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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,479,735,000115
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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 icon . Current ParentPrimary Offense TypeYearAgencyPenalty Amount
Fannie MaeFannie Maecampaign finance violation2004FEC$10,000
Fahnestock & Co., Inc.Oppenheimer Holdingsinvestor protection violation2000SEC$20,000
EZCORP, Inc.EZCORP Inc.privacy violation2008TX-AG$600,000
EZCORP Inc.EZCORP Inc.consumer protection violation2015CFPB$10,500,000
Evergreen Investment Management Company LLCWells Fargoinvestor protection violation2009SEC$40,000,000
Evergreen Investment Management CompanyWells Fargoinvestor protection violation2007SEC$32,500,000
Everest Reinsurance CompanyEverest Re Groupinsurance violation2020MN-FIN$8,000
Everest National Insurance CompanyEverest Re Groupinsurance violation2014TX-INS$25,000
Everest National Insurance CompanyEverest Re Groupinsurance violation2019TX-INS$13,500
Everest National Insurance CompanyEverest Re Groupinsurance violation2021TX-INS$5,500
Everest National Insurance CompanyEverest Re Groupinsurance violation2023TX-INS$22,000
EverbankTIAAbanking violation2016OCC$1,000,000
EverbankTIAAbanking violation2013OCC$37,000,000
Esurance Property and Casualty Insurance CompanyAllstateinsurance violation2018RI-FIN$233,963
Esurance Property and Casualty Insurance CompanyAllstateinsurance violation2018TX-INS$12,500
Esurance Property and Casualty Insurance Co.Allstateinsurance violation2015MN-FIN$60,000
Esurance Property and Casualty Co. and Esurance Insurance Co.Allstateinsurance violation2019MN-FIN$35,000
ESURANCE INSURANCE COMPANYAllstateinsurance violation2009VA-INS$20,000
ESURANCE INSURANCE COMPANYAllstateinsurance violation2015VA-INS$50,508
Esurance Insurance CompanyAllstateinsurance violation2020TX-INS$200,000
ESURANCE INSURANCE COMPANYAllstateinsurance violation2023WA-INS$5,000
Esurance Insurance Co.Allstateinsurance violation2010CO-INS$154,500
Erie Insurance ExchangeErie Indemnityinsurance violation2012MD-INS$50,000
Erie Insurance ExchangeErie Indemnityinsurance violation2016MD-INS$5,000
ERIE INSURANCE EXCHANGEErie Indemnityinsurance violation2003VA-INS$6,200
Erie Insurance ExchangeErie Indemnityinsurance violation2019VA-INS$1,921,784
Erie Insurance Company of New York and Erie Insurance CompanyErie Indemnityinsurance violation2022NY-DFS$19,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2014NY-DFS$9,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2015NY-DFS$21,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2021NY-DFS$22,000
Erie Insurance Company and Erie Insurance ExchangeErie Indemnityinsurance violation2019VA-INS$90,219
Erie Insurance Company and Erie Insurance ExchangeErie Indemnityinsurance violation2020VA-INS$19,371
Erie Insurance Company and Erie Insurance Company of New YorkErie Indemnityinsurance violation2021NY-DFS$561,900
Equitable Life and Casualty Insurance CompanyEquitable Holdingsinsurance violation2002OR-FIN$25,000
Equitable Life & Casualty Insurance CompanyEquitable Holdingswage and hour violation2008WHD$19,445
Equitable Financial Life Insurance CompanyEquitable Holdingsinvestor protection violation2022SEC$50,000,000
Enova International, Inc.Enova Internationalconsumer protection violation2019CFPB$3,200,000
Encore Capital Group, Inc. et al.Encore Capital Groupconsumer protection violation2022MA-AG$12,000,000
Encore Capital Group, Inc.Encore Capital Groupconsumer protection violation2015NY-AG$675,000
Encore Capital Group, Inc.Encore Capital Groupconsumer protection violation2020CFPB$15,079,308
Encore Capital Group Inc., Midland Credit Management, Inc. and Midland Funding LLCEncore Capital Groupconsumer protection violation2009MD-AG$998,000
Encore Capital Group Inc.Encore Capital Groupconsumer protection violation2018MULTI-AG$6,000,000
Encore Capital GroupEncore Capital Groupconsumer protection violation2015CFPB$52,000,000
Encompass Insurance Company of MassachusettsAllstateconsumer protection violation2012MA-AG$1,972,635
Encompass Insurance Co.Allstateconsumer protection violation2015MA-AG$25,000
Encompass Indemnity CompanyAllstateinsurance violation2014NY-DFS$40,100
