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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,416,567,662
Number of Records: 7,172
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$83,354,221,356271
JPMorgan Chase$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
Morgan Stanley$10,167,765,234190

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 .
Allstate Insurance Co. et al.Allstateinsurance violation2019DE-INS$12,500
GREAT AMERICAN ASSURANCE COMPANYAmerican Financial Groupinsurance violation2001FL-OFR$12,500
Amex Assurance Co.American Expressinsurance violation2005FL-OFR$12,500
First American TitleFirst American Financialinsurance violation2014IN-INS$12,500
American Home Assurance CompanyAmerican International Groupinsurance violation2003MA-INS$12,500
Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2011MD-INS$12,500
Group Hospitalization & Medical Services, Inc.CareFirst of Marylandinsurance violation2013MD-INS$12,500
Group Hospitalization & Medical Services, Inc.CareFirst of Marylandinsurance violation2013MD-INS$12,500
Austin Mutual Insurance Co. and Northern Mutual Insurance Co.American Family Insuranceinsurance violation2002MN-FIN$12,500
Morgan Keegan & Company, Inc.Raymond James Financialinvestor protection violation2007MS-SEC$12,500
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2012MT-INS$12,500
Pruco Securities, LLCPrudential Financialinvestor protection violation2006NE-DBF$12,500
Edward D. Jones & Co., L.P.Jones Financialconsumer protection violation2013NE-DBF$12,500
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2010TX-INS$12,500
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2014TX-INS$12,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$12,500
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$12,500
Esurance Property and Casualty Insurance CompanyAllstateinsurance violation2018TX-INS$12,500
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2019TX-INS$12,500
UNUM Life Insurance Company of AmericaUnuminsurance violation2021CT-INS$12,500
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$12,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$12,500
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$12,500
AMERICAN FAMILY INSURANCEAmerican Family Insuranceworkplace safety or health violation2012OSHA$12,500
Bank Of America NABank of Americaenvironmental violation2005TX-ENV$12,480
Heartland Payment Systems, LLC dba HPS Heartland Payroll Solutions, Inc.Global Payments Inc.consumer protection violation2019CT-BKG$12,450
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2011OSHA$12,435
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2022CA-LCO$12,399
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2022OSHA$12,327
Branch Banking and Trust CompanyTruist Financialwage and hour violation2011WHD$12,314
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2003ND-SEC$12,303
Pioneer Credit Recovery, Inc.Navienttax violations2013CT-AG$12,255
Safety First Insurance Co.Tokio Marineinsurance violation2013MO-INS$12,250
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$12,248
Allstate Insurance CompanyAllstateinsurance violation2003IN-INS$12,220
Cleco CorporationMacquariewage and hour violation2017WHD$12,190
Metropolitan Life Insurance Co.MetLifeinsurance violation2006MO-INS$12,162
Globe Life and Accident Insurance Co.Globe Life Inc.insurance violation2014CO-INS$12,100
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2006FL-OFR$12,100
Xstrata CopperGlencorerailroad safety violation2012FRA$12,000
FIRST BANKFirst Bancorp (North Carolina)banking violation2004FDIC$12,000
Union Bank of CAU.S. Bancorpeconomic sanction violation2003OFAC$12,000
U.S. Bank National AssociationU.S. Bancorpdiscriminatory practices (non-employment)2013HUD$12,000
H & R BlockH&R Blockwage and hour violation2003CA-LCO$12,000
FIRST BANKFirst Bancorp (North Carolina)banking violation2004FDIC$12,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2016CA-MHC$12,000
Zurich Life Insurance Company of AmericaZurich Insuranceinsurance violation2002MA-INS$12,000
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2007MA-INS$12,000
Federal Insurance Co. et al.Chubb Limitedinsurance violation2016MD-INS$12,000
