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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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 TypeYearAgency sort iconPenalty Amount
JPMorgan Chase Bank, N.A.JPMorgan Chasebanking violation2024OCC$250,000,000
Jackson Hewitt Inc.Jackson Hewittconsumer protection violation2004NY-NYCDCWP$125,000
H&R BlockH&R Blockconsumer protection violation2002NY-NYCDCWP$4,000,000
HSBCHSBCemployment discrimination2020NY-NYCCHR$30,000
Aon Risk ServicesAonemployment discrimination2022NY-NYCCHR$80,000
UniCredit Bank AGUniCrediteconomic sanction violation2019NY-MANDA$316,000,000
UniCredit Bank Austria AGUniCrediteconomic sanction violation2019NY-MANDA$20,000,000
Standard Chartered BankStandard Charteredeconomic sanction violation2019NY-MANDA$292,000,000
Societe GeneraleSociete Generaleeconomic sanction violation2018NY-MANDA$162,800,000
Credit Agricole Corporate and Investment BankCredit Agricoleeconomic sanction violation2015NY-MANDA$156,000,000
Commerzbank AGCommerzbankeconomic sanction violation2015NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $171,000,000
BNP Paribas S.A.BNP Paribaseconomic sanction violation2014NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,243,400,000
Metropolitan Life Insurance Company, Inc.MetLifeinsurance violation2014NY-MANDA$10,000,000
HSBC Holdings plcHSBCeconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $187,500,000
Standard Chartered BankStandard Charteredeconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $113,500,000
ING Bank, NVINGeconomic sanction violation2012NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $309,500,000
Barclays plcBarclayseconomic sanction violation2010NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $149,000,000
Credit Suisse AGUBSeconomic sanction violation2009NY-MANDA$268,000,000
Lloyds TSB Bank plcLloyds Banking Groupeconomic sanction violation2009NY-MANDA$175,000,000
VITOL, S.A.Vitolkickbacks and bribery2007NY-MANDA$17,500,000
Bank of America Corp.Bank of Americaanti-money-laundering deficiencies2006NY-MANDA$7,500,000
Israel Discount Bank of New YorkIsrael Discount Bankanti-money-laundering deficiencies2005NY-MANDA$8,500,000
Citigroup, Inc.Citigroupaccounting fraud or deficiencies2003NY-MANDA$25,000,000
J.P. Morgan Chase & Co.JPMorgan Chaseaccounting fraud or deficiencies2003NY-MANDA$25,000,000
Buckeye Albany Terminals, LLCIFM Investorsenvironmental violation2018NY-ENV$15,750
Buckeye Albany Terminal LLCIFM Investorsenvironmental violation2016NY-ENV$30,000
Buckeye Albany Terminal LLCIFM Investorsenvironmental violation2014NY-ENV$36,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2000NY-DFS$250,000
CitigroupCitigroupdiscriminatory practices (non-employment)2001NY-DFS$1,000,000
U.S. Trust CorporationBank of Americaanti-money-laundering deficiencies2001NY-DFS$5,000,000
Western Union Financial Services, Inc.Western Unionanti-money-laundering deficiencies2002NY-DFS$8,000,000
Credit AgricoleCredit Agricolebanking violation2004NY-DFS$5,000,000
ABN AMROABN AMROeconomic sanction violation2005NY-DFS$20,000,000
Israel Discount Bank of New YorkIsrael Discount Bankanti-money-laundering deficiencies2006NY-DFS$6,000,000
Allstate Life Insurance Company of New YorkAllstateinsurance violation2007NY-DFS$18,250,000
HealthNow New York Inc.Highmark Inc.insurance violation2008NY-DFS$1,050,000
Allied Home Mortgage Capital CorporationAmericus Mortgageconsumer protection violation2009NY-DFS$10,000
AXA Equitable Life Insurance CompanyEquitable Holdingsinsurance violation2010NY-DFS$1,900,000
Citicorp Insurance Agency, Inc., Citicorp Investment Services, and SBHU Life Agency, Inc.Citigroupinsurance violation2010NY-DFS$2,000,000
HealthNowHighmark Inc.insurance violation2011NY-DFS$4,492,327
Hartford Life Insurance CompanyHartford Financial Servicesinsurance violation2012NY-DFS$24,000,000
HealthNowHighmark Inc.insurance violation2012NY-DFS$101,640
Standard Chartered BankStandard Charteredanti-money-laundering deficiencies2012NY-DFS$340,000,000
HealthNow New York Inc.Highmark Inc.insurance violation2013NY-DFS$700,000
Assurant, Inc.Assurantinsurance violation2013NY-DFS$14,000,000
QBE Insurance Corp.QBE Insuranceinsurance violation2013NY-DFS$10,000,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2013NY-DFS$4,560,000
