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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $395,312,528,119
Number of Records: 8,003
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$87,320,969,499333
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,618,169,231268
Citigroup$27,081,211,792183
Deutsche Bank$20,015,467,563100
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,924,502,443207
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 TypeYearAgency sort iconPenalty Amount
Imperial-Savannah LPLouis Dreyfuswater pollution violation2014GA-ENV$14,750
Imperial-Savannah, L.P.Louis Dreyfusair pollution violation2012GA-ENV$6,000
Imperial-Savannah, L.P.Louis Dreyfuswater pollution violation2011GA-ENV$80,000
Bank of North GeorgiaSynovus Financialwater pollution violation2011GA-ENV$14,000
Royal Bank of Canada (USA)Royal Bank of Canadawater pollution violation2010GA-ENV$9,375
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2018GA-AG$75,000
Western Sky Financial, LLC, CashCall, Inc.CashCall Inc.consumer protection violation2017GA-AG$42,000,000
Green Tree Servicing LLCDitech Holding Corporationconsumer protection violation2015FTC$63,000,000
Asset Acceptance LLCEncore Capital Groupconsumer protection violation2012FTC$2,500,000
Countrywide Home Loans, Inc. and BAC Home Loans Servicing LPBank of Americaconsumer protection violation2010FTC$108,000,000
CompuCredit CorporationAtlanticus Holdingsconsumer protection violation2008FTC$114,000,000
Bear Stearns Companies, LLCJPMorgan Chasemortgage abuses2008FTC$28,000,000
Capital City Mortgage CorporationCapital City Bank Groupconsumer protection violation2005FTC$750,000
Citigroup Inc.Citigroupconsumer protection violation2002FTC$215,000,000
LendingClub Corp.LendingClub Corp.consumer protection violation2021FTC$18,000,000
H&R BlockH&R Blockconsumer protection violation2024FTC$7,000,000
Carolina Coastal Railway3i Infrastructure PLCrailroad safety violation2014FRA$5,250
Carolina Coastal Railway3i Infrastructure PLCrailroad safety violation2012FRA$5,000
East Penn Railroad3i Infrastructure PLCrailroad safety violation2010FRA$6,200
Florida Central Railroad3i Infrastructure PLCrailroad safety violation2013FRA$6,800
Indiana Eastern Railroad3i Infrastructure PLCrailroad safety violation2013FRA$5,300
Middletown & New Jersey Railroad3i Infrastructure PLCrailroad safety violation2013FRA$6,000
Buckeye PartnersIFM Investorsrailroad safety violation2011FRA$7,500
Buckeye PartnersIFM Investorsrailroad safety violation2014FRA$50,000
Noble Americas Corp.Vitolrailroad safety violation2012FRA$15,000
Nyrstar Clarksville, Inc.Trafigurarailroad safety violation2010FRA$5,000
Peter Cremer CompanyCremerrailroad safety violation2011FRA$5,000
Peter Cremer CompanyCremerrailroad safety violation2013FRA$8,000
Xstrata CopperGlencorerailroad safety violation2011FRA$7,500
Xstrata CopperGlencorerailroad safety violation2012FRA$12,000
NYRSTAR CLARKSVILLE, INC.Trafigurarailroad safety violation2009FRA$10,000
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2016FRA$6,000
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2017FRA$8,250
Buckeye PartnersIFM Investorsrailroad safety violation2017FRA$10,000
East Penn Railroad LLC3i Infrastructure PLCrailroad safety violation2017FRA$5,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$7,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$6,250
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$10,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$5,000
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2018FRA$6,000
Noble Americas CorporationVitolrailroad safety violation2017FRA$6,500
Buckeye Terminals LLC-MacungieIFM Investorsrailroad safety violation2019FRA$5,000
Carolina Coastal Railway, Inc.3i Infrastructure PLCrailroad safety violation2021FRA$8,000
Carolina Coastal Railway, Inc.3i Infrastructure PLCrailroad safety violation2021FRA$8,853
Buckeye Terminals LLC-MacungieIFM Investorsrailroad safety violation2019FRA$5,000
Carolina Coastal Railway, Inc.3i Infrastructure PLCrailroad safety violation2022FRA$5,625
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
The Gas Company LlcMacquariemotor vehicle safety violation2017FMCSA$12,650
American Heritage Life Insurance Co.Allstateinsurance violation2000FL-OFR$12,750
