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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.

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CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
Fortis Insurance Co. et al.Assurantinsurance violation2004MT-FIN$70,000
AXA Art Insurance CorporationAXAinsurance violation2015NY-DFS$70,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$70,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2018TX-INS$70,000
LM General Insurance CompanyLiberty Mutual Insuranceinsurance violation2019UT-INS$70,000
Progressive Northern Insurance Co.Progressiveinsurance violation2001WI-INS$70,000
Vitol, Inc.Vitolair pollution violation2014CA-ARB$70,000
THE HENNEGAN COMPANYChatham Asset Managementair pollution violation2004KY-ENV$70,000
Schwab Capital Markets, L.P.UBSinvestor protection violation2004FINRA$70,000
First Interstate BankFirst Interstate Bancsystembanking violation2024FED$70,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2024CA-MHC$70,000
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$69,750
CNO Services, LLCCNO Financialwage and hour violation2010WHD$69,610
ALLSTATEAllstateworkplace safety or health violation2002OSHA$69,500
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CO-SEC$69,338
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2013PHMSA$69,100
Arch Insurance Co.Arch Capitalinsurance violation2021TX-INS$69,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$69,000
Northwestern MutualNorthwestern Mutualwage and hour violation2016MI-LEO$68,815
ALLIED PROPERTY & CASUALTY INSURANCE CO.Nationwideinsurance violation2016VA-INS$68,669
Fidelity National Title Insurance CompanyFidelity National Financialkickbacks and bribery2007HUD$68,635
Safeco Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2007MO-INS$68,524
Nationwide Credit, Inc.Altisource Portfolio Solutionswage and hour violation2005WHD$68,433
BANK OF THE WESTBank of Montrealbanking violation2010FDIC$68,200
Chubb National Insurance Co.Chubb Limitedinsurance violation2012MO-INS$68,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2011TX-INS$68,000
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2022CT-INS$68,000
BUCKEYE TERMINALS, LLCIFM Investorsenvironmental violation2021EPA$67,856
Investment Professionals Inc.Ameriprise Financialinvestor protection violation2014SEC$67,800
Wells Fargo Bank, N.AWells Fargoeconomic sanction violation2010OFAC$67,500
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2017MD-INS$67,500
Travelers Casualty and Surety Co.Travelersinsurance violation2018MD-INS$67,500
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017UT-INS$67,500
USAA General Indemnity Co. et al.USAAinsurance violation2020MD-INS$67,500
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2014SEC$67,200
ServiceLink LLCFidelity National Financialinsurance violation2022IN-INS$67,175
THE GENERAL AUTOMOBILE INSURANCE CO.American Family Insuranceinsurance violation2018VA-INS$66,996
American International Insurance Co. and AIG National Insurance Company, Inc.American International Groupinsurance violation2003FL-OFR$66,750
SENTINEL INSURANCE COMPANY LTDHartford Financial Servicesinsurance violation2012VA-INS$66,735
TRUMBULL INSURANCE COMPANYHartford Financial Servicesinsurance violation2010VA-INS$66,684
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2013PHMSA$66,400
ACE LimitedChubb Limitedeconomic sanction violation2019OFAC$66,212
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2011CO-INS$66,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2015CO-INS$66,000
Provident Funding Associates, LPProvident Funding Associatesconsumer protection violation2011KY-FIN$66,000
SELECTIVE INSURANCE CO., ET AL.Selective Insurance Groupinsurance violation2010VA-INS$66,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2002CFTC$65,000
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019CT-INS$65,000
Cincinnati Insurance Co.Cincinnati Financialinsurance violation2007FL-OFR$65,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2001MA-INS$65,000
Allied Property & Casualty Insurance Co. et al.Nationwideinsurance violation2006MO-INS$65,000
