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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $380,015,282,562
Number of Records: 7,409
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$87,232,669,824317
JPMorgan Chase$38,995,638,319266
UBS$31,045,549,125177
Wells Fargo$27,482,918,911259
Citigroup$26,914,836,792178
Deutsche Bank$19,968,467,56396
Goldman Sachs$17,469,794,852102
NatWest Group PLC$14,349,701,61842
Morgan Stanley$10,535,931,900197
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 icon . Penalty Amount
Peter Cremer CompanyCremerrailroad safety violation2013FRA$8,000
Xstrata CopperGlencorerailroad safety violation2011FRA$7,500
Xstrata CopperGlencorerailroad safety violation2012FRA$12,000
NYRSTAR CLARKSVILLE, INC.Trafigurarailroad safety violation2009FRA$10,000
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2016FRA$6,000
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2017FRA$8,250
Buckeye PartnersIFM Investorsrailroad safety violation2017FRA$10,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$7,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$6,250
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$10,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$5,000
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2018FRA$6,000
Noble Americas CorporationVitolrailroad safety violation2017FRA$6,500
Buckeye Terminals LLC-MacungieIFM Investorsrailroad safety violation2019FRA$5,000
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
The Gas Company LlcMacquariemotor vehicle safety violation2017FMCSA$12,650
American Heritage Life Insurance Co.Allstateinsurance violation2000FL-OFR$12,750
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2000FL-OFR$8,750
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2000FL-OFR$5,500
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2000FL-OFR$14,000
Conseco Life Insurance Co.CNO Financialinsurance violation2000FL-OFR$5,625
COMMERCE AND INDUSTRY INSURANCE COMPANYAmerican International Groupinsurance violation2001FL-OFR$11,500
EMPLOYERS INSURANCE OF WAUSAU, A MUTUAL COMPANYLiberty Mutual Insuranceinsurance violation2001FL-OFR$23,075
GREAT AMERICAN ALLIANCE INSURANCE COMPANYAmerican Financial Groupinsurance violation2001FL-OFR$5,500
GREAT AMERICAN ASSURANCE COMPANYAmerican Financial Groupinsurance violation2001FL-OFR$12,500
STANDARD GUARANTY INSURANCE COMPANYAssurantinsurance violation2001FL-OFR$6,000
T.H.E. INSURANCE COMPANYAXAinsurance violation2001FL-OFR$15,000
WAUSAU BUSINESS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2001FL-OFR$14,625
WAUSAU UNDERWRITERS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2001FL-OFR$26,325
ZENITH INSURANCE COMPANYFairfax Financial Holdingsinsurance violation2001FL-OFR$6,850
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2001FL-OFR$22,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2001FL-OFR$10,500
Globe Life and Accident Insurance Co.Globe Life Inc.insurance violation2001FL-OFR$6,000
Principal Life Insurance Co.Principal Financialinsurance violation2002FL-OFR$6,500
Wausau Underwriters Insurance Co.Liberty Mutual Insuranceinsurance violation2002FL-OFR$53,000
Fireman' Fund Insurance Co.Allianzinsurance violation2002FL-OFR$13,850
Progressive Express Insurance Co. et al.Progressiveinsurance violation2002FL-OFR$5,750,000
New Hampshire Insurance Co.American International Groupinsurance violation2002FL-OFR$5,400
Zurich American Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$44,500
American Guarantee and Liability Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$10,850
Allstate Financial Services, LLCAllstateinvestor protection violation2002FL-OFR$21,300
Security National Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$31,500
ACE Cash Express, Inc. dba ACE America's Cash ExpressACE Cash Expressconsumer protection violation2002FL-OFR$500,000
American International Insurance Co. and AIG National Insurance Company, Inc.American International Groupinsurance violation2003FL-OFR$66,750
Travelers Indemnity Co.Travelersinsurance violation2003FL-OFR$8,000
Travelers Indemnity Company of IllinoisTravelersinsurance violation2003FL-OFR$20,500
