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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,816,534,046
Number of Records: 7,081
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$36,129,269,434222
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
Goldman Sachs$16,599,475,84889
NatWest Group PLC$13,515,546,85731
Credit Suisse$10,932,400,12651
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 TypeYearAgencyPenalty Amount sort icon
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2010WA-INS$12,000
Virginia Surety Company IncAssurantinsurance violation2010WA-INS$12,000
Homesite Insurance Company Of The MidwestAmerican Family Insuranceinsurance violation2011WA-INS$12,000
Mutual Of Omaha Insurance CompanyMutual of Omahainsurance violation2019WA-INS$12,000
WHEELABRATOR FALLS INCMacquarieenvironmental violation2020PA-ENV$12,000
Schwab Capital MarketsUBSinvestor protection violation2001FINRA$12,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2022TX-INS$12,000
WELLS FARGO BANK #1692Wells Fargoworkplace safety or health violation2013OSHA$12,000
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$11,950
Liberty Mutual Insurance CompanyLiberty Mutual Insurancewage and hour violation2009CA-LCO$11,916
Wells Fargo Bank, N. A.Wells FargoFamily and Medical Leave Act2016WHD$11,874
Trafigura AGTrafigurawage and hour violation2007WHD$11,839
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2012PHMSA$11,800
Transamerica Premier Life Insurance Co.Aegoninsurance violation2015MD-INS$11,800
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2016MD-INS$11,800
BUCKEYE PORT READING TERMINAL LLCIFM Investorsenvironmental violation2007NJ-ENV$11,760
J P Morgan Securities LLCJPMorgan Chaseinsurance violation2018NY-DFS$11,750
Mercury Air CentersMacquarieenvironmental violation2006CA-SCAQMD$11,750
Fidelity and Guaranty Insurance CompanyFidelity National Financialinsurance violation2014TX-INS$11,744
First Financial Bank, National AssociationFirst Financial Bancorp.banking violation2015OCC$11,700
TitleMax of Missouri, Inc.TMX FinanceFamily and Medical Leave Act2015WHD$11,648
Valley Forge Life Insurance CompanyPrudential PLCinsurance violation2001MA-INS$11,600
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieenvironmental violation2000NJ-ENV$11,600
R.R. DONNELLEYChatham Asset Managementworkplace safety or health violation2010OSHA$11,600
El Paso Electric CompanyJPMorgan Chaselabor relations violation2009NLRB$11,500
National Western Life Insurance Co.National Western Lifeinsurance violation2009CO-INS$11,500
National Western Life Insurance Co.National Western Lifeinsurance violation2014CO-INS$11,500
COMMERCE AND INDUSTRY INSURANCE COMPANYAmerican International Groupinsurance violation2001FL-OFR$11,500
The Travelers Indemnity CompanyTravelersinsurance violation2014TX-INS$11,500
T.H.E. Insurance CompanyAXAinsurance violation2015TX-INS$11,500
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2016VA-SEC$11,500
LM Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$11,500
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$11,500
U.S. Bank National AssociationU.S. Bancorpdiscriminatory practices (non-employment)2014HUD$11,489
HSBC North America Inc.HSBCwage and hour violation2006WHD$11,489
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2014TX-INS$11,460
Metropolitan Life Insurance Co.MetLifeinsurance violation2012MD-INS$11,400
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020IL-SEC$11,385
R. R. DONNELLEY AND SONS COMPANYChatham Asset Managementenvironmental violation2001EPA$11,344
BMO Harris Bank N.A.Bank of MontrealFamily and Medical Leave Act2015WHD$11,304
Metropolitan Life Insurance Co.MetLifeinsurance violation2017MD-INS$11,300
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieenvironmental violation2001NJ-ENV$11,200
IFCO SYSTEMS NORTH AMERICA INCTriton Investments Advisersworkplace safety or health violation2010OSHA$11,200
Pro Line Printing, Inc.Chatham Asset Managementenvironmental violation2004CT-ENV$11,125
AIU Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
American Home Assurance Co.American International Groupinsurance violation2010ME-INS$11,111
Commerce and Industry Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
