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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,816,534,046
Number of Records: 7,081
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$36,129,269,434222
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
Goldman Sachs$16,599,475,84889
NatWest Group PLC$13,515,546,85731
Credit Suisse$10,932,400,12651
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 Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
American Zurich Insurance CompanyZurich Insuranceinsurance violation2012TX-INS$27,500
Zurich American Insurance CompanyZurich Insuranceinsurance violation2012TX-INS$35,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2013TX-INS$14,360
American Zurich Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$16,514
Zurich American Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$47,735
American Guarantee and Liability Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$11,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$15,500
Zurich American Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$5,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$9,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$90,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$15,200
American Zurich Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$7,000
American Guarantee and Liability Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$6,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2016TX-INS$5,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2016TX-INS$13,571
Zurich American Insurance CompanyZurich Insuranceinsurance violation2016TX-INS$35,012
American Zurich Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$6,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$8,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$9,500
Zurich American Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$32,400
American Zurich Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$53,750
Zurich American Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$42,000
Security National Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$40,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$18,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2019TX-INS$45,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2019TX-INS$17,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2019TX-INS$15,000
AMERICAN ZURICH INSURANCE COZurich Insuranceinsurance violation2004VA-INS$5,000
BRISTOL WEST INSURANCE COMPANYZurich Insuranceinsurance violation2006VA-INS$20,000
Universal Underwriters Life Insurance CompanyZurich Insuranceinsurance violation2006VA-INS$24,000
Metropolitan Property and CasualtyZurich Insuranceinsurance violation2007VA-INS$5,000
FOREMOST INSURANCE CO.Zurich Insuranceinsurance violation2010VA-INS$6,000
EMPIRE FIRE & MARINE INSURANCE COZurich Insuranceinsurance violation2011VA-INS$25,000
American Guarantee and Liability Insurance CompanyZurich Insuranceinsurance violation2011VA-INS$5,000
BRISTOL WEST INSURANCE CO.Zurich Insuranceinsurance violation2011VA-INS$75,400
Bristol West Casualty Insurance Company and Bristol West Insurance CompanyZurich Insuranceinsurance violation2020VA-INS$27,560
Bristol West Casualty Insurance Company and Bristol West Insurance CompanyZurich Insuranceinsurance violation2020VA-INS$91,872
Farmers Insurance Company Of Washington And Farmers Insurance ExchangeZurich Insuranceinsurance violation2012WA-INS$10,000
American Guarantee & Liability Insurance Company et al.Zurich Insuranceinsurance violation2013WA-INS$50,000
Farmers Insurance Company Of WashingtonZurich Insuranceinsurance violation2015WA-INS$100,000
Farmers Insurance Company Of WashingtonZurich Insuranceinsurance violation2015WA-INS$300,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2016WA-INS$20,000
Farmers Insurance Company Of WashingtonZurich Insuranceinsurance violation2017WA-INS$10,000
Farmers Insurance Company Of Washington And Farmers Insurance ExchangeZurich Insuranceinsurance violation2020WA-INS$50,000
Foremost Insurance Co.Zurich Insuranceinsurance violation2003WI-INS$8,500
Universal Underwriters Service Corp.Zurich Insuranceinsurance violation2008WI-INS$10,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2020NY-DFS$200,000
Zurich American Insurance Co. of IllinoisZurich Insuranceinsurance violation2020TX-INS$10,800
Security National Insurance Co.Zurich Insuranceinsurance violation2020WA-INS$5,000