Waddell & Reed, Inc.Macquarieinvestor protection violation2003FL-OFR$8,800
Ace American Insurance Co.Chubb Limitedinsurance violation2003FL-OFR$6,000
Illinois National Insurance Co.American International Groupinsurance violation2003FL-OFR$5,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2003FL-OFR$62,250
Kemper Auto and Home Insurance Co.Kemperinsurance violation2003FL-OFR$16,500
CitiFinancial, Inc.Citigroupconsumer protection violation2003FL-OFR$8,199
Alpha Property & Casualty Insurance Co.Kemperinsurance violation2003FL-OFR$32,500
The Equitable Life Assurance Society of the United StatesEquitable Holdingsinsurance violation2003FL-OFR$1,600,000
American Alternative Insurance Corp.Munich Reinsurance violation2003FL-OFR$21,500
Bristol West Insurance Co.Zurich Insuranceinsurance violation2004FL-OFR$26,500
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2004FL-OFR$47,500
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2004FL-OFR$5,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2004FL-OFR$5,500
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2004FL-OFR$10,000
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2004FL-OFR$5,950
Life Investors Insurance Company of AmericaAegoninsurance violation2004FL-OFR$11,000
Amex Assurance Co.American Expressinsurance violation2005FL-OFR$12,500
Axa Re Property and Casualty Insurance Co.AXAinsurance violation2005FL-OFR$15,000
Scottsdale Insurance Co.Nationwideinsurance violation2005FL-OFR$5,000
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2005FL-OFR$7,500
State Farm Florida Insurance Co.State Farm Insuranceinsurance violation2005FL-OFR$5,000
United Casualty Insurance Company of AmericaKemperinsurance violation2005FL-OFR$17,500
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
Safeco Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2005FL-OFR$35,350
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
American General Life and Accident Insurance Co.American International Groupinsurance violation2006FL-OFR$1,568,324
Combined Insurance Company of AmericaChubb Limitedinsurance violation2006FL-OFR$9,750
Pacific Life & Annuity Co.Pacific Lifeinsurance violation2006FL-OFR$38,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2006FL-OFR$12,100
Life Investors Insurance Company of AmericaAegoninsurance violation2006FL-OFR$53,000
CUNA Mutual Life Insurance Co.CUNA Mutualinsurance violation2007FL-OFR$7,500
USAA Life Insurance Co.USAAinsurance violation2007FL-OFR$22,500
Fortis Insurance Co.Assurantinsurance violation2007FL-OFR$11,000
Ace American Insurance Co.Chubb Limitedinsurance violation2007FL-OFR$56,000
Cincinnati Insurance Co.Cincinnati Financialinsurance violation2007FL-OFR$65,000
American Home Assurance Co.American International Groupinsurance violation2007FL-OFR$25,500
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2007FL-OFR$240,000
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2007FL-OFR$13,000
Fireman's Fund Insurance Co.Allianzinsurance violation2007FL-OFR$5,500
St. Paul Fire & Marine Insurance Co.Travelersinsurance violation2007FL-OFR$23,750
Chicago Insurance Co.Allianzinsurance violation2008FL-OFR$130,000
The Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2008FL-OFR$10,500
Zurich American Insurance Co.Zurich Insuranceinsurance violation2008FL-OFR$8,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2008FL-OFR$10,500
Property and Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2008FL-OFR$13,000
QBE Insurance Corp.QBE Insuranceinsurance violation2008FL-OFR$157,000
Amex Assurance Co.American Expressinsurance violation2008FL-OFR$8,000
Nationwide Financial ServicesNationwideconsumer protection violation2008FL-OFR$7,000
American General Life Insurance Co.American International Groupinsurance violation2008FL-OFR$260,000
USAA Life Insurance Co.USAAinsurance violation2009FL-OFR$50,000
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2009FL-OFR$99,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2010FL-OFR$165,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2010FL-OFR$53,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.