Seneca Insurance Company, Inc.Fairfax Financial Holdingsinsurance violation2013NY-DFS$50,000
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2013NY-DFS$150,000
Bank of Tokyo Mitsubishi-UFJ, LtdMitsubishi UFJ Financial Groupeconomic sanction violation2013NY-DFS$250,000,000
Transamerica Financial Life Insurance CompanyAegoninsurance violation2013NY-DFS$852,418
Prospect Mortgage, LLCHomebridge Financial Servicesmortgage abuses2013NY-DFS$3,427,155
Royal Bank of ScotlandNatWest Group PLCeconomic sanction violation2013NY-DFS$50,000,000
Allianz Life Insurance Company of New YorkAllianzinsurance violation2013NY-DFS$135,000
Travelers Home & Marine Insurance CompanyTravelersinsurance violation2014NY-DFS$100,000
AXA EquitableEquitable Holdingsinsurance violation2014NY-DFS$20,000,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2014NY-DFS$46,800
MetLifeMetLifeinsurance violation2014NY-DFS$50,000,000
Encompass Indemnity CompanyAllstateinsurance violation2014NY-DFS$40,100
Credit Suisse AGUBStax violations2014NY-DFS$715,000,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2014NY-DFS$75,000
Investment Professionals Inc.Ameriprise Financialinsurance violation2014NY-DFS$10,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2014NY-DFS$7,100
Hartford Insurance Company of IllinoisHartford Financial Servicesinsurance violation2014NY-DFS$7,100
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2014NY-DFS$14,450
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2014NY-DFS$8,600
Sentinel Insurance Company, Ltd.Hartford Financial Servicesinsurance violation2014NY-DFS$16,700
BNP ParibasBNP Paribaseconomic sanction violation2014NY-DFS(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,240,000,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2014NY-DFS$190,000
21st Century Centennial Insurance CompanyZurich Insuranceinsurance violation2014NY-DFS$9,000
Standard Chartered BankStandard Charteredanti-money-laundering deficiencies2014NY-DFS$300,000,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2014NY-DFS$9,000
Nationwide General Insurance CompanyNationwideinsurance violation2014NY-DFS$32,000
Selective Insurance Company of New YorkSelective Insurance Groupinsurance violation2014NY-DFS$50,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2014NY-DFS$50,000
Selective Way Insurance CompanySelective Insurance Groupinsurance violation2014NY-DFS$50,000
AIGAmerican International Groupinsurance violation2014NY-DFS$35,000,000
Bank of Tokyo Mitsubishi UFJMitsubishi UFJ Financial Groupeconomic sanction violation2014NY-DFS$315,000,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2014NY-DFS$48,500
Bank LeumiBank Leumitax violations2014NY-DFS$130,000,000
American Family Home Insurance CompanyMunich Reinsurance violation2015NY-DFS$25,000
American Modern Home Insurance CompanyMunich Reinsurance violation2015NY-DFS$150,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2015NY-DFS$150,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2015NY-DFS$250,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015NY-DFS$100,000
Harleysville Worcester Insurance CompanyNationwideinsurance violation2015NY-DFS$76,500
Wells Fargo BankWells Fargoconsumer protection violation2015NY-DFS$4,000,000
Virginia Surety Company, Inc.Assurantinsurance violation2015NY-DFS$10,000
CommerzbankCommerzbankeconomic sanction violation2015NY-DFS$610,000,000
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2015NY-DFS$72,975
Combined Life Insurance Company of New YorkChubb Limitedinsurance violation2015NY-DFS$50,000
21st Century Centennial Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$36,500
21st Century National Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$25,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2015NY-DFS$600,000,000
AXA Art Insurance CorporationAXAinsurance violation2015NY-DFS$70,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2015NY-DFS$485,000,000
Bankers Conseco Life Insurance CompanyCNO Financialinsurance violation2015NY-DFS$10,270
Metropolitan Group Property and Casualty Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$30,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2015NY-DFS$21,000
Credit AgricoleCredit Agricoleeconomic sanction violation2015NY-DFS$385,000,000
Goldman SachsGoldman Sachsinvestor protection violation2015NY-DFS$50,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.