Violation Tracker

Basic Search | Summaries | Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $394,610,993,640
Number of Records: 7,983
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	$87,299,969,499	332
JPMorgan Chase	$40,164,908,209	281
UBS	$31,275,299,125	181
Wells Fargo	$27,617,269,231	267
Citigroup	$27,081,211,792	183
Deutsche Bank	$20,011,467,563	99
Goldman Sachs	$17,919,491,249	115
NatWest Group PLC	$14,264,317,618	41
Morgan Stanley	$10,909,502,443	206
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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)

Company	Current Parent	Primary Offense Type	Year	Agency	Penalty Amount
PHH Mortgage Corp.	Ocwen Financial	zoning violation	2017	NY-DFS	$119,000
Barclays Bank PLC	Barclays	workplace whistleblower retaliation	2018	NY-DFS	$15,000,000
Bank of America Corp.	Bank of America	workplace whistleblower retaliation	2011	OSHA	$930,000
JP Morgan Chase Bank	JPMorgan Chase	workplace whistleblower retaliation	2016	OSHA	$203,323
Wells Fargo	Wells Fargo	workplace whistleblower retaliation	2017	OSHA	$577,500
Wells Fargo Bank N.A	Wells Fargo	workplace whistleblower retaliation	2017	OSHA	$5,400,000
Wells Fargo	Wells Fargo	workplace whistleblower retaliation	2022	OSHA	$22,000,000
Imperial Sugar Company	Louis Dreyfus	workplace safety or health violation	2010	OSHA	$6,050,000
Broadspire Services, Inc.	Crawford & Co.	workplace safety or health violation	2011	MO-AG	$28,500
CITIMORTGAGE, INC.	Citigroup	workplace safety or health violation	2007	OSHA	$5,097
R.R. DONNELLEY & SONS COMPANY	Chatham Asset Management	workplace safety or health violation	2002	OSHA	$55,000
AMERICAN INTERNATIONAL GROUP	American International Group	workplace safety or health violation	2003	OSHA	$5,900
R.R. DONNELLEY	Chatham Asset Management	workplace safety or health violation	2004	OSHA	$5,000
WHEELABRATOR SHASTA ENERGY CO.	Macquarie	workplace safety or health violation	2000	OSHA	$10,275
BANK OF AMERICA	Bank of America	workplace safety or health violation	2003	OSHA	$5,000
DEPOSITORY TRUST & CLEARING CORP.	Depository Trust	workplace safety or health violation	2000	OSHA	$13,000
RR DONNELLEY & SONS COMPANY	Chatham Asset Management	workplace safety or health violation	2001	OSHA	$5,000
GARNER PRINTING	Chatham Asset Management	workplace safety or health violation	2001	OSHA	$6,000
SPENCER PRESS OF MAINE, INC.	Chatham Asset Management	workplace safety or health violation	2001	OSHA	$10,500
ALLSTATE	Allstate	workplace safety or health violation	2002	OSHA	$69,500
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
IFCO SYSTEMS NORTH AMERICA	Triton Investments Advisers	workplace safety or health violation	2004	OSHA	$5,250
SYNAGRO TECHNOLOGIES, INC.	Goldman Sachs	workplace safety or health violation	2004	OSHA	$5,725
KEYBANK NATIONAL ASSOCIATION	KeyCorp	workplace safety or health violation	2004	OSHA	$28,000
IFCO SYSTEMS N.A., INC.	Triton Investments Advisers	workplace safety or health violation	2006	OSHA	$20,000
IFCO SYSTEMS NORTH AMERICA INC	Triton Investments Advisers	workplace safety or health violation	2008	OSHA	$5,400
SPENCER PRESS OF MAINE INC.	Chatham Asset Management	workplace safety or health violation	2005	OSHA	$35,000
RR DONNELLEY	Chatham Asset Management	workplace safety or health violation	2006	OSHA	$11,000
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INC	Invesco	workplace safety or health violation	2007	OSHA	$5,200
IFCO SYSTEMS DBA VALLEY WOOD PRODUCTS, INC.	Triton Investments Advisers	workplace safety or health violation	2006	OSHA	$5,226
