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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 Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2017CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2017CA-MHC$7,500
California Physicians' Service (Blue Shield of California)California Physicians' Serviceinsurance violation2017CA-MHC$322,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2017CA-MHC$50,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2017CA-MHC$20,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2018CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2018CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2018CA-MHC$8,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2018CA-MHC$7,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2018CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2018CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2018CA-MHC$300,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2018CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2018CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2018CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2018CA-MHC$17,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2019CA-MHC$85,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2019CA-MHC$7,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2019CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2019CA-MHC$6,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2019CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2019CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2019CA-MHC$10,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2019CA-MHC$65,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2019CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2019CA-MHC$5,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2019CA-MHC$150,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2019CA-MHC$20,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$30,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$10,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$7,500
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$10,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2020CA-MHC$7,500
California Physicians' Service dba. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' Service dba. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' Service dba. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' Service dba. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2020CA-MHC$10,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$10,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$10,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$7,500
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' ServiceCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' Service d.b.a. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$150,000
California Physicians' Service d.b.a. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' Service d.b.a. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$30,000
California Physicians' Service d.b.a. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' Service d.b.a. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' Service d.b.a. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$89,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$12,500
California Physicians' ServiceCalifornia Physicians' ServiceMedicare Parts C and D Enforcement Action2022CMS$40,282
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$7,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$15,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$10,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2022CA-MHC$17,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$15,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$10,000
BancorpSouth BankCadence Bankmortgage abuses2016CFPB$10,600,000
BANCORPSOUTH BANKCadence Bankbanking violation2011FDIC$46,500
Brown Brothers Harriman & Co.Brown Brothers Harrimaninvestor protection violation2014SEC$120,000
Brown Brothers Harriman & Co.Brown Brothers Harrimananti-money-laundering deficiencies2014FINRA$8,000,000
Brown & BrownBrown & Brownemployment discrimination2017EEOC$100,000
Brown & Brown Insurance of Arizona, Inc.Brown & Browntax violations2014CT-AG$37,650
Brown & Brown, Inc.Brown & Brownconsumer protection violation2006FL-AG$5,800,000
Pacific Resources Benefits Advisors, LLCBrown & Browntax violations2014CT-AG$5,400
Brown & Brown of Washington, Inc.Brown & Browninsurance violation2012AK-INS$30,000
Brown & Brown Insurance Agency of Virginia, Inc.Brown & Browninsurance violation2006VA-INS$5,000
BROADRIDGE FINANCIAL SOLUTIONS INCBroadridge Financial Solutionsenvironmental violation2008NJ-ENV$6,500
BROADRIDGE FINANCIAL SOLUTIONSBroadridge Financial Solutionsworkplace safety or health violation2018OSHA$15,522
BROADRIDGE FINANCIAL SOLUTIONS, INC.Broadridge Financial Solutionsworkplace safety or health violation2019OSHA$8,335
New England Life Insurance Co.Brighthouse Financialinsurance violation2006CO-INS$32,000
New England Life Insurance CompanyBrighthouse Financialinsurance violation2005MA-INS$13,000
NEW ENGLAND LIFE INSURANCE CO.Brighthouse Financialinsurance violation2002VA-INS$9,000
Comenity Bank and Comenity Capital BankBread Financial Holdingsbanking violation2015FDIC$63,950,000
Alliance Data Systems, Inc.Bread Financial Holdingswage and hour violation2003WHD$40,320
BOK Financial CorporationBOK Financialinvestor protection violation2016SEC$1,667,720
BOK Financial Corporation dba the Bank of AlbuquerqueBOK Financialemployment discrimination2014EEOC$230,000
Bok Financial Securities, Inc.BOK Financialinvestor protection violation2019SEC$197,801
BOK Financial Securities, Inc.BOK Financialinsurance violation2020CA-INS$5,000
BNP Paribas S.A.BNP Paribaseconomic sanction violation2015DOJ_CRIMINAL$8,973,600,000
BNP Paribas SecuritiesBNP Paribasinvestor protection violation2015CFTC$140,000
BNP Paribas (Suisse) SABNP Paribastax violations2015DOJ_TAX$59,783,000
BNP ParibasBNP ParibasFalse Claims Act and related2014DOJ_CIVIL$80,000,000
BNP Paribas Commodity Futures, Ltd.BNP Paribasdata submission deficiencies2008CFTC$25,000
Cinergy Marketing & Trading, LPBNP Paribasdata submission deficiencies2004CFTC$3,000,000
Bank of the WestBNP Paribasemployment discrimination2011EEOC$48,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.