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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 .
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-SEC$7,500
AMERICAN HEALTH AND LIFE INSURANCE COMPANYOneMain Holdingsinsurance violation2021MO-INS$7,500
Provident Life and Accident Insurance Co.Unuminsurance violation2021CT-INS$7,500
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2021TX-INS$7,500
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$7,500
Standard Fire Insurance Co.Travelersinsurance violation2021TX-INS$7,500
Accident Fund National Insurance Co.AF Groupinsurance violation2021TX-INS$7,500
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$7,500
Allstate Property & Casualty Insurance Company, et al.Allstateinsurance violation2021RI-FIN$7,500
Unitrin Direct Property & Casualty CompanyKemperinsurance violation2021TX-INS$7,500
Allstate Fire & Casualty Insurance Company et al.Allstateinsurance violation2021WA-INS$7,500
R. R. Donnelley & Sons Co.Chatham Asset Managementenvironmental violation2013CA-SCAQMD$7,500
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2009CA-SCAQMD$7,500
Credit Suisse Energy LLCCredit Suisseutility service violation2017TX-PUC$7,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$7,500
New Hampshire Insurance Co.American International Groupinsurance violation2022AK-INS$7,500
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$7,500
R R DONNELLEYChatham Asset Managementworkplace safety or health violation2009OSHA$7,500
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2008OSHA$7,500
IAC MADISONVILLE LLCInvescoworkplace safety or health violation2014OSHA$7,500
WHEELABRATOR NORTH ANDOVERMacquarieworkplace safety or health violation2019OSHA$7,500
Morgan Stanley Capital Group, Inc.Morgan Stanleyenvironmental violation2002EPA$7,500
Asset Acceptance, LLCEncore Capital GroupFamily and Medical Leave Act2014WHD$7,450
BUSEY BANKFirst Busey Corp.banking violation2010FDIC$7,445
Navy Federal Credit UnionNavy Federal Credit Unionenvironmental violation2017VA-ENV$7,426
AON SERVICE CORPORATIONAonwage and hour violation2017WHD$7,406
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$7,401
Citicorp Vendor Finance LtdCitigroupeconomic sanction violation2004OFAC$7,379
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006MO-INS$7,373
Auto-Owners Insurance CompanyAuto-Owners Insuranceinsurance violation2016SC-INS$7,356
GUARANTEED RATE INCGuaranteed Rate Inc.wage and hour violation2015IL-DOL$7,291
IAC SPARTANBURGInvescoworkplace safety or health violation2011OSHA$7,277
California United BankPacWest Bancorpeconomic sanction violation2004OFAC$7,250
Regions Financial CorporationRegions FinancialFamily and Medical Leave Act2021WHD$7,210
Sentry Insurance, A Mutual CompanySentry Insuranceinsurance violation2010TX-INS$7,200
GREAT AMERICAN INSURANCE COMPANY ET ALAmerican Financial Groupinsurance violation2006VA-INS$7,200
GREAT AMERICAN INSURANCE COMPANY ET ALAmerican Financial Groupinsurance violation2006VA-INS$7,200
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusenvironmental violation2006FL-DEP$7,200
IMPERIAL SUGAR CO.Louis Dreyfusworkplace safety or health violation2010OSHA$7,200
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$7,176
LITTON LOAN SERVICING LPOcwen Financialenvironmental violation2010OR-ENV$7,125
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$7,115
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2014NY-DFS$7,100
Hartford Insurance Company of IllinoisHartford Financial Servicesinsurance violation2014NY-DFS$7,100
WHEELABRATOR CONCORD INC.Macquarieworkplace safety or health violation2019OSHA$7,100
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americawage and hour violation2006WHD$7,060
Ace Cash ExpressACE Cash Expressconsumer protection violation2009OH-BKG$7,050
AFB&TSynovus Financialbanking violation2009FDIC$7,040
Philadelphia Indemnity Insurance CompanyTokio Marineinsurance violation2000MA-INS$7,040
Hanover Insurance CompanyHanover Insuranceinsurance violation2001MA-INS$7,040
IFCO SYSTEMS NORTH AMERICA, INC - SITE 711Triton Investments Advisersworkplace safety or health violation2014OSHA$7,040
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020TX-INS$7,025
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2007FAA$7,000
THE COLUMBIA BANKFulton Financialbanking violation2002FDIC$7,000
Hanmi BankHanmi Financial Corp.economic sanction violation2004OFAC$7,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$7,000
Progressive Northern Insurance Co.Progressiveinsurance violation2016DE-INS$7,000
Nationwide Financial ServicesNationwideconsumer protection violation2008FL-OFR$7,000
American General Life and Accident Insurance Co.American International Groupinsurance violation2011MD-INS$7,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2015MD-INS$7,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2019MD-INS$7,000
Allied Property and Casualty Insurance Co.Nationwideinsurance violation2008MN-FIN$7,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2016MO-INS$7,000
Edward D. Jones & Co. LPJones Financialinvestor protection violation2003ND-SEC$7,000
Ace Cash Express, Inc.,ACE Cash Expressconsumer protection violation2010NE-DBF$7,000
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$7,000
Nationwide Property & Casualty Insurance CompanyNationwideinsurance violation2015NY-DFS$7,000
USAA Casualty Insurance Co.USAAinsurance violation2010SC-INS$7,000
Virginia Surety Company, Inc.Assurantinsurance violation2008TX-INS$7,000
XL Insurance America Inc.AXAinsurance violation2011TX-INS$7,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2013TX-INS$7,000
Chubb Indemnity Insurance CompanyChubb Limitedinsurance violation2013TX-INS$7,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2014TX-INS$7,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$7,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$7,000
The Travelers Indemnity Company of ConnecticutTravelersinsurance violation2016TX-INS$7,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$7,000
Federal Insurance CompanyChubb Limitedinsurance violation2018TX-INS$7,000
Arch Insurance CompanyArch Capitalinsurance violation2018TX-INS$7,000
AMERICAN HEALTH & LIFE INSURANCE COOneMain Holdingsinsurance violation2005VA-INS$7,000
THE TRAVELERS INDEMNITY CO. et al.Travelersinsurance violation2009VA-INS$7,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2010WA-INS$7,000
HSBC Securities USA IncHSBCinsurance violation2011WA-INS$7,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2018WA-INS$7,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2018WA-INS$7,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2005WI-FIN$7,000
Mutual of Omaha Mortgage, Inc.Mutual of Omahaconsumer protection violation2020PA-BKG$7,000
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$7,000
Old Republic Insurance Co.Old Republic Internationalinsurance violation2020TX-INS$7,000
XL Specialty Insurance Co.AXAinsurance violation2020TX-INS$7,000
BUCKEYE TERM LLCIFM Investorsenvironmental violation2013PA-ENV$7,000
BUCKEYE PORT READING TERMINALIFM Investorsenvironmental violation2009NJ-ENV$7,000
IAC SPARTANBURG, INCInvescoenvironmental violation2012SC-ENV$7,000
Minnesota Life Insurance CompanySecurian Financialinsurance violation2020CT-INS$7,000
Ace American Insurance Co. and Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2021MD-INS$7,000
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$7,000
Great American Alliance Insurance CompanyAmerican Financial Groupinsurance violation2021TX-INS$7,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2016TX-PUC$7,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$7,000
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2022TX-INS$7,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2022KS-INS$7,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.