IFCO SYSTEMS NORTH AMERICA, INC.	Triton Investments Advisers	workplace safety or health violation	2007	OSHA	$9,210
BOWNE & COMPANY, INC.	Chatham Asset Management	workplace safety or health violation	2006	OSHA	$5,250
IFCO SYSTEMS	Triton Investments Advisers	workplace safety or health violation	2006	OSHA	$9,450
PRO LINE PRINTING, INC.	Chatham Asset Management	workplace safety or health violation	2007	OSHA	$5,000
LOUIS DREYFUS CITRUS INC.	Louis Dreyfus	workplace safety or health violation	2006	OSHA	$9,800
IFCO SYSTEMS	Triton Investments Advisers	workplace safety or health violation	2007	OSHA	$5,550
INTERNATIONAL AUTOMOTIVE COMPONENTS	Invesco	workplace safety or health violation	2007	OSHA	$5,625
R.R. DONNELLEY & SONS COMPANY	Chatham Asset Management	workplace safety or health violation	2007	OSHA	$5,100
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.	Louis Dreyfus	workplace safety or health violation	2008	OSHA	$4,050,000
IFCO SYSTEMS NORTH AMERICA, INC.	Triton Investments Advisers	workplace safety or health violation	2007	OSHA	$27,690
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.: I	Louis Dreyfus	workplace safety or health violation	2008	OSHA	$2,000,000
SYNAGRO A RESIDUALS MANAGEMENT COMPANY	Goldman Sachs	workplace safety or health violation	2008	OSHA	$13,000
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INC	Invesco	workplace safety or health violation	2008	OSHA	$59,000
IFCO SYSTEMS	Triton Investments Advisers	workplace safety or health violation	2008	OSHA	$18,500
R R DONNELLEY	Chatham Asset Management	workplace safety or health violation	2009	OSHA	$7,500
IFCO SYSTEMS	Triton Investments Advisers	workplace safety or health violation	2008	OSHA	$7,500
SYNAGRO TECHNOLOGIES INC.	Goldman Sachs	workplace safety or health violation	2008	OSHA	$10,000
CITIBANK, N.A.	Citigroup	workplace safety or health violation	2010	OSHA	$5,000
FARMERS INSURANCE EXCHANGE	Farmers Insurance Exchange	workplace safety or health violation	2009	OSHA	$10,000
IFCO SYSTEMS NORTH AMERICA INC	Triton Investments Advisers	workplace safety or health violation	2010	OSHA	$11,200
IMPERIAL SUGAR CO.	Louis Dreyfus	workplace safety or health violation	2010	OSHA	$7,200
EL PASO ELECTRIC	JPMorgan Chase	workplace safety or health violation	2010	OSHA	$6,000
EL PASO ELECTRIC COMPANY	JPMorgan Chase	workplace safety or health violation	2011	OSHA	$18,300
RR DONNELLEY INC	Chatham Asset Management	workplace safety or health violation	2012	OSHA	$7,750
FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS, INC	Fidelity Investments	workplace safety or health violation	2011	OSHA	$7,000
IFCO SYSTEMS N.A., INC.	Triton Investments Advisers	workplace safety or health violation	2009	OSHA	$11,100
FARMERS INSURANCE EXCHANGE	Farmers Insurance Exchange	workplace safety or health violation	2010	OSHA	$5,000
INTERNATIONAL AUTOMOTIVE COMPONENTS	Invesco	workplace safety or health violation	2009	OSHA	$6,000
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.	Louis Dreyfus	workplace safety or health violation	2011	OSHA	$13,600
R.R. DONNELLEY & SONS COMPANY	Chatham Asset Management	workplace safety or health violation	2010	OSHA	$12,600
BANK OF AMERICA	Bank of America	workplace safety or health violation	2011	OSHA	$6,600
R.R. DONNELLEY	Chatham Asset Management	workplace safety or health violation	2010	OSHA	$11,600
THE HARTFORD FINANCIAL SERVICES GROUP, INC.	Hartford Financial Services	workplace safety or health violation	2011	OSHA	$5,600
