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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 TypeYearAgencyPenalty Amount sort icon
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INCInvescoworkplace safety or health violation2007OSHA$5,200
IFCO SYSTEMS DBA VALLEY WOOD PRODUCTS, INC.Triton Investments Advisersworkplace safety or health violation2006OSHA$5,226
IMPERIAL SUGAR COMPANYLouis Dreyfusenvironmental violation2009EPA$5,240
Carolina Coastal Railway3i Infrastructure PLCrailroad safety violation2014FRA$5,250
City National BankRoyal Bank of Canadabanking violation2010OCC$5,250
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$5,250
BUCKEYE PENNSAUKEN TERMINAL LLCIFM Investorsenvironmental violation2012NJ-ENV$5,250
IFCO SYSTEMS NORTH AMERICATriton Investments Advisersworkplace safety or health violation2004OSHA$5,250
BOWNE & COMPANY, INC.Chatham Asset Managementworkplace safety or health violation2006OSHA$5,250
DEUTSCHE BANK USADeutsche Bankworkplace safety or health violation2013OSHA$5,250
Ace American Insurance CompanyChubb Limitedinsurance violation2017TX-INS$5,255
Indiana Eastern Railroad3i Infrastructure PLCrailroad safety violation2013FRA$5,300
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2017TX-INS$5,300
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2014TX-INS$5,325
Bristol West Insurance Co.Zurich Insuranceinsurance violation2008ID-INS$5,330
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2020MSHA$5,332
GUARANTEED RATE INCGuaranteed Rate Inc.wage and hour violation2021IL-DOL$5,335
HSBC North America IncHSBCwage and hour violation2006WHD$5,357
IAC Springfield, LLCInvescoFamily and Medical Leave Act2015WHD$5,377
Pacific Resources Benefits Advisors, LLCBrown & Browntax violations2014CT-AG$5,400
New Hampshire Insurance Co.American International Groupinsurance violation2002FL-OFR$5,400
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$5,400
IFCO SYSTEMS NORTH AMERICA INCTriton Investments Advisersworkplace safety or health violation2008OSHA$5,400
UNUM GROUP CORPORATIONUnumworkplace safety or health violation2011OSHA$5,400
Transamerica OccidentalAegonenvironmental violation2003CA-SCAQMD$5,438
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2015NE-DBF$5,450
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020KY-FIN$5,465
Scott Danahy Naylon Co. Inc.Financial Institutions Inc.wage and hour violation2005WHD$5,495
Union Bank of CaliforniaU.S. Bancorpeconomic sanction violation2005OFAC$5,500
Wachovia BankWells Fargoeconomic sanction violation2005OFAC$5,500
American Express CompanyAmerican Expresseconomic sanction violation2004OFAC$5,500
Arab Banking Corp.Arab Banking Corp.economic sanction violation2004OFAC$5,500
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$5,500
Bank OneJPMorgan Chaseeconomic sanction violation2004OFAC$5,500
CitibankCitigroupeconomic sanction violation2004OFAC$5,500
Commerzbank AGCommerzbankeconomic sanction violation2004OFAC$5,500
Deutsche BankDeutsche Bankeconomic sanction violation2004OFAC$5,500
HSBC Bank USAHSBCeconomic sanction violation2004OFAC$5,500
Credit Lyonnais, NYCredit Agricoleeconomic sanction violation2003OFAC$5,500
Deutsche Bank A.G.Deutsche Bankeconomic sanction violation2003OFAC$5,500
HSBC Bank USAHSBCeconomic sanction violation2003OFAC$5,500
National City BankPNC Financial Serviceseconomic sanction violation2003OFAC$5,500
Wells Fargo BankWells Fargoeconomic sanction violation2003OFAC$5,500
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2007CO-INS$5,500
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2000FL-OFR$5,500
GREAT AMERICAN ALLIANCE INSURANCE COMPANYAmerican Financial Groupinsurance violation2001FL-OFR$5,500
Jackson National Life Insurance Co.Jackson Financialinsurance violation2004FL-OFR$5,500
Fireman's Fund Insurance Co.Allianzinsurance violation2007FL-OFR$5,500
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2011MD-INS$5,500
Liberty Mutual Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2015MD-INS$5,500
