Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon .
American ExpressAmerican Expresseconomic sanction violation2004OFAC$18,391
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2010NE-DBF$18,350
EL PASO ELECTRIC COMPANYJPMorgan Chaseworkplace safety or health violation2011OSHA$18,300
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2010MSHA$18,271
BUCKEYE TEXAS PROCESSING LLC (BTXPP)IFM Investorsenvironmental violation2017EPA$18,247
Old Republic Insurance Co.Old Republic Internationalinsurance violation2020TX-INS$18,150
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$18,096
JP Morgan Chase BankJPMorgan Chaseeconomic sanction violation2004OFAC$18,094
Fleet National BankBank of Americaenvironmental violation2000RI-ENV$18,034
MANULIFE FINANCIALManulife Financialenvironmental violation2008MA-ENV$18,030
Northern Trust, IBCNorthern Trusteconomic sanction violation2003OFAC$18,027
Unitrin Direct Property & Casualty Co.Kemperinsurance violation2013AZ-DIFI$18,000
Horace Mann Property & Casualty Insurance Co.Horace Mann Educators Corp.insurance violation2019CT-INS$18,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2019DE-INS$18,000
Genworth Life and Annuity Insurance Co.Genworth Financialinsurance violation2010FL-OFR$18,000
New York Life Insurance Co.New York Life Insuranceinsurance violation2011FL-OFR$18,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2009KY-FIN$18,000
Allstate Indemnity Co. et al.Allstateinsurance violation2013MD-INS$18,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2014MD-INS$18,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2016MD-INS$18,000
Progressive Select Insurance Co.Progressiveinsurance violation2016MD-INS$18,000
Allstate Insurance Co.Allstateinsurance violation2017MD-INS$18,000
First American Title Insurance Company of OregonFirst American Financialinsurance violation2009OR-FIN$18,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2008TX-INS$18,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2008TX-INS$18,000
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Lloyd's CorporationHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$18,000
Property and Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2010TX-INS$18,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2011TX-INS$18,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2016TX-INS$18,000
The Travelers Indemnity Co. of ConnecticutTravelersinsurance violation2016TX-INS$18,000
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2017TX-INS$18,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$18,000
Ace American Insurance CompanyChubb Limitedinsurance violation2019TX-INS$18,000
MINNESOTA LIFE INSURANCE CO.Securian Financialinsurance violation2006VA-INS$18,000
RESOURCE LIFE INSURANCE CO.Assurantinsurance violation2006VA-INS$18,000
AMERICAN HERITAGE LIFE INSURANCE COAllstateinsurance violation2006VA-INS$18,000
NEXT FINANCIAL GROUP, INC.Atria Wealth Solutionsinvestor protection violation2015VA-SEC$18,000
American Income Life Insurance CompanyGlobe Life Inc.insurance violation2020VA-INS$18,000
Morgan Stanley Capital GroupMorgan Stanleyutility service violation2014TX-PUC$18,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$18,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$18,000
Allstate Insurance Co.Allstateinsurance violation2013MD-INS$17,954
Vitol, Inc.Vitolenvironmental violation2016EPA$17,934
Fidelity National Financial, IncFidelity National Financialwage and hour violation2008WHD$17,845
The Prudential Insurance Company of AmericaPrudential Financiallabor relations violation2018NLRB$17,842
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2014WA-FIN$17,760
Sentry InsuranceSentry Insuranceinsurance violation2014TX-INS$17,731
CATHAY BANKCathay General Bancorpbanking violation2011FDIC$17,710
FirstBank Puerto RicoFirst Bancorp (Puerto Rico)banking violation2019FDIC$17,700
QBE Insurance CorporationQBE Insuranceinsurance violation2008OR-FIN$17,700
WHEELABRATOR SAUGUS, INC.Macquarieworkplace safety or health violation2017OSHA$17,600
Lincoln Financial Group Trust Company, Inc.Lincoln Nationalwage and hour violation2018WHD$17,567
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2012PHMSA$17,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2008CA-MHC$17,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2014CA-MHC$17,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2018CA-MHC$17,500
United Casualty Insurance Company of AmericaKemperinsurance violation2005FL-OFR$17,500
Progressive Classic Insurance Co. et al.Progressiveinsurance violation2016MD-INS$17,500
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2015MN-FIN$17,500
Hartford Life and Accident Insurance CompanyHartford Financial Servicesinsurance violation2006OR-FIN$17,500
Western Sky Financial, LLCCashCall Inc.consumer protection violation2012OR-FIN$17,500
Great American Insurance Company of New YorkAmerican Financial Groupinsurance violation2004PA-INS$17,500
Ace American Insurance CompanyChubb Limitedinsurance violation2008TX-INS$17,500
Federal Insurance Co.Chubb Limitedinsurance violation2011TX-INS$17,500
Pacific Indemnity CompanyChubb Limitedinsurance violation2013TX-INS$17,500
Life Insurance Company Of The SouthwestNational Life Groupinsurance violation2014WA-INS$17,500
Allied Property & Casualty Insurance Company et al.Nationwideinsurance violation2020VA-INS$17,500
WHEELABRATOR BALTIMOREMacquarieenvironmental violation2003MD-ENV$17,500
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2022CA-MHC$17,500
California Physicians' Service d.b.a. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$17,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$17,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$17,500
Louis Dreyfus Company Agricultural Industries LLCLouis Dreyfusenvironmental violation2021IN-ENV$17,400
Banco Popular North America, Inc.Popular Inc.wage and hour violation2004WHD$17,363
Prudential Equity Group, LLCPrudential Financialinvestor protection violation2004FINRA$17,306
JP Morgan Chase & Co.JPMorgan Chaseeconomic sanction violation2004OFAC$17,303
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2001CO-INS$17,250
Globe Life & Accident Insurance Co.Globe Life Inc.insurance violation2012KS-INS$17,250
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006ND-SEC$17,204
Travelers Property and Casualty Company of AmericaTravelersinsurance violation2014TX-INS$17,012
ASI SERVICESProgressiveaviation safety violation2015FAA$17,000
Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2018DE-INS$17,000
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2018DE-INS$17,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2004ND-SEC$17,000
Eaton Vance Income Fund of BostonMorgan Stanleyinvestor protection violation2006NE-DBF$17,000
Navigators Insurance CompanyHartford Financial Servicesinsurance violation2012OR-FIN$17,000
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2010TX-INS$17,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2016TX-INS$17,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2019TX-INS$17,000
FREEDOM MORTGAGE CORPORATIONFreedom Mortgageconsumer protection violation2016VA-FIN$17,000
XL Insurance America, Inc.AXAinsurance violation2021TX-INS$17,000
RR DONNELLY COMPANYChatham Asset Managementworkplace safety or health violation2012OSHA$17,000
American Family Life Assurance Co., known as AflacAflacFamily and Medical Leave Act2012WHD$16,882
IAC GREENVILLE, LLCInvescoenvironmental violation2013EPA$16,870
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2009MSHA$16,830
Glacier BankGlacier Bancorpbanking violation2020FDIC$16,750
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.