WHEELABRATOR SHASTA ENERGY CO, INC	Macquarie	workplace safety or health violation	2010	OSHA	$10,000
WHEELABRATOR PORTSMOUTH	Macquarie	workplace safety or health violation	2010	OSHA	$6,890
INTERNATIONAL AUTOMOTIVE COMPONENTS	Invesco	workplace safety or health violation	2010	OSHA	$8,750
IFCO SYSTEMS	Triton Investments Advisers	workplace safety or health violation	2010	OSHA	$8,000
R.R. DONNELLEY & SONS COMPANY	Chatham Asset Management	workplace safety or health violation	2012	OSHA	$5,950
IFCO SYSTEMS N.A., INC.	Triton Investments Advisers	workplace safety or health violation	2010	OSHA	$7,000
IFCO SYSTEMS NA INC DBA PALLET COMPANIES INC	Triton Investments Advisers	workplace safety or health violation	2010	OSHA	$44,000
IFCO SYSTEMS NORTH AMERICA, INC.	Triton Investments Advisers	workplace safety or health violation	2011	OSHA	$5,950
RR DONNELLEY	Chatham Asset Management	workplace safety or health violation	2011	OSHA	$6,400
RR DONNELLEY	Chatham Asset Management	workplace safety or health violation	2011	OSHA	$12,435
IAC	Invesco	workplace safety or health violation	2013	OSHA	$9,025
WHEELABRATOR ENERGY COMPANY, INCORPORATED	Macquarie	workplace safety or health violation	2011	OSHA	$15,000
IFCO SYSTEMS NORTH AMERICA INC.	Triton Investments Advisers	workplace safety or health violation	2011	OSHA	$73,950
IFCO SYSTEMS NORTH AMERICA INC	Triton Investments Advisers	workplace safety or health violation	2011	OSHA	$8,000
IAC SPARTANBURG	Invesco	workplace safety or health violation	2011	OSHA	$7,277
IFCO SYSTEMS	Triton Investments Advisers	workplace safety or health violation	2011	OSHA	$5,000
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLC	Invesco	workplace safety or health violation	2011	OSHA	$5,850
PROGRESSIVE, INC.	Progressive	workplace safety or health violation	2012	OSHA	$29,000
RR DONNELLEY RENO OFFSET	Chatham Asset Management	workplace safety or health violation	2011	OSHA	$5,024
COMMUNICORP INC.	Aflac	workplace safety or health violation	2011	OSHA	$9,900
UNUM GROUP CORPORATION	Unum	workplace safety or health violation	2011	OSHA	$5,400
IAC MADISONVILLE LLC	Invesco	workplace safety or health violation	2014	OSHA	$5,000
IAC DAYTON LLC	Invesco	workplace safety or health violation	2013	OSHA	$5,775
THEO. DAVIS SONS, INCORPORATED	Chatham Asset Management	workplace safety or health violation	2013	OSHA	$6,750
DITECH INC	Ditech Holding Corporation	workplace safety or health violation	2014	OSHA	$5,880
INTERNATIONAL AUTOMOTIVE COMPONENTS	Invesco	workplace safety or health violation	2014	OSHA	$5,000
IAC SPRINGFIELD, LLC	Invesco	workplace safety or health violation	2014	OSHA	$9,100
IAC MADISONVILLE LLC	Invesco	workplace safety or health violation	2014	OSHA	$7,500
IAC HURON, LLC	Invesco	workplace safety or health violation	2011	OSHA	$20,940
AMERICAN FAMILY INSURANCE	American Family Insurance	workplace safety or health violation	2012	OSHA	$12,500
CINCINNATI BELL TELEPHONE	Macquarie	workplace safety or health violation	2012	OSHA	$13,500
RR DONNELLY COMPANY	Chatham Asset Management	workplace safety or health violation	2012	OSHA	$17,000
IFCO SYSTEMS, NORTH AMERICA	Triton Investments Advisers	workplace safety or health violation	2012	OSHA	$6,720
STATE FARM INSURANCE	State Farm Insurance	workplace safety or health violation	2012	OSHA	$8,160
THE KEMPER COMPANY	Kemper	workplace safety or health violation	2012	OSHA	$9,800
SYNAGRO	Goldman Sachs	workplace safety or health violation	2012	OSHA	$7,000
IFCO SYSTEMS US, LLC SITE146	Triton Investments Advisers	workplace safety or health violation	2013	OSHA	$23,099