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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,416,567,662
Number of Records: 7,172
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$83,354,221,356271
JPMorgan Chase$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
Morgan Stanley$10,167,765,234190

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 TypeYear sort icon . AgencyPenalty Amount
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2017TX-INS$30,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2017TX-INS$6,825
American Alternative Insurance CorporationMunich Reinsurance violation2017TX-INS$160,000
State Farm Fire and Casualty CompanyState Farm Insuranceinsurance violation2017TX-INS$11,000
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2017UT-INS$5,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017UT-INS$67,500
ALLIED PROPERTY & CASUALTY INSURANCE CO.Nationwideinsurance violation2017VA-INS$678,398
SELECTIVE INSURANCE COMPANY OF AMERICASelective Insurance Groupinsurance violation2017VA-INS$339,333
STATE FARM MUTUAL INSURANCE COState Farm Insuranceinsurance violation2017VA-INS$50,600
AMERICAN STRATEGIC INSURANCEProgressiveinsurance violation2017VA-INS$41,962
LIBERTY INSURANCE CORP et al.Liberty Mutual Insuranceinsurance violation2017VA-INS$8,652
FEDERAL INSURANCE COMPANYChubb Limitedinsurance violation2017VA-INS$6,261
NEXT FINANCIAL GROUP, INC.Atria Wealth Solutionsinvestor protection violation2017VA-SEC$60,000
PROGRESSIVE DIRECT INSURANCEProgressiveinsurance violation2017VA-INS$9,839,379
UNITED SERVICES AUTOMOBILE ASSOCIATION ET AL.USAAinsurance violation2017VA-INS$182,209
HARTFORD ACCIDENT & INDEMNITYHartford Financial Servicesinsurance violation2017VA-INS$39,488
UNITED STATES FIRE INSURANCE COFairfax Financial Holdingsinsurance violation2017VA-INS$25,000
United Services Automobile Association (USAA)USAAinsurance violation2017VT-FIN$85,000
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2017VT-FIN$20,000
State Farm Fire & Casualty CompanyState Farm Insuranceinsurance violation2017WA-INS$10,000
American Modern Home Insurance CompanyMunich Reinsurance violation2017WA-INS$5,000
Farmers Insurance Exchange And Mid-Century Insurance CompanyFarmers Insurance Exchangeinsurance violation2017WA-INS$50,000
Amco Insurance CompanyNationwideinsurance violation2017WA-INS$5,000
AGCS Marine Insurance CompanyAllianzinsurance violation2017WA-INS$5,000
Federal Insurance CompanyChubb Limitedinsurance violation2017WA-INS$30,000
Farmers Insurance Company Of WashingtonZurich Insuranceinsurance violation2017WA-INS$10,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2017WA-INS$25,000
Hartford Insurance Company The MidwestHartford Financial Servicesinsurance violation2017WA-INS$10,000
Ticor Title CompanyFidelity National Financialinsurance violation2017WA-INS$6,000
AIG Assurance Company et al.American International Groupinsurance violation2017WA-INS$25,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017WA-INS$10,000
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2017WA-INS$30,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companyinsurance violation2017WA-INS$10,000
Titan Indemnity Company; Victoria Fire & Casualty CompanyNationwideinsurance violation2017WA-INS$60,000
Depositors Insurance CompanyNationwideinsurance violation2017WA-INS$10,000
American Family Life Insurance Company of ColumbusAflacinsurance violation2017MULTI-FIN$350,000
American Modern Home Insurance CompanyMunich Reinsurance violation2017MULTI-FIN$255,000
Arch Insurance CompanyArch Capitalinsurance violation2017MULTI-FIN$1,017,000
BCS Insurance CompanyBCS Financial Corporationinsurance violation2017MULTI-FIN$1,000,000
Generali U.S. BranchAssicurazioni Generaliinsurance violation2017MULTI-FIN$492,000
Jefferson Insurance CompanyAllianzinsurance violation2017MULTI-FIN$1,800,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2017MULTI-FIN$298,958
QBE Holdings Inc.QBE Insuranceinsurance violation2017MULTI-FIN$21,164,000
State Farm Life Insurance Company et al.State Farm Insuranceinsurance violation2017MULTI-FIN$250,000
Transamerica Casualty Insurance CompanyAegoninsurance violation2017MULTI-FIN$3,000,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017MULTI-FIN$1,914,370
Wells Fargo Bank, N.A.Wells Fargoprivacy violation2017private lawsuit-federal$30,446,022
