Basic Search
|
Summaries
|
Advanced Search
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 Companies | Total Penalty $ | Number of Records |
| Bank of America | $87,286,650,890 | 328 |
| JPMorgan Chase | $39,340,688,209 | 275 |
| UBS | $31,069,299,125 | 179 |
| Wells Fargo | $27,616,269,231 | 266 |
| Citigroup | $26,945,611,792 | 181 |
| Deutsche Bank | $20,011,467,563 | 99 |
| Goldman Sachs | $17,729,358,987 | 111 |
| NatWest Group PLC | $14,370,701,618 | 43 |
| Morgan Stanley | $10,780,502,443 | 203 |
| BNP Paribas | $10,363,464,666 | 23 |
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.
| Company | Current Parent | Primary Offense Type | Year | Agency | Penalty Amount  |
| SUN LIFE ASSURANCE COMPANY OF CANADA | Sun Life Financial | insurance violation | 2024 | WA-INS | $5,000 |
| R.R. DONNELLEY | Chatham Asset Management | workplace safety or health violation | 2004 | OSHA | $5,000 |
| BANK OF AMERICA | Bank of America | workplace safety or health violation | 2003 | OSHA | $5,000 |
| RR DONNELLEY & SONS COMPANY | Chatham Asset Management | workplace safety or health violation | 2001 | OSHA | $5,000 |
| WELLS FARGO SECURITIES, LLC. | Wells Fargo | workplace safety or health violation | 2004 | OSHA | $5,000 |
| WASHINGTON MUTUAL | JPMorgan Chase | workplace safety or health violation | 2007 | OSHA | $5,000 |
| PRO LINE PRINTING, INC. | Chatham Asset Management | workplace safety or health violation | 2007 | OSHA | $5,000 |
| CITIBANK, N.A. | Citigroup | workplace safety or health violation | 2010 | OSHA | $5,000 |
| FARMERS INSURANCE EXCHANGE | Farmers Insurance Exchange | workplace safety or health violation | 2010 | OSHA | $5,000 |
| IFCO SYSTEMS | Triton Investments Advisers | workplace safety or health violation | 2011 | OSHA | $5,000 |
| IAC MADISONVILLE LLC | Invesco | workplace safety or health violation | 2014 | OSHA | $5,000 |
| INTERNATIONAL AUTOMOTIVE COMPONENTS | Invesco | workplace safety or health violation | 2014 | OSHA | $5,000 |
| RR DONNELLEY & SONS COMPANY | Chatham Asset Management | workplace safety or health violation | 2015 | OSHA | $5,000 |
| NEOVIA LOGISTICS DISTRIBUTION, LLC | Goldman Sachs | workplace safety or health violation | 2016 | OSHA | $5,000 |
| FITTJE BROS. PRINTING CO. | Chatham Asset Management | workplace safety or health violation | 2017 | OSHA | $5,000 |
| W. R. BERKLEY CORPORATION | W.R. Berkley | workplace safety or health violation | 2017 | OSHA | $5,000 |
| Nyrstar Tennessee Mines, Strawberry Plains LLC | Trafigura | workplace safety or health violation | 2014 | MSHA | $5,000 |
| Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2010 | MSHA | $5,000 |
| Nyrstar Gordonsville, LLC | Trafigura | workplace safety or health violation | 2014 | MSHA | $5,000 |