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$5,500
Securian Financial Services, Inc.Securian Financialconsumer protection violation2013NE-DBF$5,500
Hartford Casualty Insurance CorporationHartford Financial Servicesinsurance violation2011TX-INS$5,500
American Home Assurance CompanyAmerican International Groupinsurance violation2013TX-INS$5,500
Zurich American Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$5,500
State Farm Fire and Casualty CompanyState Farm Insuranceinsurance violation2015TX-INS$5,500
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2015TX-INS$5,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$5,500
United Insurance CompanyKemperinsurance violation2012UT-INS$5,500
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$5,500
Everest National Insurance CompanyEverest Re Groupinsurance violation2021TX-INS$5,500
Mercury Air CentersMacquarieenvironmental violation2011CA-SCAQMD$5,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2021TX-INS$5,500
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2022TX-INS$5,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2022TX-INS$5,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$5,500
Everest Premier Insurance CompanyEverest Re Groupinsurance violation2023TX-INS$5,500
Travelers Indemnity Company of ConnecticutTravelersinsurance violation2023TX-INS$5,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$5,500
New Hampshire Insurance Co.American International Groupinsurance violation2023TX-INS$5,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$5,500
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2015OSHA$5,500
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$5,503
GMAC Mortgage, LLCAlly Financialenvironmental violation2010AL-ENV$5,505
ALLIED PROPERTY & CASUALTY INSURANCENationwideinsurance violation2014VA-INS$5,530
Fifth Third BankFifth Third Bancorpwage and hour violation2014MI-LEO$5,535
Fifth Third Financial CorporationFifth Third Bancorpwage and hour violation2014MI-LEO$5,535
CLECO CORPORATIONMacquarieworkplace safety or health violation2017OSHA$5,545
World Acceptance CorporationWorld Acceptance Corporationwage and hour violation2019WHD$5,549
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2007OSHA$5,550
MIDFIRST BANKMidFirst Bankworkplace safety or health violation2023OSHA$5,581
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2015NE-DBF$5,600
THE HARTFORD FINANCIAL SERVICES GROUP, INC.Hartford Financial Servicesworkplace safety or health violation2011OSHA$5,600
FIDELITY NATIONAL FINANCIAL, INC.Fidelity National Financialworkplace safety or health violation2015OSHA$5,605
Conseco Life Insurance Co.CNO Financialinsurance violation2000FL-OFR$5,625
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2007OSHA$5,625
Midland States BankMidland States Bancorpbanking violation2013FED$5,645
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2015MSHA$5,645
American Express Travel Related Services Co.American Expresswage and hour violation2021WHD$5,663
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsenvironmental violation2007NJ-ENV$5,700
Citizens BankCitizens Financial Groupwage and hour violation2017MI-LEO$5,719
Chubb Indemnity CompanyChubb Limitedinsurance violation2014TX-INS$5,725
SYNAGRO TECHNOLOGIES, INC.Goldman Sachsworkplace safety or health violation2004OSHA$5,725
Allied Home Mortgage Capital Corp.Americus Mortgageconsumer protection violation2009KY-FIN$5,740
Phoenix Insurance CompanyTravelersinsurance violation2014TX-INS$5,750
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020SD-SEC$5,750
IAC DAYTON LLCInvescoworkplace safety or health violation2013OSHA$5,775
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2019MSHA$5,776
Mastercard International, IncMasterCardwage and hour violation2008WHD$5,777
Bank Of The WestBank of Montrealwage and hour violation2020CA-LCO$5,783
ASURION, LLC.Asurionworkplace safety or health violation2020OSHA$5,783
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.