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2000FL-OFR$8,750
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2000FL-OFR$5,500
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2000FL-OFR$14,000
Conseco Life Insurance Co.CNO Financialinsurance violation2000FL-OFR$5,625
COMMERCE AND INDUSTRY INSURANCE COMPANYAmerican International Groupinsurance violation2001FL-OFR$11,500
EMPLOYERS INSURANCE OF WAUSAU, A MUTUAL COMPANYLiberty Mutual Insuranceinsurance violation2001FL-OFR$23,075
GREAT AMERICAN ALLIANCE INSURANCE COMPANYAmerican Financial Groupinsurance violation2001FL-OFR$5,500
GREAT AMERICAN ASSURANCE COMPANYAmerican Financial Groupinsurance violation2001FL-OFR$12,500
STANDARD GUARANTY INSURANCE COMPANYAssurantinsurance violation2001FL-OFR$6,000
T.H.E. INSURANCE COMPANYAXAinsurance violation2001FL-OFR$15,000
WAUSAU BUSINESS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2001FL-OFR$14,625
WAUSAU UNDERWRITERS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2001FL-OFR$26,325
ZENITH INSURANCE COMPANYFairfax Financial Holdingsinsurance violation2001FL-OFR$6,850
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2001FL-OFR$22,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2001FL-OFR$10,500
Globe Life and Accident Insurance Co.Globe Life Inc.insurance violation2001FL-OFR$6,000
Principal Life Insurance Co.Principal Financialinsurance violation2002FL-OFR$6,500
Wausau Underwriters Insurance Co.Liberty Mutual Insuranceinsurance violation2002FL-OFR$53,000
Fireman' Fund Insurance Co.Allianzinsurance violation2002FL-OFR$13,850
Progressive Express Insurance Co. et al.Progressiveinsurance violation2002FL-OFR$5,750,000
New Hampshire Insurance Co.American International Groupinsurance violation2002FL-OFR$5,400
Zurich American Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$44,500
American Guarantee and Liability Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$10,850
Allstate Financial Services, LLCAllstateinvestor protection violation2002FL-OFR$21,300
Security National Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$31,500
ACE Cash Express, Inc. dba ACE America's Cash ExpressACE Cash Expressconsumer protection violation2002FL-OFR$500,000
American International Insurance Co. and AIG National Insurance Company, Inc.American International Groupinsurance violation2003FL-OFR$66,750
Travelers Indemnity Co.Travelersinsurance violation2003FL-OFR$8,000
Travelers Indemnity Company of IllinoisTravelersinsurance violation2003FL-OFR$20,500
Waddell & Reed, Inc.Macquarieinvestor protection violation2003FL-OFR$8,800
Ace American Insurance Co.Chubb Limitedinsurance violation2003FL-OFR$6,000
Illinois National Insurance Co.American International Groupinsurance violation2003FL-OFR$5,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2003FL-OFR$62,250
Kemper Auto and Home Insurance Co.Kemperinsurance violation2003FL-OFR$16,500
CitiFinancial, Inc.Citigroupconsumer protection violation2003FL-OFR$8,199
Alpha Property & Casualty Insurance Co.Kemperinsurance violation2003FL-OFR$32,500
The Equitable Life Assurance Society of the United StatesEquitable Holdingsinsurance violation2003FL-OFR$1,600,000
American Alternative Insurance Corp.Munich Reinsurance violation2003FL-OFR$21,500
Bristol West Insurance Co.Zurich Insuranceinsurance violation2004FL-OFR$26,500
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2004FL-OFR$47,500
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2004FL-OFR$5,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2004FL-OFR$5,500
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2004FL-OFR$10,000
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2004FL-OFR$5,950
Life Investors Insurance Company of AmericaAegoninsurance violation2004FL-OFR$11,000
Amex Assurance Co.American Expressinsurance violation2005FL-OFR$12,500
Axa Re Property and Casualty Insurance Co.AXAinsurance violation2005FL-OFR$15,000
Scottsdale Insurance Co.Nationwideinsurance violation2005FL-OFR$5,000
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2005FL-OFR$7,500
State Farm Florida Insurance Co.State Farm Insuranceinsurance violation2005FL-OFR$5,000
United Casualty Insurance Company of AmericaKemperinsurance violation2005FL-OFR$17,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.