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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 CompaniesTotal Penalty $Number of Records
Bank of America$87,299,969,499332
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,617,269,231267
Citigroup$27,081,211,792183
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,909,502,443206
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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
HSBCHSBCemployment discrimination2020NY-NYCCHR$30,000
HSBCHSBCprice-fixing or anti-competitive practices2022private lawsuit-federal$11,000,000
Household InternationalHSBCwage and hour violation2003WHD$54,328
Household InternationalHSBCbenefit plan administrator violation2004private lawsuit-federal$46,500,000
Household Finance CorpoationHSBCconsumer protection violation2008NE-DBF$55,000
Household Finance Corp. of California and Beneficial California, Inc.HSBCmortgage abuses2002CA-DFPI$8,900,000
Household Finance Corp.HSBCmortgage abuses2002MULTI-AG$484,000,000
Horizon Healthcare Services, Inc. and Horizon Healthcare of New Jersey Inc.Horizon Healthcare Servicesinsurance violation2017NJ-DBI$1,500,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesbenefit plan administrator violation2016private lawsuit-federal$33,000,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesprivacy violation2017NJ-AG$1,100,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2010NJ-DBI$500,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2012NJ-DBI$4,233,100
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2012NJ-DBI$100,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2014NJ-DBI$750,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2016NJ-DBI$400,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2019NJ-DBI$250,000
Horizon Healthcare of New Jersey, Inc.Horizon Healthcare Servicesinsurance violation2017NJ-DBI$291,824
Horizon Healthcare of New Jersey, Inc.Horizon Healthcare Servicesinsurance violation2019NJ-DBI$1,940,000
Horizon Healthcare of New Jersey Inc.Horizon Healthcare Servicesinsurance violation2003NJ-DBI$200,000
HORACE MANN SERVICE CORPORATIONHorace Mann Educators Corp.benefit plan administrator violation2006EBSA$10,001
Horace Mann Property & Casualty Insurance Co.Horace Mann Educators Corp.insurance violation2019CT-INS$18,000
Horace Mann Insurance Company et al.Horace Mann Educators Corp.insurance violation2021TX-INS$25,000
Horace Mann Insurance CompanyHorace Mann Educators Corp.insurance violation2013VT-FIN$11,007
Horace Mann Insurance CompanyHorace Mann Educators Corp.insurance violation2018WA-INS$10,000
HORACE MANN INSURANCE COMPANYHorace Mann Educators Corp.insurance violation2020WA-INS$5,000
HORACE MANN INSURANCE CO., ET AL.Horace Mann Educators Corp.insurance violation2011VA-INS$48,800
HORACE MANN INSURANCE CO. ET AL.Horace Mann Educators Corp.insurance violation2007VA-INS$42,400
Horace Mann Insurance Co. and Horace Mann Property & Casualty Insurance Co.Horace Mann Educators Corp.insurance violation2007CA-INS$175,000
Horace Mann Insurance Co.Horace Mann Educators Corp.insurance violation2002MN-FIN$10,000
Horace Mann Insurance Co.Horace Mann Educators Corp.insurance violation2020MN-FIN$5,000
Horace Mann Insurance Co.Horace Mann Educators Corp.insurance violation2019MT-FIN$25,000
Homeward Residential, Inc.Ocwen Financialconsumer protection violation2015KY-FIN$10,000
HomeStreet IncHomeStreet Inc.accounting fraud or deficiencies2017SEC$500,000
HomeStreet BankHomeStreet Inc.banking violation2019FDIC$1,350,000
Homesite Insurance GroupAmerican Family Insuranceinsurance violation2016MULTI-FIN$500,000
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2013MD-INS$20,000
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2015MD-INS$5,000
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2011ME-INS$7,500
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2009MN-FIN$15,000
Homesite Insurance Company Of The MidwestAmerican Family Insuranceinsurance violation2011WA-INS$12,000
Homesite Insurance Company Of The MidwestAmerican Family Insuranceinsurance violation2012WA-INS$30,000
Homesite Insurance Company Of The MidwestAmerican Family Insuranceinsurance violation2019WA-INS$15,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2013CA-INS$360,522
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2013RI-FIN$5,000
HOMESITE INSURANCE COMPANYAmerican Family Insuranceinsurance violation2010VA-INS$126,252
