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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,479,735,000115
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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 .
Group Hospitalization & Medical Services, Inc.CareFirst of Marylandinsurance violation2014MD-INS$13,000
American International Specialty Lines Insurance Co.American International Groupinsurance violation2005NJ-DBI$13,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2012TX-INS$13,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2016TX-INS$13,000
Travelers Casualty & Surety CompanyTravelersinsurance violation2017TX-INS$13,000
GENWORTH LIFE AND ANNUITY INSGenworth Financialinsurance violation2014VA-INS$13,000
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsenvironmental violation2015NJ-ENV$13,000
Metropolitan Property and Casualty Insurance CompanyZurich Insuranceinsurance violation2021VT-FIN$13,000
DEPOSITORY TRUST & CLEARING CORP.Depository Trustworkplace safety or health violation2000OSHA$13,000
SYNAGRO A RESIDUALS MANAGEMENT COMPANYGoldman Sachsworkplace safety or health violation2008OSHA$13,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020TN-SEC$12,994
Marsh USA IncMarsh & McLennaninsurance violation2018NY-DFS$12,950
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2016OSHA$12,934
WHEELABRATOR GLOUCESTER COMPANY L PMacquarieenvironmental violation2016NJ-ENV$12,900
Great Plains Specialty Finance, Inc. d/b/a Check 'n GoCNG Financialconsumer protection violation2019NE-DBF$12,850
Bank of AmericaBank of Americawage and hour violation2005WHD$12,824
Ace Cash Express, Inc.ACE Cash Expresswage and hour violation2005WHD$12,796
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2011MSHA$12,790
Illinois National Insurance CompanyAmerican International Groupinsurance violation2014TX-INS$12,774
American Heritage Life Insurance Co.Allstateinsurance violation2000FL-OFR$12,750
Key Bank National AssociationKeyCorpwage and hour violation2008WHD$12,691
HSBC North America Inc.HSBCwage and hour violation2006WHD$12,685
The Gas Company LlcMacquariemotor vehicle safety violation2017FMCSA$12,650
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2009CT-SEC$12,602
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2010OSHA$12,600
GUARANTEED RATE, INC.Guaranteed Rate Inc.wage and hour violation2015WHD$12,548
Old National BankOld National Bancorpbanking violation2004OCC$12,500
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2008AZ-DIFI$12,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2009CA-MHC$12,500
Allstate Insurance Co. et al.Allstateinsurance violation2019DE-INS$12,500
GREAT AMERICAN ASSURANCE COMPANYAmerican Financial Groupinsurance violation2001FL-OFR$12,500
Amex Assurance Co.American Expressinsurance violation2005FL-OFR$12,500
First American TitleFirst American Financialinsurance violation2014IN-INS$12,500
American Home Assurance CompanyAmerican International Groupinsurance violation2003MA-INS$12,500
Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2011MD-INS$12,500
Group Hospitalization & Medical Services, Inc.CareFirst of Marylandinsurance violation2013MD-INS$12,500
Group Hospitalization & Medical Services, Inc.CareFirst of Marylandinsurance violation2013MD-INS$12,500
Austin Mutual Insurance Co. and Northern Mutual Insurance Co.American Family Insuranceinsurance violation2002MN-FIN$12,500
Morgan Keegan & Company, Inc.Raymond James Financialinvestor protection violation2007MS-SEC$12,500
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2012MT-INS$12,500
Pruco Securities, LLCPrudential Financialinvestor protection violation2006NE-DBF$12,500
Edward D. Jones & Co., L.P.Jones Financialconsumer protection violation2013NE-DBF$12,500
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2010TX-INS$12,500
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2014TX-INS$12,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$12,500
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$12,500
Esurance Property and Casualty Insurance CompanyAllstateinsurance violation2018TX-INS$12,500
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2019TX-INS$12,500
UNUM Life Insurance Company of AmericaUnuminsurance violation2021CT-INS$12,500
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$12,500
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$12,500
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$12,500
AMERICAN FAMILY INSURANCEAmerican Family Insuranceworkplace safety or health violation2012OSHA$12,500
Bank Of America NABank of Americaenvironmental violation2005TX-ENV$12,480
Heartland Payment Systems, LLC dba HPS Heartland Payroll Solutions, Inc.Global Payments Inc.consumer protection violation2019CT-BKG$12,450
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2011OSHA$12,435
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2022CA-LCO$12,399
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2022OSHA$12,327
Branch Banking and Trust CompanyTruist Financialwage and hour violation2011WHD$12,314
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2003ND-SEC$12,303
Pioneer Credit Recovery, Inc.Navienttax violations2013CT-AG$12,255
Safety First Insurance Co.Tokio Marineinsurance violation2013MO-INS$12,250
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$12,248
Allstate Insurance CompanyAllstateinsurance violation2003IN-INS$12,220
Cleco CorporationMacquariewage and hour violation2017WHD$12,190
Metropolitan Life Insurance Co.MetLifeinsurance violation2006MO-INS$12,162
Globe Life and Accident Insurance Co.Globe Life Inc.insurance violation2014CO-INS$12,100
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2006FL-OFR$12,100
Xstrata CopperGlencorerailroad safety violation2012FRA$12,000
FIRST BANKFirst Bancorp (North Carolina)banking violation2004FDIC$12,000
Union Bank of CAU.S. Bancorpeconomic sanction violation2003OFAC$12,000
U.S. Bank National AssociationU.S. Bancorpdiscriminatory practices (non-employment)2013HUD$12,000
H & R BlockH&R Blockwage and hour violation2003CA-LCO$12,000
FIRST BANKFirst Bancorp (North Carolina)banking violation2004FDIC$12,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2016CA-MHC$12,000
Zurich Life Insurance Company of AmericaZurich Insuranceinsurance violation2002MA-INS$12,000
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2007MA-INS$12,000
Federal Insurance Co. et al.Chubb Limitedinsurance violation2016MD-INS$12,000
Continental Western Insurance Co.W.R. Berkleyinsurance violation2014MO-INS$12,000
MetLife SecuritiesMetLifeinvestor protection violation2005OR-FIN$12,000
USAA Casualty Insurance CompanyUSAAinsurance violation2020RI-FIN$12,000
Wausau Business Insurance CompanyLiberty Mutual Insuranceinsurance violation2012TX-INS$12,000
Fidelity and Guaranty Insurance CompanyFidelity National Financialinsurance violation2016TX-INS$12,000
Sentry InsuranceSentry Insuranceinsurance violation2016TX-INS$12,000
Employer's Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2018TX-INS$12,000
Group Hospitalization and Medical Services, Inc.CareFirst of Marylandinsurance violation2001VA-INS$12,000
CAREFIRST BLUE CHOICE INCCareFirst of Marylandinsurance violation2001VA-INS$12,000
AVEMCO INSURANCE COMPANYTokio Marineinsurance violation2002VA-INS$12,000
PRINCIPAL LIFE INSURANCE CO.Principal Financialinsurance violation2002VA-INS$12,000
GENWORTH LIFE AND ANNUITY INSURANCE COGenworth Financialinsurance violation2006VA-INS$12,000
American Economy Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2011VA-INS$12,000
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
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2022TX-INS$12,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$12,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$12,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.