Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYearAgency sort iconPenalty Amount
First Unum Life Insurance CompanyUnuminsurance violation2022NY-DFS$1,100,000
Coinbase Inc.Coinbase Global Inc.anti-money-laundering deficiencies2023NY-DFS$100,000,000
Metlife Pet Insurance Services LLC fka Petfirst Healthcare LLCMetLifeinsurance violation2023NY-DFS$129,000
Progressive Casualty Insurance Company et al.Progressiveinsurance violation2022NY-DFS$189,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2022NY-DFS$200,000
American Family Connect Insurance CompanyAmerican Family Insuranceinsurance violation2022NY-DFS$50,000
OneMain Financial Group LLCOneMain Holdingsprivacy violation2023NY-DFS$4,250,000
Marsh USA Inc.Marsh & McLennaninsurance violation2023NY-DFS$123,100
Arthur J. Gallagher & Co. Insurance Brokers of California, Inc.Arthur J. Gallagher & Co.insurance violation2023NY-DFS$49,850
Harleysville Insurance CompanyNationwideinsurance violation2023NY-DFS$45,000
Nationwide Agribusiness Insurance CompanyNationwideinsurance violation2023NY-DFS$50,000
Aon Risk Services Central Inc.Aoninsurance violation2023NY-DFS$12,000
Tokio Marine America Insurance CompanyTokio Marineinsurance violation2023NY-DFS$360,000
Aon Risk Services Northeast Inc.Aoninsurance violation2023NY-DFS$215,725
First American Title Insurance CompanyFirst American Financialprivacy violation2023NY-DFS$1,000,000
Arthur J Gallagher & Co. Insurance Brokers of California Inc.Arthur J. Gallagher & Co.insurance violation2023NY-DFS$45,300
Industrial and Commercial Bank of China Ltd.Industrial and Commercial Bank of Chinabanking violation2024NY-DFS$30,000,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2024NY-DFS$150,000
Transamerica Financial Life Insurance CompanyAegoninsurance violation2023NY-DFS$120,000
Allianz Life Insurance Company of New YorkAllianzinsurance violation2024NY-DFS$577,250
Arthur J. Gallagher Risk Management Services Inc.Arthur J. Gallagher & Co.insurance violation2024NY-DFS$159,100
Nordea Bank AbpNordea Bankanti-money-laundering deficiencies2024NY-DFS$35,000,000
Hartford Fire & Casualty Group et al.Hartford Financial Servicesinsurance violation2024NY-DFS$287,000
Erie Insurance Company and Erie Insurance Company of New YorkErie Indemnityinsurance violation2024NY-DFS$265,000
USAA Group et al.USAAinsurance violation2024NY-DFS$215,000
Willis Towers Watson Northeast Inc.Willis Towers Watsoninsurance violation2024NY-DFS$160,800
Allstate Fire & Casualty Insurance CompanyAllstateinsurance violation2024NY-DFS$80,000
USAA Casualty Insurance Company et al.USAAinsurance violation2024NY-DFS$650,000
American International GroupAmerican International Groupwage and hour violation2023NY-DOL$8,811
Allstate Life Insurance Company of New YorkAllstatewage and hour violation2022NY-DOL$10,778
Merrill LynchBank of Americawage and hour violation2019NY-DOL$18,609
Credit Agricole Securities (USA) Inc.Credit Agricolewage and hour violation2016NY-DOL$152,841
Prudential InsurancePrudential Financialwage and hour violation2013NY-DOL$11,700
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
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
HSBCHSBCemployment discrimination2020NY-NYCCHR$30,000
Aon Risk ServicesAonemployment discrimination2022NY-NYCCHR$80,000
Jackson Hewitt Inc.Jackson Hewittconsumer protection violation2004NY-NYCDCWP$125,000
H&R BlockH&R Blockconsumer protection violation2002NY-NYCDCWP$4,000,000
TCF National BankHuntington Bancsharesbanking violation2016OCC$56,500
HSBC Bank USA, National AssociationHSBCbanking violation2016OCC$35,000,000
Santander Bank, National AssociationBanco Santanderbanking violation2016OCC$3,400,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2016OCC$10,000,000
Sun National BankOceanFirst Financialbanking violation2016OCC$25,000
EverbankTIAAbanking violation2016OCC$1,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2016OCC$48,000,000
Citizens Bank, National AssociationCitizens Financial Groupbanking violation2015OCC$2,000,000
First Financial Bank, National AssociationFirst Financial Bancorp.banking violation2015OCC$11,700
RBS Citizens, National AssociationCitizens Financial Groupbanking violation2015OCC$10,000,000
Citibank, N.A.Citigroupbanking violation2015OCC$35,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2015OCC$30,000,000
Bank of America, National AssociationBank of Americabanking violation2015OCC$1,104,530
First National Bank of PennsylvaniaF.N.B. Corporationbanking violation2015OCC$180,720
Wells Fargo Bank, National AssociationWells Fargobanking violation2015OCC$4,000,000
Bank of America, National AssociationBank of Americabanking violation2015OCC$30,000,000
Santander Bank, National AssociationBanco Santanderbanking violation2015OCC$6,000,000
Keybank National AssociationKeyCorpbanking violation2015OCC$5,005
Bank of America, National AssociationBank of Americabanking violation2014OCC$250,000,000
Citibank, National AssociationCitigroupbanking violation2014OCC$350,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2014OCC$350,000,000
Capital One, National AssociationCapital One Financialbanking violation2014OCC$4,000,000
PNC Bank, National AssociationPNC Financial Servicesbanking violation2014OCC$2,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2014OCC$51,900,000
Associated Bank, National AssociationAssociated Banc-Corpbanking violation2014OCC$500,000
Bank of America, National AssociationBank of Americabanking violation2014OCC$25,000,000
Old National BankOld National Bancorpbanking violation2014OCC$500,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2014OCC$350,000,000
American Express Bank, FSBAmerican Expressbanking violation2013OCC$7,500,000
Mutual of Omaha BankFirst Citizens BancSharesbanking violation2013OCC$51,765
TD Bank, National AssociationToronto-Dominion Bankbanking violation2013OCC$37,500,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2013OCC$60,000,000
JPMorgan Chase Bank, National AssociationJPMorgan Chasebanking violation2013OCC$300,000,000
Swineford National BankFulton Financialbanking violation2013OCC$33,880
EverbankTIAAbanking violation2013OCC$37,000,000
RBS Citizens, National AssociationCitizens Financial Groupbanking violation2013OCC$7,500,000
Seacoast National BankSeacoast Banking Corporation of Floridabanking violation2013OCC$26,950
TCF National BankHuntington Bancsharesbanking violation2013OCC$10,000,000
HSBC Bank USA, National AssociationHSBCbanking violation2013OCC$249,000,000
Bank of AmericaBank of Americabanking violation2013OCC$2,886,578,478
CitibankCitigroupbanking violation2013OCC$793,492,868
JPMorgan ChaseJPMorgan Chasebanking violation2013OCC$1,958,450,341
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.