Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$388,802,802,308
Number of Records: 7,734
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$87,294,650,890329
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$14,264,317,61841
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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
Bank of the WestBank of Montrealwage and hour violation2015WHD$33,750
Bank of Hampton RoadsAtlantic Union Banksharesbanking violation2011FED$33,600
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013CA-DFPI$33,520
First Niagara BankKeyCorpconsumer protection violation2003NY-AG$33,500
US Bank NAU.S. Bancorpconsumer protection violation2003NY-AG$33,500
USAA Federal Savings BankUSAAconsumer protection violation2003NY-AG$33,500
Wells Fargo Financial BankWells Fargoconsumer protection violation2003NY-AG$33,500
Wheelabrator Putnam IncorporatedMacquarieenvironmental violation2003CT-ENV$33,500
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$33,400
Prospect Mortgage Company, LLCHomebridge Financial Servicesconsumer protection violation2010CT-BKG$33,000
Nationwide General Insurance Co. et al.Nationwideinsurance violation2018MD-INS$33,000
Great American Alliance Insurance Co.American Financial Groupinsurance violation2014MO-INS$33,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2006VA-SEC$33,000
LIBERTY INSURANCE CORPORATIONLiberty Mutual Insuranceinsurance violation2015VA-INS$32,675
S&T BANKS&T Bancorpbanking violation2010FDIC$32,640
The Huntington National BankHuntington Bancshareswage and hour violation2013WHD$32,553
Liberty Mutual GroupLiberty Mutual Insuranceinsurance violation2007AK-INS$32,500
United Service Automobile Association et al.USAAinsurance violation2019DE-INS$32,500
Alpha Property & Casualty Insurance Co.Kemperinsurance violation2003FL-OFR$32,500
Allstate Insurance Co.Allstateinsurance violation2018MD-INS$32,500
Arch Insurance CompanyArch Capitalinsurance violation2016TX-INS$32,500
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2009FINRA$32,500
First Union Brokerage Services, Inc.Wells Fargoinvestor protection violation2001FINRA$32,500
United Services Automobile AssociationUSAAinsurance violation2021CT-INS$32,500
USAA Indemnity Co.USAAinsurance violation2021CT-INS$32,500
HSBC Bank USA, N.A.HSBCeconomic sanction violation2013OFAC$32,400
Zurich American Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$32,400
Corpus Christi Alumina LLCGlencoreenvironmental violation2021TX-ENV$32,400
RR DONNELLEY AND SONS, INC.Chatham Asset Managementworkplace safety or health violation2023OSHA$32,262
American General Life Insurance CompanyAmerican International Groupinsurance violation2021MD-INS$32,250
Safety National Casualty CorporationTokio Marineinsurance violation2014TX-INS$32,109
Total System Services IncGlobal Payments Inc.wage and hour violation2014WHD$32,095
National Life Insurance CompanyNational Life Groupwage and hour violation2014WHD$32,087
Ticor Title Company of CaliforniaFidelity National Financialwage and hour violation2022CA-LCO$32,017
New England Life Insurance Co.Brighthouse Financialinsurance violation2006CO-INS$32,000
Progressive Northwestern Insurance Co. and Progressive Direct Insurance Co.Progressiveinsurance violation2010ID-INS$32,000
Nationwide General Insurance CompanyNationwideinsurance violation2014NY-DFS$32,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2010TX-INS$32,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2015TX-INS$32,000
Sentinel Insurance Company, LtdHartford Financial Servicesinsurance violation2016TX-INS$32,000
XL Insurance America, Inc.AXAinsurance violation2018TX-INS$32,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2019TX-INS$32,000
Pruco Life Insurance CompanyPrudential Financialinsurance violation2022DE-INS$32,000
Permanent General Assurance Corp.American Family Insuranceinsurance violation2009CO-INS$31,900
AIU INSURANCE COMPANYAmerican International Groupinsurance violation2012VA-INS$31,900
Wells Fargo Bank NAWells Fargowage and hour violation2011WHD$31,770
SUN LIFE ASSURANCE CO OF CANADASun Life Financialenvironmental violation2005MA-ENV$31,635
Banco Bilbao Vizcaya Puerto RicoBanco Bilbao Vizcaya Argentariawage and hour violation2006WHD$31,571
Santander Securities, LLCBanco Santanderinvestor protection violation2018NH-BSR$31,562
