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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$388,802,802,308
Number of Records: 7,734
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$87,294,650,890329
JPMorgan Chase$39,688,888,209277
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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 Type sort iconYearAgencyPenalty Amount
Metropolitan Life Insurance CompanyMetLifeinsurance violation2022NJ-DBI$142,800
Transamerica Life Insurance CompanyAegoninsurance violation2020NJ-DBI$137,000
Transamerica Financial Life Insurance CompanyAegoninsurance violation2023NY-DFS$120,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2024OR-FIN$100,000
STATE FARM FIRE & CASUALTY COMPANY et al.State Farm Insuranceinsurance violation2024WA-INS$100,000
NEW YORK LIFE INSURANCE COMPANYNew York Life Insuranceinsurance violation2024WA-INS$46,328
Progressive Specialty Insurance CompanyProgressiveinsurance violation2023MD-INS$38,500
Standard Fire Insurance CompanyTravelersinsurance violation2023TX-INS$25,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2024TX-INS$24,000
XL Insurance America Inc.AXAinsurance violation2023TX-INS$24,000
Travelers Casualty & Surety CompanyTravelersinsurance violation2023TX-INS$22,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$18,000
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$17,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2024TX-INS$17,000
Ace American Insurance CompanyChubb Limitedinsurance violation2024TX-INS$17,000
Safety National Casualty CorporationTokio Marineinsurance violation2023TX-INS$17,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$17,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2023TX-INS$15,000
Everest Premier Insurance CompanyEverest Re Groupinsurance violation2023TX-INS$13,500
AIU Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$12,500
Phoenix Insurance CompanyTravelersinsurance violation2023TX-INS$12,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$12,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$11,000
T.H.E. Insurance CompanyAXAinsurance violation2024TX-INS$10,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2023TX-INS$10,000
AIG Property Casualty CompanyAmerican International Groupinsurance violation2023TX-INS$9,000
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2023VA-INS$8,800
Liberty Mutual Personal Insurance CompanyLiberty Mutual Insuranceinsurance violation2024MD-INS$8,500
AIU Insurance CompanyAmerican International Groupinsurance violation2024TX-INS$8,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$7,500
Ace American Insurance CompanyChubb Limitedinsurance violation2024TX-INS$6,200
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$6,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2024MD-INS$5,000
Allstate Indemnity CompanyAllstateinsurance violation2024MD-INS$5,000
Acadia Insurance CompanyW.R. Berkleyinsurance violation2024TX-INS$5,000
QBE Insurance CorporationQBE Insuranceinsurance violation2023TX-INS$5,000
United Wisconsin Insurance Co.AF Groupinsurance violation2023TX-INS$5,000
AMERITAS LIFE INSURANCE CORPAmeritas Mutual Holding Companyinsurance violation2024WA-INS$5,000
STANDARD INSURANCE COMPANYMeiji Yasuda Life Insuranceinsurance violation2024WA-INS$5,000
SUN LIFE ASSURANCE COMPANY OF CANADASun Life Financialinsurance violation2024WA-INS$5,000
Barclays Bank PLCBarclaysinsider trading2007SEC$10,943,561
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.insider trading2006SEC$3,755,839
CitifinancialCitigrouphousing program violation2010MULTI-FIN$1,250,000
US BankU.S. Bancorphousing code violation2016CA-LACA$13,500,000
GM ACCEPTANCE CORP TRUCK & BUS GRPAlly Financialhazardous waste violation2006IN-ENV$57,750
RR DONNELLEY & SONS COChatham Asset Managementhazardous waste violation2006IN-ENV$9,563
RR DONNELLEY & SONS COChatham Asset Managementhazardous waste violation2001IN-ENV$15,800
RR DONNELLEY & SONS COChatham Asset Managementhazardous waste violation2001IN-ENV$9,200
MORGAN STANLEYMorgan Stanleyhazardous waste violation2014EPA$10,000
CitibankCitigroupgambling industry violation2002NY-AG$100,000