Iberiabank CorpFirst Horizon Nationalenvironmental violation2017LA-ENV$14,213
WHEELABRATOR GLOUCESTER COMPANY L PMacquarieenvironmental violation2017NJ-ENV$6,000
Regions BankRegions Financialenvironmental violation2017TN-ENV$20,750
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraenvironmental violation2017TN-ENV$41,760
Buckeye Terminals, LLCIFM Investorsenvironmental violation2017VA-ENV$9,537
Navy Federal Credit UnionNavy Federal Credit Unionenvironmental violation2017VA-ENV$7,426
Citigroup Global Markets Inc.Citigroupinvestor protection violation2017FINRA$11,500,000
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2017FINRA$2,800,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2017FINRA$2,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2017FINRA$1,400,000
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2017FINRA$1,250,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2017FINRA$3,400,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2017FINRA$13,030,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2017FINRA$2,500,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2017FINRA$1,000,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2017FINRA$800,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2017FINRA$450,000
Wells FargoWells Fargoworkplace whistleblower retaliation2017OSHA$577,500
Wells Fargo Bank N.AWells Fargoworkplace whistleblower retaliation2017OSHA$5,400,000
R. R. Donnelley & Sons CoChatham Asset Managementenvironmental violation2017CA-SCAQMD$27,500
Credit Suisse Energy LLCCredit Suisseutility service violation2017TX-PUC$7,500
WELLS FARGO BANK, NAWells Fargoworkplace safety or health violation2017OSHA$9,000
IAC ALBEMARLE, LLCInvescoworkplace safety or health violation2017OSHA$7,000
BUCKEYE PARTNERS, L.P.IFM Investorsworkplace safety or health violation2017OSHA$7,000
WHEELABRATOR SAUGUS, INC.Macquarieworkplace safety or health violation2017OSHA$17,600
FITTJE BROS. PRINTING CO.Chatham Asset Managementworkplace safety or health violation2017OSHA$5,000
CLECO CORPORATIONMacquarieworkplace safety or health violation2017OSHA$8,626
LOUIS DREYFUS COMPANY RIVER ELEVATORS, LLCLouis Dreyfusworkplace safety or health violation2017OSHA$8,665
NEOVIA LOGISTICS SERVICES, LLCGoldman Sachsworkplace safety or health violation2017OSHA$7,605
CITIZENS FINANCIAL GROUP, INC.Citizens Financial Groupworkplace safety or health violation2017OSHA$6,338
W. R. BERKLEY CORPORATIONW.R. Berkleyworkplace safety or health violation2017OSHA$5,000
CLECO CORPORATIONMacquarieworkplace safety or health violation2017OSHA$5,545
BUCKEYE TEXAS PROCESSING LLCIFM Investorsenvironmental violation2017EPA$18,247
Morgan Stanley Capital Group, Inc.Morgan Stanleyenvironmental violation2017EPA$1,119,000
VitolVitolenvironmental violation2017EPA$35,000
JP Morgan Chase Bank, N.A.JPMorgan Chaseenvironmental violation2017EPA$230,392
HSBC Holdings plcHSBCfraud2018DOJ_CRIMINAL$100,000,000
Goldman Sachs Bank USAGoldman Sachsbanking violation2018FED$90,000
Goldman SachsGoldman Sachsmortgage abuses2018FED$14,000,000
Morgan StanleyMorgan Stanleymortgage abuses2018FED$8,000,000
CIT Group Inc.First Citizens BancSharesmortgage abuses2018FED$5,200,000
U.S. BancorpU.S. Bancorpmortgage abuses2018FED$4,400,000
PNC Financial Services GroupPNC Financial Servicesmortgage abuses2018FED$3,500,000
Citibank N.A.Citigroupanti-money-laundering deficiencies2018OCC$70,000,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2018SEC$1,304,197
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinainvestor protection violation2018SEC$1,250,000
Deutsche Bank Securities Inc.Deutsche Bankprice-fixing or anti-competitive practices2018CFTC$70,000,000
HSBC Securities (USA) Inc.HSBCinvestor protection violation2018CFTC$1,600,000
UBS AGUBSinvestor protection violation2018CFTC$15,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2018CFTC$30,000,000
US BancorpU.S. Bancorpbanking violation2018FED$15,000,000
BNP Paribas USA Inc.BNP Paribasprice-fixing or anti-competitive practices2018DOJ_ANTITRUST$90,000,000
Rabobank National AssociationRabobankanti-money-laundering deficiencies2018DOJ_CRIMINAL$368,701,259
U.S. BancorpU.S. Bancorpanti-money-laundering deficiencies2018USAO$453,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.