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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
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$14,370,701,61843
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.

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CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
American Zurich Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$9,000
The Travelers Indemnity CompanyTravelersinsurance violation2016TX-INS$9,000
American Home Assurance CompanyAmerican International Groupinsurance violation2016TX-INS$9,000
Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2017TX-INS$9,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2018TX-INS$9,000
Ace American Insurance CompanyChubb Limitedinsurance violation2018TX-INS$9,000
Sentry InsuranceSentry Insuranceinsurance violation2019TX-INS$9,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2019TX-INS$9,000
AMERITAS LIFE INSURANCE CORPAmeritas Mutual Holding Companyinsurance violation2001VA-INS$9,000
PACIFIC LIFE & ANNUITY COMPANYPacific Lifeinsurance violation2001VA-INS$9,000
RELIASTAR LIFE INSURANCE COVoya Financialinsurance violation2001VA-INS$9,000
NEW ENGLAND LIFE INSURANCE CO.Brighthouse Financialinsurance violation2002VA-INS$9,000
HCC LIFE INSURANCE COMPANYTokio Marineinsurance violation2015VA-INS$9,000
National Casualty CompanyNationwideinsurance violation2016WA-INS$9,000
Minnesota Life Insurance Co.Securian Financialinsurance violation2020CT-INS$9,000
PRUDENTIAL INS CO OF AMERPrudential Financialenvironmental violation2018PA-ENV$9,000
GOODRICH AVIATION TECH SRV INCMacquarieenvironmental violation2004WA-ENV$9,000
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2021TX-INS$9,000
National Union Fire Insurance Company of Pittsburgh, PaAmerican International Groupinsurance violation2021LA-INS$9,000
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2006CA-SCAQMD$9,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2014TX-PUC$9,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$9,000
Reliance Standard Life Insurance CompanyTokio Marineinsurance violation2022CT-INS$9,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$9,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$9,000
AIG Property Casualty CompanyAmerican International Groupinsurance violation2023TX-INS$9,000
WELLS FARGO BANK, NAWells Fargoworkplace safety or health violation2017OSHA$9,000
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$9,000
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$8,947
Illinois National Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$8,900
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2012CA-SCAQMD$8,900
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,893
Carolina Coastal Railway, Inc.3i Infrastructure PLCrailroad safety violation2021FRA$8,853
Hanmi BankHanmi Financial Corp.banking violation2007FED$8,835
Waddell & Reed, Inc.Macquarieinvestor protection violation2003FL-OFR$8,800
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2023VA-INS$8,800
U.S. BANCORP DBA US BANK MT. VERNON IL OFFICEU.S. Bancorpworkplace safety or health violation2015OSHA$8,775
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2023OSHA$8,766
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2000FL-OFR$8,750
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2017TX-INS$8,750
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusenvironmental violation2016IN-ENV$8,750
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2010OSHA$8,750
Discover Financial ServicesDiscover Financial Serviceseconomic sanction violation2010OFAC$8,720
LOUIS DREYFUS COMPANY RIVER ELEVATORS, LLCLouis Dreyfusworkplace safety or health violation2017OSHA$8,665
LIBERTY INSURANCE CORP et al.Liberty Mutual Insuranceinsurance violation2017VA-INS$8,652
CLECO CORPORATIONMacquarieworkplace safety or health violation2017OSHA$8,626
Travelers Insurance CompanyTravelersinsurance violation2002MA-INS$8,600
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2014NY-DFS$8,600
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2014MSHA$8,600
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,600
Courier Printing CompanyChatham Asset Managementenvironmental violation2016TN-ENV$8,555
Jackson HewittJackson Hewittwage and hour violation2013MI-LEO$8,553
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$8,550
SYNAGRO-WWT, INC.Goldman Sachsworkplace safety or health violation2019OSHA$8,525
Nationwide Mutual Insurance Co.Nationwideinsurance violation2007CO-INS$8,500
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2013IN-SEC$8,500
Ragen Mackenzie Investment Services LLCWells Fargoinvestor protection violation2004OR-FIN$8,500
Ace American Insurance CompanyChubb Limitedinsurance violation2012TX-INS$8,500
XL Specialty Insurance CompanyAXAinsurance violation2014TX-INS$8,500
AIG Property Casualty CompanyAmerican International Groupinsurance violation2015TX-INS$8,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$8,500
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2017TX-INS$8,500
Zurich American Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$8,500
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2018TX-INS$8,500
DAIRYLAND INSURANCE COSentry Insuranceinsurance violation2001VA-INS$8,500
Regent Insurance Co.QBE Insuranceinsurance violation2003WI-INS$8,500
Foremost Insurance Co.Zurich Insuranceinsurance violation2003WI-INS$8,500
American Family Life Assurance Company of ColumbusAflacinsurance violation2020CT-INS$8,500
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusenvironmental violation2005FL-DEP$8,500
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2020TX-INS$8,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2020TX-INS$8,500
Protective Insurance Co.Progressiveinsurance violation2021TX-INS$8,500
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2023TX-INS$8,500
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2023TX-INS$8,500
Liberty Mutual Personal Insurance CompanyLiberty Mutual Insuranceinsurance violation2024MD-INS$8,500
CASH AMERICAFirstCashworkplace safety or health violation2016OSHA$8,500
FIFTH THIRD BANK, NATIONAL ASSOCIATIONFifth Third Bancorpworkplace safety or health violation2023OSHA$8,500
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2010IN-SEC$8,495
Provident Funding Associates, LPProvident Funding Associateswage and hour violation2008WHD$8,453
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2018TX-INS$8,400
CAPITAL ONE NATIONAL ASSOCIATIONCapital One Financialenvironmental violation2010TX-ENV$8,400
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2014TX-INS$8,397
Buckeye Pipe Line Company, L.P.IFM Investorsenvironmental violation2012EPA$8,397
HSBC Bank USAHSBCeconomic sanction violation2004OFAC$8,375
BROADRIDGE FINANCIAL SOLUTIONS, INC.Broadridge Financial Solutionsworkplace safety or health violation2019OSHA$8,335
Banner Life Insurance Co.Legal & General Group PLCinsurance violation2011MD-INS$8,300
Transamerica Life Insurance Co.Aegoninsurance violation2017MD-INS$8,300
Conseco Life Insurance CompanyCNO Financialinsurance violation2003OR-FIN$8,300
ACE American Reinsurance CompanyChubb Limitedinsurance violation2006OR-FIN$8,300
HSBC North America Inc.HSBCwage and hour violation2006WHD$8,273
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2017FRA$8,250
Acadia Insurance Co.W.R. Berkleyinsurance violation2021TX-INS$8,250
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
PNC BankPNC Financial Serviceseconomic sanction violation2005OFAC$8,200
Jackson National Life Insurance Co.Jackson Financialinsurance violation2015MD-INS$8,200
BUCKEYE PORT READING TERMINAL LLCIFM Investorsenvironmental violation2009NJ-ENV$8,200
CitiFinancial, Inc.Citigroupconsumer protection violation2003FL-OFR$8,199
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.