CommerceWest BankCommerceWest Bankfraud2015DOJ_CRIMINAL$4,900,000
ConvergEx Group LLCToronto-Dominion Bankfraud2014DOJ_CRIMINAL$43,800,000
Crawford Healthcare Management of Norfolk & BaltimoreCrawford & Co.fraud2003DOJ_CRIMINAL$8,000,000
Banc of America Securities LLCBank of Americafraud2007SEC$26,000,000
State Street CorporationState Street Corp.fraud2017DOJ_CRIMINAL$32,300,000
Allied Home MortgageAmericus Mortgagefraud2017USAO$296,298,325
AmSouth BancorporationRegions Financialfraud2004USAO$40,000,000
Credit LyonnaisCredit Agricolefraud2003USAO$100,000,000
Republic New York SecuritiesHSBCfraud2001USAO$569,000,000
HSBC Holdings plcHSBCfraud2018DOJ_CRIMINAL$100,000,000
BMO Harris Bank, N.A.Bank of Montrealfraud2018USAO$10,000,000
Bank of AmericaBank of Americafraud2016DC-AG$13,000,000
Bank of AmericaBank of Americafraud2010DC-AG$13,502,852
Wells Fargo & CompanyWells Fargofraud2020DOJ_CIVIL$3,000,000,000
Vitol Inc.Vitolfraud2020CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $95,700,000
JPMorgan Chase & Co.JPMorgan Chasefraud2020DOJ_CRIMINAL(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $920,000,000
State Street CorporationState Street Corp.fraud2021USAO$115,000,000
Credit Suisse Group AGUBSfraud2021DOJ_CRIMINAL$175,500,000
NatWest Markets PlcNatWest Group PLCfraud2021DOJ_CRIMINAL$35,000,000
Nomura Securities InternationalNomurafraud2023USAO$35,000,000
Aon CorporationAonForeign Corrupt Practices Act2011DOJ_CRIMINAL$1,760,000
BNY MellonBank of New York MellonForeign Corrupt Practices Act2015SEC$14,800,000
Allianz SEAllianzForeign Corrupt Practices Act2012SEC$12,396,423
Aon CorporationAonForeign Corrupt Practices Act2011SEC$14,545,020
Och-Ziff Capital Management Group LLCSculptor Capital ManagementForeign Corrupt Practices Act2016DOJ_CRIMINAL$213,000,000
JPMorgan SecuritiesJPMorgan ChaseForeign Corrupt Practices Act2016DOJ_CRIMINAL$72,000,000
Och-Ziff Capital Management GroupSculptor Capital ManagementForeign Corrupt Practices Act2016SEC$199,045,167
JPMorgan Chase & Co.JPMorgan ChaseForeign Corrupt Practices Act2016SEC$130,000,000
Omega AdvisorsOmega AdvisorsForeign Corrupt Practices Act2007USAO$500,000
Credit Suisse (Hong Kong) LimitedUBSForeign Corrupt Practices Act2018DOJ_CRIMINAL$47,029,916
Societe Generale S.A.Societe GeneraleForeign Corrupt Practices Act2018DOJ_CRIMINAL$860,000,000
Legg Mason Inc.Franklin ResourcesForeign Corrupt Practices Act2018DOJ_CRIMINAL$64,200,000
Legg Mason Inc.Franklin ResourcesForeign Corrupt Practices Act2018SEC$34,500,000
Credit Suisse Group AGUBSForeign Corrupt Practices Act2018SEC$29,700,000
Deutsche Bank AGDeutsche BankForeign Corrupt Practices Act2019SEC$16,178,850
Barclays PLCBarclaysForeign Corrupt Practices Act2019SEC$6,308,726
World Acceptance CorporationWorld Acceptance CorporationForeign Corrupt Practices Act2020SEC$21,700,000
Vitol Inc.VitolForeign Corrupt Practices Act2020DOJ_CRIMINAL$135,000,000
Goldman Sachs Group Inc.Goldman SachsForeign Corrupt Practices Act2020DOJ_CRIMINAL$2,921,088,000
Goldman Sachs Group Inc.Goldman SachsForeign Corrupt Practices Act2020SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,006,000,000
Deutsche BankDeutsche BankForeign Corrupt Practices Act2021DOJ_CRIMINAL$87,091,424
Deutsche Bank AGDeutsche BankForeign Corrupt Practices Act2021SEC$43,000,000
Credit Suisse Group AGUBSForeign Corrupt Practices Act2021SEC$99,000,000
Glencore International A.G. and Glencore Ltd.GlencoreForeign Corrupt Practices Act2022DOJ_CRIMINAL(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,185,000,000
Jardine Lloyd Thompson Group Holdings Ltd.Marsh & McLennanForeign Corrupt Practices Act2022DOJ_CRIMINAL$29,081,951
Gunvor S.A.Gunvor GroupForeign Corrupt Practices Act2024DOJ_CRIMINAL$661,698,515
Trafigura Beheer B.V. TrafiguraForeign Corrupt Practices Act2024DOJ_CRIMINAL$126,998,297
American Family Life Assurance Co., known as AflacAflacFamily and Medical Leave Act2012WHD$16,882
Univest Corporation of PennsylvaniaUnivest FinancialFamily and Medical Leave Act2016WHD$5,076
Wells Fargo Bank, N. A.Wells FargoFamily and Medical Leave Act2016WHD$11,874
BMO Harris Bank N.A.Bank of MontrealFamily and Medical Leave Act2015WHD$11,304
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.