Granite State Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
Illinois National Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2010ME-INS$11,111
National Union Fire Insurance Company of Pittsburg, Pa.American International Groupinsurance violation2010ME-INS$11,111
New Hampshire Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
THE RICHLAND TRUST COMPANYPark National Corp.banking violation2006FDIC$11,100
IFCO SYSTEMS N.A., INC.Triton Investments Advisersworkplace safety or health violation2009OSHA$11,100
SYNAGRO WWT INCGoldman Sachsworkplace safety or health violation2022OSHA$11,095
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$11,050
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$11,041
John Hancock Variable Life Insurance Co.Manulife Financialinsurance violation2006MO-INS$11,040
Horace Mann Insurance CompanyHorace Mann Educators Corp.insurance violation2013VT-FIN$11,007
Wachovia BankWells Fargoeconomic sanction violation2007OFAC$11,000
Bank of ChinaBank of Chinaeconomic sanction violation2005OFAC$11,000
Wachovia BankWells Fargoeconomic sanction violation2004OFAC$11,000
HSBC Bank USAHSBCeconomic sanction violation2003OFAC$11,000
Societe GeneraleSociete Generaleeconomic sanction violation2003OFAC$11,000
Edward D. Jones and Co.,LPJones Financialinvestor protection violation2003AK-DBS$11,000
Quicken Loans Inc.Rocket Companies Inc.consumer protection violation2018AK-DBS$11,000
Foremost Property and Casualty Insurance Co. et al.Zurich Insuranceinsurance violation2019DE-INS$11,000
Life Investors Insurance Company of AmericaAegoninsurance violation2004FL-OFR$11,000
Fortis Insurance Co.Assurantinsurance violation2007FL-OFR$11,000
AIG Claims, Inc.American International Groupinsurance violation2018LA-INS$11,000
American Health and Life Insurance Co.OneMain Holdingsinsurance violation2019LA-INS$11,000
New Hampshire Insurance Co.American International Groupinsurance violation2018MO-INS$11,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2008NE-DBF$11,000
Farmers Insurance Company of OregonZurich Insuranceinsurance violation2005OR-FIN$11,000
American Guarantee and Liability Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$11,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2017TX-INS$11,000
State Farm Fire and Casualty CompanyState Farm Insuranceinsurance violation2017TX-INS$11,000
Travelers Casualty and Surety CompanyTravelersinsurance violation2018TX-INS$11,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2019VT-FIN$11,000
Conseco Health Insurance Co.CNO Financialinsurance violation2004WI-INS$11,000
TRANSAMERICA LIFE INSURANCE COMPANYAegoninsurance violation2021MO-INS$11,000
Mercury Casualty CompanyMercury General Corporationinsurance violation2020NY-DFS$11,000
Travelers Indemnity Co.Travelersinsurance violation2021TX-INS$11,000
The Hartford Casualty Insurance Co. and Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2022MN-FIN$11,000
Progressive Universal Insurance CompanyProgressiveinsurance violation2022OR-FIN$11,000
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2006OSHA$11,000
WESTERN UNIONWestern Unionworkplace safety or health violation2015OSHA$11,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$11,000
American Automobile Insurance Company et al.Allianzinsurance violation2011VA-INS$10,973
Protective Insurance CompanyProgressiveinsurance violation2014TX-INS$10,965
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2022TX-INS$10,950
GEORGIA CASH AMERICA, INC.FirstCashworkplace safety or health violation2015OSHA$10,920
Banner Life Insurance CompanyLegal & General Group PLCinsurance violation2002MA-INS$10,900
American Guarantee and Liability Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$10,850
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2009IN-INS$10,850
Zurich American Insurance Co. of IllinoisZurich Insuranceinsurance violation2020TX-INS$10,800
Imperial Sugar CompanyLouis Dreyfusenvironmental violation2012LA-ENV$10,770
The Phoenix Insurance CompanyTravelersinsurance violation2014TX-INS$10,628
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$10,600
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020OR-FIN$10,599
Scottsdale Insurance Co.Nationwideinsurance violation2021NH-INS$10,579
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.