Security National Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$31,500
BUCKEYE PIPELINE CO LLPIFM Investorsair pollution violation2005NJ-ENV$31,500
Ameritas Life Insurance CompanyAmeritas Mutual Holding Companyinsurance violation2022CT-INS$31,500
ALLSTATE INSURANCE & ALLSTATE INDEMNITY COAllstateinsurance violation2003VA-INS$31,300
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$31,100
Mercury Casualty CompanyMercury General Corporationinsurance violation2019NY-DFS$31,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2020VT-FIN$31,000
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$30,928
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$30,800
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016NH-BSR$30,800
PlainsCapital Bank and PrimeLendingHilltop Holdingsbanking violation2011FED$30,780
Flagstar Bancorp, Inc. a Michigan CorporationNew York Community Bancorpwage and hour violation2021CA-LCO$30,677
Flagstar Bank, FSB,New York Community Bancorpwage and hour violation2021CA-LCO$30,677
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2014TX-INS$30,599
ACE American Insurance Co. et al.Chubb Limitedinsurance violation2013ME-INS$30,550
Philadelphia Indemnity Insurance CompanyTokio MarineFalse Claims Act and related2018USAO$30,508
LPL Financial LLCLPL Financialinvestor protection violation2012MT-FIN$30,500
The Park National BankPark National Corp.banking violation2011OCC$30,415
BANK OF KENTUCKY, INC., THETruist Financialbanking violation2009FDIC$30,415
Vitol Inc.Vitolair pollution violation2014EPA$30,394
Hartford Casualty Insurance Company et al.Hartford Financial Servicesinsurance violation2022VA-INS$30,030
Charles Schwab BankCharles Schwab Corp.discriminatory practices (non-employment)2011HUD$30,000
Bank of AmericaBank of Americaemployment discrimination2016EEOC$30,000
Bank of New York Mellon (Shanghai Branch)Bank of New York Mellonexport control violation2011BIS$30,000
BNY Mellon Shareowner ServicesBank of New York Melloninvestor protection violation2010MA-AG$30,000
Brown & Brown of Washington, Inc.Brown & Browninsurance violation2012AK-INS$30,000
Marsh USA Inc.Marsh & McLennaninsurance violation2019AK-INS$30,000
Austin Mututal Insurance Co.American Family Insuranceinsurance violation2011AZ-DIFI$30,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2012AZ-DIFI$30,000
MLD Mortgage, Inc. dba The Money Store dba Mortgage Lending DirectMLD Mortgage Inc. dba The Money Storeconsumer protection violation2017CA-DFPI$30,000
American Family Assurance Company of ColumbusAflacinsurance violation2014ID-INS$30,000
Fidelity National Title Company, LLCFidelity National Financialinsurance violation2014IN-INS$30,000
Protective Life Insurance CompanyDai-ichi Lifeinsurance violation2003MA-INS$30,000
Zurich American Insurance Co. et al.Zurich Insuranceinsurance violation2011MD-INS$30,000
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2011MD-INS$30,000
Commonwealth Land Title Insurance Co. et al.Fidelity National Financialinsurance violation2011MD-INS$30,000
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2011MD-INS$30,000
ReliaStar Life Insurance Co.Voya Financialinsurance violation2014MN-FIN$30,000
Liberty Insurance Corp. et al.Liberty Mutual Insuranceinsurance violation2018MN-FIN$30,000
Hartford Fire Insurance Co. et al.Hartford Financial Servicesinsurance violation2003MT-FIN$30,000
Principal Life Insurance CompanyPrincipal Financialinvestor protection violation2004ND-SEC$30,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2005ND-SEC$30,000
American General Financial Services, Inc.OneMain Holdingsconsumer protection violation2008NE-DBF$30,000
USAAUSAAinsurance violation2002OH-INS$30,000
Metropolitan Group Property and Casualty Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$30,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2002OR-FIN$30,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2006OR-FIN$30,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2009OR-FIN$30,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012OR-FIN$30,000
Hartford Casualty InsuranceHartford Financial Servicesinsurance violation2004PA-INS$30,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2011SC-SEC$30,000
Transamerica Life Insurance CompanyAegoninsurance violation2019SD-INS$30,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.