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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,479,735,000115
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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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Company sort icon . Current ParentPrimary Offense TypeYearAgencyPenalty Amount
Smith BarneyMorgan Stanleyinvestor protection violation2007NJ-AG$978,000
Smith BarneyMorgan Stanleyinvestor protection violation2007NJ-BOS$5,000,000
Simmons First National BankSimmons First National Corp.employment discrimination2010OFCCP$360,187
Shoko Chukin Bank LtdShoko Chukin Bankprice-fixing or anti-competitive practices2019private lawsuit-federal$6,350,000
SG Cowen, LLCToronto-Dominion Bankinvestor protection violation2004FINRA$800,000
SG Cowen Securities CorporationToronto-Dominion Bankinvestor protection violation2003SEC$5,000,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities CorporationToronto-Dominion Bankinvestor protection violation2004SEC$125,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2016CFTC$750,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2009SEC$8,384,932
SG Americas Securities, LLCSociete Generaleinvestor protection violation2020FINRA$1,550,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2005FINRA$4,478,000
SG Americas Securities, Inc.Societe Generaleinvestor protection violation2013FINRA$675,000
SG Americas Securities LLC (Societe Generale)Societe Generaleinvestor protection violation2018SEC$800,000
SG Americas Securities LLCSociete Generaleinvestor protection violation2015SEC$1,011,093
SG Americas Securities LLCSociete Generaleinvestor protection violation2020SEC$1,550,000
SG Americas Securities LLCSociete Generaleprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Seterus, Inc.Mr. Cooper Grouplabor relations violation2013NLRB$72,162
Seterus, Inc.Mr. Cooper Groupconsumer protection violation2014NH-BKG$10,000
Seterus Inc.Mr. Cooper Groupmortgage abuses2019MULTI-FIN$350,000
ServiceLink, LLCFidelity National Financialinsurance violation2014MN-FIN$20,000
ServiceLink, LLCFidelity National Financialinsurance violation2019MO-INS$24,450
Servicelink, LLCFidelity National Financialconsumer protection violation2022VA-INS$5,000
ServiceLink LLCFidelity National Financialinsurance violation2019IN-INS$7,500
ServiceLink LLCFidelity National Financialinsurance violation2022IN-INS$67,175
ServiceLink Holdings, LLCFidelity National Financialbanking violation2017FED$65,000,000
Sentry Select Insurance CompanySentry Insuranceinsurance violation2021WA-INS$5,000
Sentry Select Insurance Co.Sentry Insuranceinsurance violation2018MO-INS$15,000
Sentry Insurance, A Mutual CompanySentry Insuranceinsurance violation2010TX-INS$7,200
Sentry Insurance, A Mutual CompanySentry Insuranceinsurance violation2012TX-INS$13,750
Sentry Insurance GroupSentry Insuranceinsurance violation2015SD-INS$125,000
Sentry Insurance a Mutual CompanySentry Insurancewage and hour violation2004WHD$46,524
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2005FL-OFR$7,500
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2001MA-INS$14,500
Sentry Insurance a Mutual CompanySentry Insuranceinsurance violation2011MO-INS$5,200
Sentry Insurance a Mutual CompanySentry Insuranceinsurance violation2018MO-INS$15,000
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2011UT-INS$6,000
Sentry Insurance A Mutual Co.Sentry Insuranceinsurance violation2015AZ-DIFI$20,000
Sentry InsuranceSentry Insuranceconsumer protection violation2014MA-AG$53,430
Sentry InsuranceSentry Insuranceinsurance violation2008TX-INS$5,000
Sentry InsuranceSentry Insuranceinsurance violation2014TX-INS$17,731
Sentry InsuranceSentry Insuranceinsurance violation2015TX-INS$20,000
Sentry InsuranceSentry Insuranceinsurance violation2016TX-INS$12,000
Sentry InsuranceSentry Insuranceinsurance violation2019TX-INS$9,000
Sentinel Insurance Company, Ltd.Hartford Financial Servicesinsurance violation2014NY-DFS$16,700
Sentinel Insurance Company, Ltd.Hartford Financial Servicesinsurance violation2020TX-INS$10,000
Sentinel Insurance Company, LtdHartford Financial Servicesinsurance violation2016TX-INS$32,000
Sentinel Insurance Company Ltd.Hartford Financial Servicesinsurance violation2011IL-INS$9,000
Sentinel Insurance Company Ltd.Hartford Financial Servicesinsurance violation2013SD-INS$5,000
Sentinel Insurance Company Ltd.Hartford Financial Servicesinsurance violation2010TX-INS$10,000
SENTINEL INSURANCE COMPANY LTDHartford Financial Servicesinsurance violation2012VA-INS$66,735