Fortis Insurance Co.Assurantinsurance violation2004MT-FIN$65,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2009OR-FIN$65,000
Property and Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2018TX-INS$65,000
FEDERAL INSURANCE CO., ET AL.Chubb Limitedinsurance violation2004VA-INS$65,000
Genworth Life Insurance Co.Genworth Financialinsurance violation2012WI-INS$65,000
Synagro Central, LLCGoldman Sachsenvironmental violation2012VA-ENV$65,000
Allstate Property and Casualty et al.Allstateinsurance violation2022RI-FIN$65,000
STATE FARM FIRE AND CASUALTY CO.State Farm Insuranceinsurance violation2022MN-FIN$65,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2024VA-SEC$65,000
UBS Financial Services, Inc.UBSinvestor protection violation2013AK-DBS$64,661
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2020MD-INS$64,600
American Home Assurance CompanyAmerican International Groupinsurance violation2002MA-INS$64,546
NATIONWIDE MUTUAL INSURANCE CO ET ALNationwideinsurance violation2003VA-INS$64,080
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2019CT-INS$64,000
American Fire & Casualty CompanyLiberty Mutual Insuranceinsurance violation2021MO-INS$64,000
Fidelity Brokerage Services, Inc. dba Fidelity InvestmentsFidelity Investmentseconomic sanction violation2005OFAC$63,853
AGCS Marine Insurance Co.Allianzinsurance violation2017KS-INS$63,483
Buckeye Texas Hub LLCIFM Investorsair pollution violation2024TX-ENV$63,482
Santander Mortgage CorporationBanco Santanderwage and hour violation2004WHD$62,895
North River Insurance Co.Fairfax Financial Holdingsinsurance violation2012CO-INS$62,700
Hartford Fire Insurance Co.Hartford Financial Servicesinsurance violation2016MO-INS$62,541
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2016MO-INS$62,541
Hartford Casualty Insurance Co.Hartford Financial Servicesinsurance violation2016MO-INS$62,541
Hartford Underwriters Insurance Co.Hartford Financial Servicesinsurance violation2016MO-INS$62,541
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2016MO-INS$62,541
Twin City Fire Insurance Co.Hartford Financial Servicesinsurance violation2016MO-INS$62,541
Vitol, Inc.Vitolemployment discrimination2012EEOC$62,500
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2012TX-INS$62,500
Stewart Title CompanyStewart Information Servicesinsurance violation2024AK-INS$62,500
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2003FL-OFR$62,250
Chicago Title Insurance Company,Fidelity National Financialinsurance violation2010CT-INS$62,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2016TX-INS$62,000
THE GUARDIAN LIFE INSURANCE COGuardian Life Insuranceinsurance violation2010VA-INS$62,000
PHH Mortgage CorporationOcwen Financialconsumer protection violation2020CA-DFPI$62,000
Charles Schwab & Co.Charles Schwab Corp.investor protection violation2014SEC$61,800
Safety National Casualty Co.Tokio Marineinsurance violation2013MO-INS$61,250
Oppenheimer & Co.Oppenheimer Holdingsinvestor protection violation2014SEC$61,200
Massachusetts Mutual Life Insurance Company, Inc.Massachusetts Mutual Life Insuranceinsurance violation2019CT-INS$61,000
Stifel, Nicolaus & Company Inc.Stifel Financialinvestor protection violation2014NE-DBF$61,000
First American Title Insurance CompanyFirst American Financialinsurance violation2009OR-FIN$61,000
Charles Schwab & Co, Inc.Charles Schwab Corp.investor protection violation2004FINRA$60,869
J.P. Morgan Chase & Co. and Forum Temporary ServicesJPMorgan Chaselabor relations violation2006NLRB$60,760
John Hancock Life Insurance CompanyManulife Financialinsurance violation2020VA-INS$60,600
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2019CT-INS$60,500
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2019MO-INS$60,050
The Northern Trust CompanyNorthern Trustinvestor protection violation2015SEC$60,000
Stifel Nicolaus & Co.Stifel Financialinvestor protection violation2014SEC$60,000
Comerica Securities, Inc.Comericainvestor protection violation2015SEC$60,000
U.S. Bank Municipal Securities GroupU.S. Bancorpinvestor protection violation2015SEC$60,000
Citibank NACitigroupexport control violation2018BIS$60,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.