HOMESITE INSURANCE COMPANYAmerican Family Insuranceinsurance violation2016VA-INS$94,986
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2020VT-FIN$31,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2021CT-INS$193,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2022WA-INS$50,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2024TX-INS$90,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2024AZ-DIFI$5,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2024CT-INS$24,000
HomeSite Insurance Co.American Family Insuranceinsurance violation2016DE-INS$15,000
Homesite Insurance Co.American Family Insuranceinsurance violation2019MN-FIN$5,000
Homesite Indemnity CompanyAmerican Family Insuranceinsurance violation2024AZ-DIFI$5,000
Homesite Indemnity Co.American Family Insuranceinsurance violation2011AZ-DIFI$19,000
Homebridge Financial Services, Inc.Homebridge Financial Servicesconsumer protection violation2017CA-DFPI$80,000
Home Loan Center, Inc. dba Lending Tree LoansLendingTreeconsumer protection violation2008KY-FIN$16,000
Home Loan Center, Inc. dba Lending Tree LoansLendingTreeconsumer protection violation2012MA-BKG$38,000
Home Loan Center, Inc.LendingTreediscriminatory practices (non-employment)2012HUD$15,000
Home Loan Center, Inc.LendingTreeconsumer protection violation2010AZ-AG$1,150,000
Home Loan Center Inc., d/b/a LendingTree LoansLendingTreeconsumer protection violation2012NE-DBF$6,000
Home Loan Center Inc.LendingTreewage and hour violation2009private lawsuit-federal$2,500,000
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc.Hilltop Holdingsinvestor protection violation2019SEC$810,785
Hilltop Securities Inc.Hilltop Holdingsinvestor protection violation2016SEC$360,000
Hilltop Securities Inc.Hilltop Holdingsinvestor protection violation2021SEC$340,193
Hilltop Securities Inc.Hilltop Holdingsinvestor protection violation2024SEC$1,600,000
Highmark, Inc.Highmark Inc.False Claims Act and related2004DOJ_CIVIL$1,500,000
Highmark, Inc.Highmark Inc.campaign finance violation2005FEC$54,078
Highmark, Inc.Highmark Inc.insurance violation2023SD-INS$5,000
Highmark, IncHighmark Inc.wage and hour violation2014WHD$120,900
Highmark Inc.Highmark Inc.price-fixing or anti-competitive practices2020private lawsuit-federal$7,500,000
HIGHMARK INC.Highmark Inc.workplace safety or health violation2018OSHA$25,868
Highmark BCBSD Inc.Highmark Inc.insurance violation2016DE-INS$383,000
Highmark BCBSD IncHighmark Inc.insurance violation2020DE-INS$299,000
Hewitt Associates LLCAonwage and hour violation2010WHD$48,103
Hewitt AssociatesAonwage and hour violation2009private lawsuit-federal$4,900,000
Heritage Bank of CommerceHeritage Commerce Corp.banking violation2008FED$6,840
Heartland Payment Systems, LLC dba HPS Heartland Payroll Solutions, Inc.Global Payments Inc.consumer protection violation2019CT-BKG$12,450
Heartland Payment Systems, LLCGlobal Payments Inc.investor protection violation2018SEC$2,160,000
HealthNow NewYork, Inc.Highmark Inc.consumer protection violation2009NY-AG$212,500
HealthNow New York, Inc.Highmark Inc.insurance violation2018NY-DFS$118,583
HealthNow New York Inc.Highmark Inc.insurance violation2008NY-DFS$1,050,000
HealthNow New York Inc.Highmark Inc.insurance violation2013NY-DFS$700,000
HealthNow New York Inc.Highmark Inc.insurance violation2016NY-DFS$750,000
Healthnow New YorkHighmark Inc.consumer protection violation2016NY-AG$60,000
HealthNow New YorkHighmark Inc.consumer protection violation2005NY-AG$5,000
HealthNowHighmark Inc.insurance violation2011NY-DFS$4,492,327
HealthNowHighmark Inc.insurance violation2012NY-DFS$101,640
HCC Life Insurance Company et al.Tokio Marineinsurance violation2018MULTI-FIN$5,000,000
HCC LIFE INSURANCE COMPANYTokio Marineinsurance violation2015VA-INS$9,000
HCC Life Insurance Co. and HCC Medical Insurance Services, LLCTokio Marineinsurance violation2017MT-FIN$130,000
HCC Life Insurance Co.Tokio Marineinsurance violation2016MN-FIN$5,000
HARTFORD UNDERWRITERS INSURANCE COMPANY et al.Hartford Financial Servicesinsurance violation2023AZ-DIFI$30,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2014NY-DFS$8,600
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$78,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2012TX-INS$5,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2014TX-INS$14,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2016TX-INS$45,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.