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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,660,984,318
Number of Records: 7,055
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$83,124,221,356268
JPMorgan Chase$36,129,269,434222
Citigroup$25,540,655,365157
Wells Fargo$22,081,446,244228
Deutsche Bank$18,341,457,30276
UBS$16,880,243,334103
Goldman Sachs$16,399,475,84887
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,154,369,73321
Credit Suisse$10,732,400,12649

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
American Guarantee and Liability Insurance CompanyZurich Insuranceinsurance violation2020CT-INS$10,000
United Services Automobile Association et al.USAAinsurance violation2021VA-INS$10,000
PREMERA BLUE CROSSPremera Blue Crossinsurance violation2021WA-INS$10,000
HSBC SECURITIES USA INCHSBCinsurance violation2021WA-INS$10,000
State Farm Fire & Casualty CoState Farm Insuranceinsurance violation2021WI-INS$10,000
Fannie MaeFannie Maecampaign finance violation2004FEC$10,000
California Physicians' Service d.b.a. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$10,000
QBE Insurance Corp.QBE Insuranceinsurance violation2021TX-INS$10,000
LIFEWISE HEALTH PLAN OF WASHINGTONPremera Blue Crossinsurance violation2021WA-INS$10,000
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2021WI-INS$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$10,000
New York Life Insurance Company and New York Life Insurance and Annuity CorporationNew York Life Insuranceinsurance violation2021MT-INS$10,000
Old Republic National Title Insurance CompanyOld Republic Internationalinsurance violation2021NH-INS$10,000
Generali - U.S. Branch dba The General Insurance Company of Trieste & VeniceAssicurazioni Generaliinsurance violation2021OR-FIN$10,000
XL Insurance America, Inc.AXAinsurance violation2021TX-INS$10,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2021VA-SEC$10,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2021WA-INS$10,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2021WA-INS$10,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2021WA-INS$10,000
Allstate Fire & Casualty Insurance CompanyAllstateinsurance violation2021WA-INS$10,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$10,000
Mercury Air CentersMacquarieenvironmental violation2006CA-SCAQMD$10,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2022RI-FIN$10,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022TX-INS$10,000
Jackson National Life Insurance CompanyJackson Financialinsurance violation2021WA-INS$10,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$10,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$10,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance 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
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2022CA-MHC$10,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2022MD-INS$10,000
Fireman's Fund Insurance CompanyAllianzinsurance violation2022TX-INS$10,000
XL Specialty Insurance CompanyAXAinsurance violation2022TX-INS$10,000
SYNAGRO TECHNOLOGIES INC.Goldman Sachsworkplace safety or health violation2008OSHA$10,000
FARMERS INSURANCE EXCHANGEFarmers Insurance Exchangeworkplace safety or health violation2009OSHA$10,000
WHEELABRATOR SHASTA ENERGY CO, INCMacquarieworkplace safety or health violation2010OSHA$10,000
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2016OSHA$10,000
NEOVIA LOGISTICS DISTRIBUTION, LLCGoldman Sachsworkplace safety or health violation2018OSHA$10,000
MORGAN STANLEYMorgan Stanleyenvironmental violation2014EPA$10,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020OK-SEC$9,968
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2009MSHA$9,951
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$9,942
Ace American Insurance CompanyChubb Limitedinsurance violation2015TX-INS$9,900
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2019TX-INS$9,900
COMMUNICORP INC.Aflacworkplace safety or health violation2011OSHA$9,900
Solium Financial ServicesMorgan Stanleyinvestor protection violation2021DC-DISB$9,879
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2017MD-INS$9,850