ZURICH AMERICAN INS COZurich Insurancewage and hour violation2018IL-DOL$13,865
American Guarantee and Liability Insurance CompanyZurich Insuranceinsurance violation2020CT-INS$10,000
Farmers InsuranceZurich Insuranceinsurance violation2021OK-AG$25,000,000
Metropolitan Property and Casualty Insurance CompanyZurich Insuranceinsurance violation2021VT-FIN$13,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2021OR-FIN$15,000
Foremost Insurance Company Grand Rapids MichiganZurich Insuranceinsurance violation2021WA-INS$75,000
Farmers Insurance Company of Washington et al.Zurich Insuranceinsurance violation2021WA-INS$20,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2021WA-INS$5,000
Security National Insurance Co.Zurich Insuranceinsurance violation2021MO-INS$23,150
Zurich American Life Insurance Company of New YorkZurich Insuranceinsurance violation2020NY-DFS$25,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$6,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022NY-DFS$2,200,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$7,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$5,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$14,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$72,000
Zions First National BankZions Bancorporationbanking violation2011OCC$8,000,000
Zions BancorporationZions Bancorporationwage and hour violation2009WHD$15,347
ZB N.A. (fka Zions First National Bank)Zions Bancorporationconsumer protection violation2017USAO$3,600,000
Zions Direct, Inc.Zions Bancorporationinvestor protection violation2010FINRA$225,000
Wilmington Savings Fund Society, Federal Savings BankWSFS Financial Corp.banking violation2019OCC$85,265
Bryn Mawr Trust CompanyWSFS Financial Corp.banking violation2021FED$105,000
World Acceptance CorporationWorld Acceptance Corporationwage and hour violation2019WHD$5,549
World Acceptance Corporation, IncWorld Acceptance Corporationwage and hour violation2019WHD$6,582
World Acceptance CorporationWorld Acceptance CorporationForeign Corrupt Practices Act2020SEC$21,700,000
Woodforest National BankWoodforest National Bankbanking violation2010OCC$33,000,000
Wintrust Financial CorporationWintrust Financial Corp.banking violation2019FED$1,012,500
Towers PerrinWillis Towers Watsonwage and hour violation2005WHD$105,865
Towers, Perrin, Forrester & CrosbyWillis Towers Watsonwage and hour violation2005WHD$294,279
Towers PerrinWillis Towers Watsonwage and hour violation2004WHD$376,093
Watson Wyatt & Co.Willis Towers Watsonlabor relations violation2005NLRB$91,000
Willis GroupWillis Towers Watsonemployment discrimination2011private lawsuit-federal$11,595,038
Willis GroupWillis Towers Watsonemployment discrimination2008private lawsuit-federal$12,757,949
Willis Group Holdings Ltd.Willis Towers Watsonconsumer protection violation2007FL-AG$2,600,000
Willis Group Holdings Ltd.Willis Towers Watsonprice-fixing or anti-competitive practices2005NY-AG$50,000,000
Watson Wyatt & CompanyWillis Towers WatsonFalse Claims Act and related2005USAO$689,828
Towers PerrinWillis Towers Watsonbenefit plan administrator violation2011private lawsuit-federal$9,200,000
WEX Bank and Higher One, Inc.WEX Inc.banking violation2015FDIC$34,980,000
WEX Inc.WEX Inc.investor protection violation2021SEC$350,000
Ruesch International, Inc.Western Unioneconomic sanction violation2004OFAC$7,811
Western Union CompanyWestern Unionanti-money-laundering deficiencies2017DOJ_CRIMINAL$586,000,000
Western Union Financial Services, Inc.Western Unioneconomic sanction violation2019OFAC$401,697
Western Union Co.Western Unionconsumer protection violation2017MULTI-AG$5,000,000
Western Union Financial ServicesWestern Unionconsumer protection violation2005MULTI-AG$8,529,000
Western Union Financial Services, Inc.Western Unionanti-money-laundering deficiencies2010MULTI-AG$94,000,000
Western Union Financial Services, Inc.Western Unionconsumer protection violation2008AZ-DIFI$2,000,000
Western Union International Services LLCWestern Unionconsumer protection violation2019FL-OFR$10,000
Western Union Financial Services, Inc.Western Unionanti-money-laundering deficiencies2002NY-DFS$8,000,000
Western UnionWestern Unionanti-money-laundering deficiencies2018NY-DFS$60,000,000
WESTERN UNIONWestern Unionworkplace safety or health violation2015OSHA$11,000
Gerber Life Insurance CompanyWestern & Southern Financial Groupwage and hour violation2009WHD$172,799
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2011MD-INS$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.