Continental Western Insurance Co.W.R. Berkleyinsurance violation2014MO-INS$12,000
MetLife SecuritiesMetLifeinvestor protection violation2005OR-FIN$12,000
USAA Casualty Insurance CompanyUSAAinsurance violation2020RI-FIN$12,000
Wausau Business Insurance CompanyLiberty Mutual Insuranceinsurance violation2012TX-INS$12,000
Fidelity and Guaranty Insurance CompanyFidelity National Financialinsurance violation2016TX-INS$12,000
Sentry InsuranceSentry Insuranceinsurance violation2016TX-INS$12,000
Employer's Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2018TX-INS$12,000
Group Hospitalization and Medical Services, Inc.CareFirst of Marylandinsurance violation2001VA-INS$12,000
CAREFIRST BLUE CHOICE INCCareFirst of Marylandinsurance violation2001VA-INS$12,000
AVEMCO INSURANCE COMPANYTokio Marineinsurance violation2002VA-INS$12,000
PRINCIPAL LIFE INSURANCE CO.Principal Financialinsurance violation2002VA-INS$12,000
GENWORTH LIFE AND ANNUITY INSURANCE COGenworth Financialinsurance violation2006VA-INS$12,000
American Economy Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2011VA-INS$12,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2010WA-INS$12,000
Virginia Surety Company IncAssurantinsurance violation2010WA-INS$12,000
Homesite Insurance Company Of The MidwestAmerican Family Insuranceinsurance violation2011WA-INS$12,000
Mutual Of Omaha Insurance CompanyMutual of Omahainsurance violation2019WA-INS$12,000
WHEELABRATOR FALLS INCMacquarieenvironmental violation2020PA-ENV$12,000
Schwab Capital MarketsUBSinvestor protection violation2001FINRA$12,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2022TX-INS$12,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2022TX-INS$12,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$12,000
WELLS FARGO BANK #1692Wells Fargoworkplace safety or health violation2013OSHA$12,000
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$11,950
Liberty Mutual Insurance CompanyLiberty Mutual Insurancewage and hour violation2009CA-LCO$11,916
Wells Fargo Bank, N. A.Wells FargoFamily and Medical Leave Act2016WHD$11,874
Trafigura AGTrafigurawage and hour violation2007WHD$11,839
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2012PHMSA$11,800
Transamerica Premier Life Insurance Co.Aegoninsurance violation2015MD-INS$11,800
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2016MD-INS$11,800
BUCKEYE PORT READING TERMINAL LLCIFM Investorsenvironmental violation2007NJ-ENV$11,760
J P Morgan Securities LLCJPMorgan Chaseinsurance violation2018NY-DFS$11,750
Mercury Air CentersMacquarieenvironmental violation2006CA-SCAQMD$11,750
Fidelity and Guaranty Insurance CompanyFidelity National Financialinsurance violation2014TX-INS$11,744
First Financial Bank, National AssociationFirst Financial Bancorp.banking violation2015OCC$11,700
TitleMax of Missouri, Inc.TMX FinanceFamily and Medical Leave Act2015WHD$11,648
Valley Forge Life Insurance CompanyPrudential PLCinsurance violation2001MA-INS$11,600
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieenvironmental violation2000NJ-ENV$11,600
R.R. DONNELLEYChatham Asset Managementworkplace safety or health violation2010OSHA$11,600
El Paso Electric CompanyJPMorgan Chaselabor relations violation2009NLRB$11,500
National Western Life Insurance Co.National Western Lifeinsurance violation2009CO-INS$11,500
National Western Life Insurance Co.National Western Lifeinsurance violation2014CO-INS$11,500
COMMERCE AND INDUSTRY INSURANCE COMPANYAmerican International Groupinsurance violation2001FL-OFR$11,500
The Travelers Indemnity CompanyTravelersinsurance violation2014TX-INS$11,500
T.H.E. Insurance CompanyAXAinsurance violation2015TX-INS$11,500
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2016VA-SEC$11,500
LM Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$11,500
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$11,500
U.S. Bank National AssociationU.S. Bancorpdiscriminatory practices (non-employment)2014HUD$11,489
HSBC North America Inc.HSBCwage and hour violation2006WHD$11,489
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2014TX-INS$11,460
Metropolitan Life Insurance Co.MetLifeinsurance violation2012MD-INS$11,400
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.