial Holdingsinsurance violation2005NJ-DBI$72,256
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2022DE-SEC$72,255
Seterus, Inc.Mr. Cooper Grouplabor relations violation2013NLRB$72,162
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$72,000
Elephant Insurance CompanyAdmiral Groupinsurance violation2024MD-INS$72,000
United Services Automobile Association et al.USAAconsumer protection violation2022VA-INS$71,358
Standard Fire Insurance CompanyTravelersinsurance violation2018OR-FIN$71,200
Litton Loan ServicingOcwen Financialconsumer protection violation2010MD-FIN$71,000
Saxon Mortgage ServicesOcwen Financialconsumer protection violation2010MD-FIN$71,000
Compass BankPNC Financial Servicesbanking violation2009FED$70,625
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2012CO-INS$70,400
Transamerica Life Insurance CompanyAegonwage and hour violation2015WHD$70,143
Praetorian Insurance Co. and QBE Insurance Corp. and QBE Speciality Insurance Co.QBE Insuranceinsurance violation2019DE-INS$70,100
UBS Financial Services, Inc.UBSinvestor protection violation2013DE-AG$70,077
German American BancorpGerman American Bancorpbanking violation2013FDIC$70,000
Grandbridge Real Estate Capital, LLCTruist Financiallabor relations violation2015NLRB$70,000
Wilmington Trust Co.M&T Bankemployment discrimination2004EEOC$70,000
Permanent General Assurance Corp.American Family Insuranceinsurance violation2011AZ-DIFI$70,000
John Hancock Life Insurance Co.Manulife Financialinsurance violation2011CA-INS$70,000
Progressive Direct Insurance Co.Progressiveinsurance violation2018MD-INS$70,000
Illinois Farmers Insurance Co.Zurich Insuranceinsurance violation2008MN-FIN$70,000
Fortis Insurance Co. et al.Assurantinsurance violation2004MT-FIN$70,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.