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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$39,340,688,209275
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 TypeYear sort iconAgencyPenalty Amount
American General Life Insurance Company of DelawareAmerican International Groupinsurance violation2012WI-INS$40,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2012WI-INS$40,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2012WI-INS$7,500
Genworth Life Insurance Co.Genworth Financialinsurance violation2012WI-INS$65,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2012MULTI-FIN$1,600,000
American International GroupAmerican International Groupinsurance violation2012MULTI-FIN$11,000,000
Bankers Life and Casualty Company and BLC Financial Services, Inc.CNO Financialinvestor protection violation2012MULTI-FIN$10,641,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2012MULTI-FIN$4,000,000
James B. Nutter & CompanyJames B. Nutter & Companymortgage abuses2012MULTI-FIN$492,050
John Hancock Life Insurance CompanyManulife Financialinsurance violation2012MULTI-FIN$13,300,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2012MULTI-FIN$39,000,000
ProEquities, IncDai-ichi Lifeinvestor protection violation2012MULTI-FIN$435,000
Wells FargoWells Fargodiscriminatory practices (non-employment)2012private lawsuit-federal$7,500,000
Wells Fargo Bank, N.A.Wells Fargodiscriminatory practices (non-employment)2012private lawsuit-federal$7,500,000
WHEELABRATOR FRACKVILLE ENERGYMacquarieenvironmental violation2012PA-ENV$27,400
Trafigura Beheer B.V. AmsterdamTrafiguraenvironmental violation2012CA-ARB$10,000
Imperial-Savannah, L.P.Louis Dreyfusenvironmental violation2012GA-ENV$6,000
Imperial Sugar CompanyLouis Dreyfusenvironmental violation2012LA-ENV$10,770
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsenvironmental violation2012NJ-ENV$231,875
BUCKEYE PENNSAUKEN TERMINAL LLCIFM Investorsenvironmental violation2012NJ-ENV$5,250
BUCKEYE PORT READING TERMINAL LLCIFM Investorsenvironmental violation2012NJ-ENV$425,000
IAC SPARTANBURG, INCInvescoenvironmental violation2012SC-ENV$7,000
Federal Home Loan Mortgage Corp.Freddie Mac (Federal Home Loan Mortgage Corporation)environmental violation2012VA-ENV$55,802
Synagro Central, LLCGoldman Sachsenvironmental violation2012VA-ENV$65,000
CitigroupCitigroupinvestor protection violation2012FINRA$1,279,106
Goldman SachsGoldman Sachsinvestor protection violation2012FINRA$683,997
JP MorganJPMorgan Chaseinvestor protection violation2012FINRA$623,376
Merrill LynchBank of Americainvestor protection violation2012FINRA$1,074,200
Morgan StanleyMorgan Stanleyinvestor protection violation2012FINRA$817,754
Pruco Securities, LLCPrudential Financialinvestor protection violation2012FINRA$11,250,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2012FINRA$500,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2012FINRA$2,800,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2012FINRA$3,500,000
Citigroup Global Markets, IncCitigroupinvestor protection violation2012FINRA$2,741,489
Morgan Stanley & Co., LLCMorgan Stanleyinvestor protection violation2012FINRA$2,146,431
UBS Financial ServicesUBSinvestor protection violation2012FINRA$2,354,584
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2012FINRA$1,931,488
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2012FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $11,000,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2012FINRA$1,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2012FINRA$725,000
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2012CA-SCAQMD$8,900
American International Group Inc.American International Groupprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Aon CorporationAonprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Crum & Forster Holdings Corp.Fairfax Financial Holdingsprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Fireman's Fund Insurance Corp.Allianzprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Hartford Fire Insurance Co.Hartford Financial Servicesprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2012private lawsuit-federal$42,600,000
Liberty Mutual Holding Co. Inc.Liberty Mutual Insuranceprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Travelers Companies Inc.Travelersprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Willis Group Holdings Ltd.Willis Towers Watsonprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Allstate Insurance Co.Allstateconsumer protection violation2012private lawsuit-federal$2,727,555
