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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,398,347,522
Number of Records: 7,169
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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Company sort icon . Current ParentPrimary Offense TypeYearAgencyPenalty Amount
RR DONNELLY COMPANYChatham Asset Managementworkplace safety or health violation2012OSHA$17,000
Ruesch International, Inc.Western Unioneconomic sanction violation2004OFAC$7,811
S&T BANKS&T Bancorpbanking violation2010FDIC$32,640
SafecoLiberty Mutual Insuranceinsurance violation2009CT-INS$434,000
SAFECO INSURANCE CO. ET AL.Liberty Mutual Insuranceinsurance violation2002VA-INS$28,200
Safeco Insurance Co. of AmericaLiberty Mutual Insuranceinsurance violation2005IN-INS$5,000
Safeco Insurance CompanyLiberty Mutual Insuranceinsurance violation2013CA-INS$900,000
Safeco Insurance CompanyLiberty Mutual Insuranceinsurance violation2013SC-INS$8,000
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$37,951
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$28,560
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$85,353
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2012AZ-DIFI$30,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2015CO-INS$140,500
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2010IN-INS$5,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2012KS-INS$5,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2015KS-INS$81,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2005PA-INS$5,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2008PA-INS$40,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2021MN-FIN$10,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2021WA-INS$100,000
SAFECO Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2021MD-INS$196,044
Safeco Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2005FL-OFR$35,350
SAFECO Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2014MD-INS$5,000
Safeco Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2011MN-FIN$25,000
Safeco Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2007MO-INS$68,524
SAFECO Insurance Company of America, Inc. et al.Liberty Mutual Insuranceinsurance violation2013MD-INS$195,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2011AZ-DIFI$15,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2004MN-FIN$5,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2016MN-FIN$50,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2010MT-INS$25,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2015MT-INS$95,000
Safeco Insurance Company of IndianaLiberty Mutual Insuranceinsurance violation2010PA-INS$50,000
Safeco Insurance Company of OregonLiberty Mutual Insuranceinsurance violation2021OR-FIN$5,000
Safeco Lloyds Insurance Co.Liberty Mutual Insuranceinsurance violation2010TX-INS$5,000
Safeco Surplus Lines Insurance Co.Liberty Mutual Insuranceinsurance violation2017MN-FIN$10,000
Safety First Insurance Co.Tokio Marineinsurance violation2013MO-INS$12,250
Safety National Casualty Co.Tokio Marineinsurance violation2013MO-INS$61,250
Safety National Casualty Corp.Tokio Marineinsurance violation2017MD-INS$5,000
Safety National Casualty Corp.Tokio Marineinsurance violation2004MS-INS$5,000
Safety National Casualty Corp.Tokio Marineinsurance violation2008MS-INS$10,000
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$9,500
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$15,500
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$39,000
Safety National Casualty CorporationTokio Marineinsurance violation2014TX-INS$32,109
Safety National Casualty CorporationTokio Marineinsurance violation2015TX-INS$5,000
Safety National Casualty CorporationTokio Marineinsurance violation2018TX-INS$23,500
Safety National Casualty CorporationTokio Marineinsurance violation2019TX-INS$5,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$12,500
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$9,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$34,500
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$22,000
Sagamore Insurance Co.Progressiveinsurance violation2001KS-INS$20,000
Sagamore Insurance Co.Progressiveinsurance violation2021TX-INS$20,000
Sallie MaeSLM Corp.consumer protection violation2007NY-AG$2,000,000
Sallie Mae BankSLM Corp.banking violation2014FDIC$93,300,000
Sallie Mae Inc.SLM Corp.consumer protection violation2014DOJ_RIGHTS$60,000,000
Salomon Smith BarneyMorgan Stanleyemployment discrimination2001EEOC$635,000
Salomon Smith BarneyMorgan Stanleyinvestor protection violation2002FINRA$5,000,000
Salomon Smith Barney Inc.Morgan Stanleydata submission deficiencies2002SEC$1,650,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2000SEC$45,000,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $400,000,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Sanford C. Bernstein & Co.Equitable Holdingsinvestor protection violation2006FINRA$350,000
SantanderBanco Santanderconsumer protection violation2021MS-AG$3,700,000
Santander Bank & Trust (Bahamas) LtdBanco Santandereconomic sanction violation2004OFAC$20,000
Santander Bank, N.A.Banco Santanderconsumer protection violation2016CFPB$10,000,000
Santander Bank, N.A.Banco Santanderconsumer protection violation2015NY-AG$500,000
Santander Bank, N.A.Banco Santanderwage and hour violation2022private lawsuit-federal$4,250,000
Santander Bank, National AssociationBanco Santanderbanking violation2016OCC$3,400,000
Santander Bank, National AssociationBanco Santanderbanking violation2015OCC$6,000,000
Santander Consumer USABanco Santanderconsumer protection violation2022MA-AG$5,560,000
Santander Consumer USA Holdings Inc.Banco Santanderinvestor protection violation2018SEC$1,500,000
Santander Consumer USA Holdings Inc.Banco Santanderconsumer protection violation2017MA-AG$22,000,000
Santander Consumer USA Holdings, Inc.Banco Santanderconsumer protection violation2017DE-AG$3,875,000
Santander Consumer USA Inc, dba Chrysler CapitalBanco Santanderconsumer protection violation2021DOJ_RIGHTS$134,282
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2015DOJ_RIGHTS$9,350,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2018CFPB$11,790,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020MULTI-AG$550,000,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2018CT-BKG$100,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2015NH-BKG$75,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020VT-AG$105,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020CFPB$4,750,000
Santander Consumer USA, Inc.Banco Santanderconsumer protection violation2018CA-DFPI$300,000
Santander Consumer USA, Inc.Banco Santanderconsumer protection violation2021CO-AG$3,065,000
Santander Mortgage CorporationBanco Santanderwage and hour violation2004WHD$62,895
Santander Securities LLCBanco Santanderinvestor protection violation2019SEC$270,539
Santander Securities LLCBanco Santanderconsumer protection violation2019MA-AG$100,000
Santander Securities LLCBanco Santanderinvestor protection violation2015FINRA$6,421,000
Santander Securities of Puerto RicoBanco Santanderinvestor protection violation2011FINRA$2,000,000
Santander Securities, LLCBanco Santanderinvestor protection violation2018NH-BSR$31,562
Santander Securities, LLCBanco Santanderinvestor protection violation2019NH-BSR$50,000
Santander USA Holdings Inc.Banco Santanderconsumer protection violation2015MA-AG$5,400,000
Saxon Mortgage ServicesOcwen Financialconsumer protection violation2010MD-FIN$71,000
Saxon Mortgage Services Inc.Ocwen Financialmortgage abuses2011DOJ_CIVIL$2,350,000
Saxon Mortgage Services, Inc.Ocwen Financialconsumer protection violation2012FL-OFR$15,000
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-BKG$10,510
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-SEC$7,500
Schwab Capital MarketsUBSinvestor protection violation2001FINRA$12,000
Schwab Capital Markets, L.P.UBSinvestor protection violation2004FINRA$70,000
SCOR Global Life U.S. Re Insurance CompanySCORinsurance violation2011TX-INS$99,000
SCOR Global Life U.S. Re Insurance Company of TexasSCORinsurance violation2011TX-INS$90,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.