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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 TypeYearAgencyPenalty Amount sort icon .
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$28,560
Broadspire Services, Inc.Crawford & Co.workplace safety or health violation2011MO-AG$28,500
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
NationwideNationwidewage and hour violation2009WHD$28,290
SAFECO INSURANCE CO. ET AL.Liberty Mutual Insuranceinsurance violation2002VA-INS$28,200
BUCKEYE PENNSAUKEN TERMINAL LLCIFM Investorsenvironmental violation2006NJ-ENV$28,200
Universal Underwriters Insurance CompanyZurich Insuranceinsurance violation2007NH-INS$28,125
Praetorian Insurance Co.QBE Insuranceinsurance violation2018MO-INS$28,120
PEERLESS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2003VA-INS$28,100
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020SC-SEC$28,007
Union Security Insurance CompanyAssurantconsumer protection violation2007MA-AG$28,000
State Farm Fire & Casualty Insurance Co. and State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2016DE-INS$28,000
American Heritage Life Insurance Co.Allstateinsurance violation2011FL-OFR$28,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2016FL-OFR$28,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2014TX-INS$28,000
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2016VT-FIN$28,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2020CT-INS$28,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$28,000
KEYBANK NATIONAL ASSOCIATIONKeyCorpworkplace safety or health violation2004OSHA$28,000
Nuveen Services LLCTIAAwage and hour violation2018IL-DOL$27,983
Allied Property & Casualty Insurance CompanyNationwideinsurance violation2011VA-INS$27,911
Bankers Conseco Life InsuranceCNO Financialinsurance violation2019NY-DFS$27,900
Fidelity National Financial, IncFidelity National Financialwage and hour violation2008WHD$27,858
The Standard Fire Insurance CompanyTravelersinsurance violation2018TX-INS$27,855
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2019VA-INS$27,828
State Farm Mutual Automobile Insurance CompanState Farm InsuranceFamily and Medical Leave Act2010WHD$27,787
Keybank National AssociationKeyCorpbanking violation2007OCC$27,750
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersworkplace safety or health violation2007OSHA$27,690
Bank of America, National AssociationBank of Americaenvironmental violation2013VA-ENV$27,625
General Automobile Insurance Company, IncAmerican Family Insuranceinsurance violation2019VA-INS$27,624
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2014DE-INS$27,600
Jefferson National Life Insurance CompanyNationwideinsurance violation2020VA-INS$27,600
Gerber Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2022VA-INS$27,600
Bristol West Casualty Insurance Company and Bristol West Insurance CompanyZurich Insuranceinsurance violation2020VA-INS$27,560
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$27,500
21st Century Centennial Insurance Co.Zurich Insuranceinsurance violation2016DE-INS$27,500
Great Plains Specialty Finance Inc. dba Check 'N GoCNG Financialconsumer protection violation2020OK-DCC$27,500
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2011PA-BKG$27,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2012TX-INS$27,500
American States Insurance CompanyLiberty Mutual Insuranceinsurance violation2016TX-INS$27,500
R. R. Donnelley & Sons CoChatham Asset Managementenvironmental violation2017CA-SCAQMD$27,500
WHEELABRATOR FRACKVILLE ENERGYMacquarieenvironmental violation2012PA-ENV$27,400
AIU Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$27,180
UBS Financial Services, Inc.UBSwage and hour violation2007WHD$27,152
ASI SERVICESProgressiveaviation safety violation2015FAA$27,000
FORTIS INSURANCE CO., ET AL.Assurantinsurance violation2002VA-INS$27,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2002VA-INS$27,000
THE GUARDIAN LIFE INSURANCE COGuardian Life Insuranceinsurance violation2004VA-INS$27,000
UNION SECURITY LIFE INSURANCEAssurantinsurance violation2007VA-INS$27,000