Encompass Indemnity Co. and Encompass Insurance Company of AmericaAllstateinsurance violation2019AR-INS$40,000
Encompass Home and Auto Insurance Co.Allstateinsurance violation2014MD-INS$7,500
EMPLOYERS INSURANCE OF WAUSAU, A MUTUAL COMPANYLiberty Mutual Insuranceinsurance violation2001FL-OFR$23,075
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2012TX-INS$15,000
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2017TX-INS$30,000
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2022TX-INS$7,000
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2022TX-INS$5,500
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2022TX-INS$8,000
Employer's Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2018TX-INS$12,000
Empire Fire and Marine Insurance Co. et al.Zurich Insuranceinsurance violation2015MD-INS$8,000
Empire Fire & Marine Insurance CompanyZurich Insuranceinsurance violation2006PA-INS$20,000
EMPIRE FIRE & MARINE INSURANCE COZurich Insuranceinsurance violation2011VA-INS$25,000
Elephant Insurance CompanyAdmiral Groupinsurance violation2020TX-INS$80,000
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2012VA-INS$29,709
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2013VA-INS$6,154
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2018VA-INS$79,017
Elephant Insurance CompanyAdmiral Groupinsurance violation2019VA-INS$47,619
Elephant Insurance Co.Admiral Groupinsurance violation2014MD-INS$5,000
Elephant Insurance Co.Admiral Groupinsurance violation2014MD-INS$5,000
Elephant Insurance Co.Admiral Groupinsurance violation2018MD-INS$75,000
El Paso Electric CorporationJPMorgan Chaseenergy market violation2003FERC$15,500,000
El Paso Electric CompanyJPMorgan Chaselabor relations violation2012NLRB$79,692
El Paso Electric CompanyJPMorgan Chaselabor relations violation2009NLRB$11,500
El Paso Electric CompanyJPMorgan Chaseutility administrative violation2010NM-PRC$5,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2018TX-PUC$20,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2016TX-PUC$7,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2015TX-PUC$6,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2014TX-PUC$9,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$18,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$18,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$27,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2010TX-PUC$38,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2010TX-PUC$50,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2009TX-PUC$100,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2006TX-PUC$27,000
EL PASO ELECTRIC COMPANYJPMorgan Chaseworkplace safety or health violation2011OSHA$18,300
EL PASO ELECTRIC COMPANYJPMorgan Chaseworkplace safety or health violation2015OSHA$7,000
El Paso ElectricJPMorgan Chaseenvironmental violation2015EPA$3,800,000
EL PASO ELECTRICJPMorgan Chaseworkplace safety or health violation2010OSHA$6,000
Edward Jones & Co., LPJones Financialinvestor protection violation2004FINRA$300,000
Edward Jones & Co. LPJones Financialinvestor protection violation2014NH-BSR$750,000
Edward Jones & Co.Jones Financialinvestor protection violation2008CA-AG$7,500,000
Edward JonesJones Financialinvestor protection violation2010MT-SEC$100,000
Edward JonesJones Financialinvestor protection violation2004FINRA$25,181
Edward D. Jones and Co.,LPJones Financialinvestor protection violation2003AK-DBS$11,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2004SEC$75,000,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2015SEC$100,000
Edward D. Jones & Co., L.P.Jones Financialbenefit plan administrator violation2019private lawsuit-federal$3,175,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2018AR-SEC$50,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2011IN-SEC$10,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2010ME-SEC$10,000
Edward D. Jones & Co., L.P.Jones Financialconsumer protection violation2013NE-DBF$12,500
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2015FINRA$13,500,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2009FINRA$900,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2006FINRA$250,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.