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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$347,398,347,522
Number of Records: 7,169
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 .
Solium Financial Services, LLCMorgan Stanleyinvestor protection violation2020IA-INS$10,147
IAC WAUSEON, LLCInvescoworkplace safety or health violation2021OSHA$10,143
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2019VA-INS$10,137
Barclays Bank PLCBarclayseconomic sanction violation2003OFAC$10,107
SunTrust BankTruist Financialbanking violation2005WI-AG$10,107
TMX Finance, LLCTMX Financewage and hour violation2014WHD$10,057
R. R. Donnelley & Sons CompanyChatham Asset Managementenvironmental violation2016TX-ENV$10,051
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2019WA-INS$10,050
Huntington National BankHuntington Bancshareswage and hour violation2010WHD$10,007
FIRST NIAGARA FINANCIAL GROUP, INC.KeyCorpbenefit plan administrator violation2011EBSA$10,001
FIRST NBC BANKHancock Whitney Corp.benefit plan administrator violation2011EBSA$10,001
FRED ALGER & COMPANY, INCORPORATEDAlger Associatesbenefit plan administrator violation2006EBSA$10,001
HORACE MANN SERVICE CORPORATIONHorace Mann Educators Corp.benefit plan administrator violation2006EBSA$10,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2018EBSA$10,001
OCWEN FINANCIAL CORPORATIONOcwen Financialbenefit plan administrator violation2019EBSA$10,001
FMR LLCFidelity Investmentsbenefit plan administrator violation2021EBSA$10,001
First Niagara Bank, National AssociationKeyCorpbanking violation2011OCC$10,000
NYRSTAR CLARKSVILLE, INC.Trafigurarailroad safety violation2009FRA$10,000
BB&TTruist Financialeconomic sanction violation2007OFAC$10,000
Bank of ChinaBank of Chinaeconomic sanction violation2004OFAC$10,000
Piccari Press, Inc.Chatham Asset Managementlabor relations violation2003NLRB$10,000
Buckeye PartnersIFM Investorsrailroad safety violation2017FRA$10,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$10,000
Allstate Insurance Co.Allstateprivacy violation2003PA-AG$10,000
Metropolitan Life Insurance Co.MetLifeprivacy violation2012CT-AG$10,000
Mutual of OmahaMutual of Omahaconsumer protection violation2002NY-AG$10,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2016AK-INS$10,000
Securian Financial Services, Inc.Securian Financialinvestor protection violation2020AK-DBS$10,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2013AR-INS$10,000
Allied Home Mortgage Capital Corp.Americus Mortgageinvestor protection violation2009AR-SEC$10,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2010AZ-DIFI$10,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2011AZ-DIFI$10,000
MoneyGram Payment Systems, Inc.MoneyGram Internationalconsumer protection violation2014AZ-DIFI$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2007CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2010CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2011CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2013CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2013CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2014CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2014CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2014CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2014CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2014CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2014CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2016CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2016CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2017CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2017CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2017CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2017CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2018CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2018CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2018CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2018CA-MHC$10,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2018CA-MHC$10,000
Cash America Advance, Inc.FirstCashpayday lending violation2019CA-DFPI$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2019CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2019CA-MHC$10,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2019CA-MHC$10,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2007CO-INS$10,000
Continental American Insurance Co.Aflacinsurance violation2019CT-INS$10,000
Group Hospitalization and Medical Services, Inc.CareFirst of Marylandinsurance violation2000DC-DISB$10,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2014DE-INS$10,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2004FL-OFR$10,000
Western Union International Services LLCWestern Unionconsumer protection violation2019FL-OFR$10,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2014IA-INS$10,000
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2008ID-INS$10,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2005IL-SEC$10,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2011IN-SEC$10,000
Continental Western Insurance Co.W.R. Berkleyinsurance violation2008KS-INS$10,000
The Travelers Indemnity Co. et al.Travelersinsurance violation2010KS-INS$10,000
Allstate Fire and Casualty Co.Allstateinsurance violation2014KS-INS$10,000
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2015KS-INS$10,000
Auto-Owners (Mutual) Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2019KS-INS$10,000
Homeward Residential, Inc.Ocwen Financialconsumer protection violation2015KY-FIN$10,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2017LA-INS$10,000
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019LA-INS$10,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2008MD-SEC$10,000
Allstate Indemnity Co. et al.Allstateinsurance violation2010MD-INS$10,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2011MD-INS$10,000
AMEX Assurance Co.American Expressinsurance violation2011MD-INS$10,000
State Farm Mutual Automobile Insurance Co. et al.State Farm Insuranceinsurance violation2011MD-INS$10,000
Praetorian Insurance Co. and Redland Insurance Co.QBE Insuranceinsurance violation2011MD-INS$10,000
Praetorian Insurance Co. and Stonington Insurance Co.QBE Insuranceinsurance violation2013MD-INS$10,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2014MD-INS$10,000
The Standard Fire Insurance Co.Travelersinsurance violation2015MD-INS$10,000
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2015MD-INS$10,000
Twin City Fire Insurance Co. et al.Hartford Financial Servicesinsurance violation2016MD-INS$10,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2016MD-INS$10,000
Travelers Commercial Insurance Co. et al.Travelersinsurance violation2017MD-INS$10,000
QBE Insurance Co. and Praetorian Insurance Co.QBE Insuranceinsurance violation2017MD-INS$10,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2018MD-INS$10,000
Conseco Health Insurance Co.CNO Financialinsurance violation2004ME-INS$10,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2010ME-SEC$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.