American Express Co.American Expressconsumer protection violation2012private lawsuit-federal$49,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaconsumer protection violation2012private lawsuit-federal$11,500,000
Bank of Hawaii Corp.Bank of Hawaiiconsumer protection violation2012private lawsuit-state$9,000,000
Bank of the WestBank of Montrealconsumer protection violation2012private lawsuit-federal$18,000,000
Citigroup Mortgage Loan Trust Inc.Citigroupconsumer protection violation2012private lawsuit-federal$24,975,000
Deutsche BankDeutsche Bankinvestor protection violation2012private lawsuit-federal$32,500,000
IBERIABANK CorporationFirst Horizon Nationalconsumer protection violation2012private lawsuit-federal$2,500,000
Goldman SachsGoldman Sachsconsumer protection violation2012private lawsuit-federal$26,612,500
HSBC Bank USA N.A.HSBCconsumer protection violation2012private lawsuit-federal$23,500,000
Chase Bank NAJPMorgan Chaseconsumer protection violation2012private lawsuit-federal$100,000,000
Chase Home Finance LLCJPMorgan Chaseconsumer protection violation2012private lawsuit-federal$56,000,000
JPMorgan ChaseJPMorgan Chaseconsumer protection violation2012private lawsuit-federal$2,463,000
JPMorgan Chase BankJPMorgan Chaseconsumer protection violation2012private lawsuit-federal$110,000,000
Washington MutualJPMorgan Chaseconsumer protection violation2012private lawsuit-federal$4,000,000
Mutual of OmahaMutual of Omahaconsumer protection violation2012private lawsuit-federal$1,900,000
State Street Bank and Trust Co.State Street Corp.consumer protection violation2012private lawsuit-federal$6,250,000
Union Bank N.A.U.S. Bancorpconsumer protection violation2012private lawsuit-federal$35,000,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2012private lawsuit-federal$6,778,000
Wells Fargo Bank N.A.Wells Fargoconsumer protection violation2012private lawsuit-federal$3,190,000
Ace American InsuranceChubb Limitedwage and hour violation2012MI-LEO$6,000
RR DONNELLEY INCChatham Asset Managementworkplace safety or health violation2012OSHA$7,750
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2012OSHA$5,950
PROGRESSIVE, INC.Progressiveworkplace safety or health violation2012OSHA$29,000
AMERICAN FAMILY INSURANCEAmerican Family Insuranceworkplace safety or health violation2012OSHA$12,500
CINCINNATI BELL TELEPHONEMacquarieworkplace safety or health violation2012OSHA$13,500
RR DONNELLY COMPANYChatham Asset Managementworkplace safety or health violation2012OSHA$17,000
IFCO SYSTEMS, NORTH AMERICATriton Investments Advisersworkplace safety or health violation2012OSHA$6,720
STATE FARM INSURANCEState Farm Insuranceworkplace safety or health violation2012OSHA$8,160
THE KEMPER COMPANYKemperworkplace safety or health violation2012OSHA$9,800
SYNAGROGoldman Sachsworkplace safety or health violation2012OSHA$7,000
BUCKEYE PARTNERSIFM Investorsenvironmental violation2012EPA$463,745
INTERNATIONAL AUTOMOTIVE COMPONENTS A/K/A LEAR CORInvescoenvironmental violation2012EPA$35,000
Buckeye Pipe Line Company, L.P.IFM Investorsenvironmental violation2012EPA$8,397
Buckeye Terminals, LLCIFM Investorsenvironmental violation2012EPA$6,766
Trafigura AGTrafiguraenvironmental violation2012EPA$73,465
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$7,115
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$6,996
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$31,100
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$7,000
Cleco CorpMacquarieworkplace safety or health violation2012MSHA$9,310
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2011PHMSA$141,200
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2011PHMSA$81,400
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2011PHMSA$74,400
Buckeye PartnersIFM Investorsrailroad safety violation2011FRA$7,500
Peter Cremer CompanyCremerrailroad safety violation2011FRA$5,000
Xstrata CopperGlencorerailroad safety violation2011FRA$7,500
Wachovia Bank N.A.Wells Fargoprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$148,000,000
Morgan StanleyMorgan Stanleyprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$4,800,000
JPMorgan Chase & Co.JPMorgan Chaseprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$228,000,000
UBS AGUBSprice-fixing or anti-competitive practices2011DOJ_ANTITRUST$160,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.