BANKERS LIFE AND CASUALTY CO.CNO Financialinsurance violation2013VA-INS$27,000
SYNAGRO-PATAPSCO PELLETIZERGoldman Sachsenvironmental violation2008MD-ENV$27,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$27,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2006TX-PUC$27,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$27,000
JP Morgan ChaseJPMorgan Chaseeconomic sanction violation2004OFAC$26,980
Seacoast National BankSeacoast Banking Corporation of Floridabanking violation2013OCC$26,950
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2010VA-INS$26,942
American Express Travel Related Services CompAmerican ExpressFamily and Medical Leave Act2004WHD$26,722
Bristol West Insurance Co.Zurich Insuranceinsurance violation2004FL-OFR$26,500
Arch Insurance CompanyArch Capitalinsurance violation2012TX-INS$26,500
JEFFERSON PILOT SECURITIESLincoln Nationalinvestor protection violation2003VA-SEC$26,500
Arch Insurance CompanyArch Capitalinsurance violation2019VA-INS$26,447
AMEX ASSURANCE CO.American Expressinsurance violation2007VA-INS$26,400
UBS Inc.UBSlabor relations violation2010NLRB$26,351
WAUSAU UNDERWRITERS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2001FL-OFR$26,325
Ace America's Cash Express, Inc.ACE Cash Expresswage and hour violation2004WHD$26,295
Travelers Home and Marine Insurance CompanyTravelersinsurance violation2022KS-INS$26,240
Scottsdale Insurance CompanyNationwideinsurance violation2000MA-INS$26,208
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2015MD-INS$26,020
Monumental Life Insurance Co.Aegoninsurance violation2009MO-INS$26,001
Globe Life and Accident Insurance Co.Globe Life Inc.insurance violation2008ID-INS$26,000
Transamerica Life Insurance Co.Aegoninsurance violation2019MO-INS$26,000
Auto Owners Insurance Co.Auto-Owners Insuranceinsurance violation2017CO-INS$25,875
HIGHMARK INC.Highmark Inc.workplace safety or health violation2018OSHA$25,868
ABN AMRO Bank, IncABN AMROeconomic sanction violation2004OFAC$25,847
MUTUAL OF OMAHA INSURANCE CO.Mutual of Omahainsurance violation2002VA-INS$25,800
Sun Life Assurance Company of Canada (U.S.)Sun Life Financialwage and hour violation2009WHD$25,744
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2017MO-SEC$25,672
Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2017MD-INS$25,600
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2007VA-INS$25,600
American Home Assurance Co.American International Groupinsurance violation2007FL-OFR$25,500
R.R. Donnelley & Sons CompanyChatham Asset Managementenvironmental violation2002CT-ENV$25,500
Hartford Fire Insurance CompanyHartford Financial Serviceswage and hour violation2010WHD$25,448
Navient Solutions, LLCNavientconsumer protection violation2021CT-BKG$25,400
Edward JonesJones Financialinvestor protection violation2004FINRA$25,181
Sun National BankOceanFirst Financialbanking violation2016OCC$25,000
BNP Paribas Commodity Futures, Ltd.BNP Paribasdata submission deficiencies2008CFTC$25,000
Credit Lyonnais Rouse LimitedCredit Agricoleinvestor protection violation2004CFTC$25,000
First National Bank of OmahaFirst National of Nebraskabanking violation2006OCC$25,000
Bankers Life and CasualtyCNO Financialprivacy violation2008MO-AG$25,000
Continental American Insurance Co.Aflacconsumer protection violation2010MA-AG$25,000
Encompass Insurance Co.Allstateconsumer protection violation2015MA-AG$25,000
Mutual of Omaha Insurance Co.Mutual of Omahaconsumer protection violation2019MA-AG$25,000
United Services Automobile AssociationUSAAconsumer protection violation2010MA-AG$25,000
Wells Fargo Home Mortgage, Inc.Wells Fargoconsumer protection violation2003CA-SCCDA$25,000
Principal Life Insurance Co.Principal Financialinsurance violation2008AK-INS$25,000
Marsh USA Inc.Marsh & McLennaninsurance violation2015AK-INS$25,000
Unum Life Insurance Company of AmericaUnuminsurance violation2014CA-INS$25,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2000CO-INS$25,000
MetLife Securities, Inc.MetLifeinvestor protection violation2012DC-DISB$25,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.