SENTINEL INSURANCE COMPANY LTDHartford Financial Servicesinsurance violation2014VA-INS$22,891
Sentinel Insurance Company LtdHartford Financial Servicesinsurance violation2012WA-INS$30,000
Sentinel Insurance CompanyHartford Financial Servicesinsurance violation2018NY-DFS$1,816,596
SENTINEL INSURANCE COMPANYHartford Financial Servicesinsurance violation2007VA-INS$5,000
Sentinel Insurance Co.Hartford Financial Servicesinsurance violation2019CT-INS$84,000
Seneca Insurance Company, Inc.Fairfax Financial Holdingsinsurance violation2013NY-DFS$50,000
Seneca Insurance Co. Inc.Fairfax Financial Holdingsinsurance violation2004MS-INS$5,000
Seneca Insurance Co.Fairfax Financial Holdingsinsurance violation2014KS-INS$5,000
Seneca Insurance Co.Fairfax Financial Holdingsinsurance violation2005NJ-DBI$72,256
Seneca Ins Co. Inc.Fairfax Financial Holdingsinsurance violation2004MS-INS$5,000
Selective Way Insurance CompanySelective Insurance Groupinsurance violation2014NY-DFS$50,000
Selective Way Insurance CompanySelective Insurance Groupinsurance violation2005PA-INS$5,000
Selective Way Insurance CompanySelective Insurance Groupinsurance violation2022VA-INS$5,000
Selective Insurance Company of the SoutheastSelective Insurance Groupinsurance violation2011WI-INS$5,000
Selective Insurance Company of the SoutheastSelective Insurance Groupinsurance violation2022VA-INS$5,000
Selective Insurance Company of South Carolina et al.Selective Insurance Groupinsurance violation2016MD-INS$8,000
Selective Insurance Company of South CarolinaSelective Insurance Groupinsurance violation2005PA-INS$5,000
Selective Insurance Company of South CarolinaSelective Insurance Groupinsurance violation2014TN-INS$10,000
Selective Insurance Company of South CarolinaSelective Insurance Groupinsurance violation2022VA-INS$5,000
Selective Insurance Company of New YorkSelective Insurance Groupinsurance violation2014NY-DFS$50,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2015MN-FIN$15,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2014NY-DFS$50,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2019TX-INS$6,500
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2011VA-INS$8,000
SELECTIVE INSURANCE COMPANY OF AMERICASelective Insurance Groupinsurance violation2017VA-INS$339,333
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2019VA-INS$10,137
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2020OR-FIN$10,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2022VA-INS$5,000
Selective Insurance CompaniesSelective Insurance Groupinsurance violation2018NY-DFS$4,666,268
SELECTIVE INSURANCE CO., ET AL.Selective Insurance Groupinsurance violation2010VA-INS$66,000
Selective Insurance Co. of AmericaSelective Insurance Groupinsurance violation2004NJ-DBI$25,000
SELECTIVE INSURANCE CO. ET AL.Selective Insurance Groupinsurance violation2018VA-INS$10,000
Security National Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$40,000
Security National Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$5,000
Security National Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$31,500
Security National Insurance Co.Zurich Insuranceinsurance violation2015MO-INS$16,090
Security National Insurance Co.Zurich Insuranceinsurance violation2020WA-INS$5,000
Security National Insurance Co.Zurich Insuranceinsurance violation2021MO-INS$23,150
Securian Financial Services, Inc.Securian Financialinvestor protection violation2020AK-DBS$10,000
Securian Financial Services, Inc.Securian Financialinvestor protection violation2009MO-SEC$79,445
Securian Financial Services, Inc.Securian Financialconsumer protection violation2013NE-DBF$5,500
Securian Financial Services Inc.Securian Financialinvestor protection violation2009TX-SEC$50,000
Seacoast National BankSeacoast Banking Corporation of Floridabanking violation2013OCC$26,950
Seacoast National BankSeacoast Banking Corporation of Floridabanking violation2006OCC$16,500
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2006AK-INS$6,530
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2009AK-INS$39,378
Seabury & Smith Inc.Marsh & McLennaneconomic sanction violation2005OFAC$46,341
Seabury & Smith Inc.Marsh & McLennaninsurance violation2007PA-INS$25,000
Scottsdale Insurance CompanyNationwideinsurance violation2000MA-INS$26,208
Scottsdale Insurance Co.Nationwideinsurance violation2010AZ-DIFI$37,500
Scottsdale Insurance Co.Nationwideinsurance violation2005FL-OFR$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.