GAS COMPANY LLCMacquarieworkplace safety or health violation2020OSHA$9,832
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2005WHD$9,830
Vitol Inc.Vitolenvironmental violation2016EPA$9,814
Metropolitan Life Insurance Co.MetLifeinsurance violation2015MD-INS$9,800
American Family Home Insurance Co.Munich Reinsurance violation2011SC-INS$9,800
LOUIS DREYFUS CITRUS INC.Louis Dreyfusworkplace safety or health violation2006OSHA$9,800
THE KEMPER COMPANYKemperworkplace safety or health violation2012OSHA$9,800
The Standard Fire Insurance CompanyTravelersinsurance violation2014TX-INS$9,795
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2022CA-LCO$9,795
Combined Insurance Company of AmericaChubb Limitedinsurance violation2006FL-OFR$9,750
JP Morgan Chase BankJPMorgan Chaseeconomic sanction violation2004OFAC$9,748
Barclays Capital Inc.Barclayswage and hour violation2009WHD$9,707
Great Plains Specialty Finance, Inc. dba Check 'n GoCNG Financialconsumer protection violation2020NE-DBF$9,700
BUCKEYE PORT READING TERMINAL LLCIFM Investorsenvironmental violation2009NJ-ENV$9,700
Teachers Insurance & Annuity Assoc of AmericaTIAAwage and hour violation2017WHD$9,678
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020TX-INS$9,675
MASS MUTUAL INSTITUTIONAL FUNDSMassachusetts Mutual Life Insuranceworkplace safety or health violation2020OSHA$9,639
Moneygram Payment Systems, Inc.MoneyGram Internationalconsumer protection violation2021FL-OFR$9,625
JPMorgan Chase Bank, N.A.JPMorgan Chasewage and hour violation2008WHD$9,622
Buckeye Caribbean Terminals, LLCIFM Investorsenvironmental violation2016EPA$9,600
RR DONNELLEY & SONS COChatham Asset Managementenvironmental violation2006IN-ENV$9,563
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsenvironmental violation2009NJ-ENV$9,550
Buckeye Terminals, LLCIFM Investorsenvironmental violation2017VA-ENV$9,537
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2016TX-INS$9,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$9,500
Chubb Indemnity Insurance CompanyChubb Limitedinsurance violation2019TX-INS$9,500
Citigroup Global Markets Inc.Citigroupinvestor protection violation2014VA-SEC$9,500
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2005WI-INS$9,500
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$9,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2020TX-INS$9,500
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$9,500
Allstate Insurance Co. et al.Allstateinsurance violation2008MO-INS$9,483
WHEELABRATOR MILLBURY INC.Macquarieworkplace safety or health violation2018OSHA$9,472
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2006OSHA$9,450
Atlantic Credit and Finance, Inc.Encore Capital Groupwage and hour violation2006WHD$9,422
Royal Bank of Canada (USA)Royal Bank of Canadaenvironmental violation2010GA-ENV$9,375
Wheelabrator Lisbon, Inc.Macquarieenvironmental violation2013CT-ENV$9,350
First Horizon National CorporationFirst Horizon Nationalwage and hour violation2004WHD$9,344
Acadia Insurance Company et al.W.R. Berkleyinsurance violation2019VA-INS$9,341
Cleco CorpMacquarieworkplace safety or health violation2012MSHA$9,310
Standard Insurance Co.Meiji Yasuda Life Insuranceinsurance violation2007MO-INS$9,300
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersworkplace safety or health violation2007OSHA$9,210
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2017RI-FIN$9,200
RR DONNELLEY & SONS COChatham Asset Managementenvironmental violation2001IN-ENV$9,200
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020MO-SEC$9,130
First Union BankWells Fargolabor relations violation2000NLRB$9,116
JPMorgan Chase BankJPMorgan Chasewage and hour violation2013CA-LCO$9,111
Nationwide InsuranceNationwidewage and hour violation2010WHD$9,109
IAC SPRINGFIELD, LLCInvescoworkplace safety or health violation2014OSHA$9,100
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2015NE-DBF$9,050
Fifth Third BancorpFifth Third Bancorpwage and hour violation2007WHD$9,038
IACInvescoworkplace safety or health violation2013OSHA$9,025
Ameritas Life Insurance CorpAmeritas Mutual Holding Companywage and hour violation2017WHD$9,019
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.