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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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CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon .
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
Group Hospitalization and Medical Services, Inc.CareFirst of Marylandinsurance violation2022MD-INS$11,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$11,000
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2006OSHA$11,000
WESTERN UNIONWestern Unionworkplace safety or health violation2015OSHA$11,000
Nyrstar Tennessee Mines - 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
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020AK-DBS$10,527
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-BKG$10,510
Allstate Insurance Co.Allstateinsurance violation2005CO-INS$10,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2001FL-OFR$10,500
The Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2008FL-OFR$10,500
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2008FL-OFR$10,500
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2010FL-OFR$10,500
RiverSource Life Insurance Co.Ameriprise Financialinsurance violation2011FL-OFR$10,500
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2012FL-OFR$10,500
Pacific Life Insurance Co.Pacific Lifeinsurance violation2012FL-OFR$10,500
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2014FL-OFR$10,500
Pruco Life Insurance Co.Prudential Financialinsurance violation2014FL-OFR$10,500
Genworth Life and Annuity Insurance Co.Genworth Financialinsurance violation2014FL-OFR$10,500
United States Fire Insurance Company of PlanoFairfax Financial Holdingsinsurance violation2009TX-INS$10,500
XL Specialty Insurance CompanyAXAinsurance violation2022TX-INS$10,500
SPENCER PRESS OF MAINE, INC.Chatham Asset Managementworkplace safety or health violation2001OSHA$10,500
THE GAS COMPANY, LLCMacquarieworkplace safety or health violation2013OSHA$10,500
RR DONNELLEY AND SONS INC.Chatham Asset Managementworkplace safety or health violation2015OSHA$10,500
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2021OSHA$10,500
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$10,473
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$10,437
Mellon Bank N.A.Bank of New York Melloneconomic sanction violation2004OFAC$10,400
Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2015MD-INS$10,400
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieenvironmental violation2001NJ-ENV$10,400
New Hampshire Insurance Co.American International Groupinsurance violation2000KS-INS$10,375
National Union Fire Insurance Company of Pittsburgh, PennsylvaniaAmerican International Groupinsurance violation2000KS-INS$10,375
LPL Financial LLCLPL Financialinvestor protection violation2022NH-BSR$10,307
WHEELABRATOR SHASTA ENERGY CO.Macquarieworkplace safety or health violation2000OSHA$10,275
Bankers Conseco Life Insurance CompanyCNO Financialinsurance violation2015NY-DFS$10,270
Societe Generale Financial CorporationSociete Generalebanking violation2020CA-DFPI$10,250
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2006RI-FIN$10,250
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2019TX-INS$10,250
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2007NE-DBF$10,200
Granite State Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$10,200
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$10,200
CitiBank, N.A.,Citigroupwage and hour violation2014CA-LCO$10,148
Solium Financial Services, LLCMorgan Stanleyinvestor protection violation2020IA-INS$10,147
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.