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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
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
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 ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
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
Unitrin Direct Insurance Co.Kemperinsurance violation2013AZ-DIFI$9,000
Mercury Insurance Co.Mercury General Corporationinsurance violation2006CA-INS$9,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2014CA-MHC$9,000
American Express Travel Related Services Co, Inc.American Expressconsumer protection violation2015FL-OFR$9,000
Sentinel Insurance Company Ltd.Hartford Financial Servicesinsurance violation2011IL-INS$9,000
Lawyers Title Insurance Corp.Fidelity National Financialinsurance violation2007IN-INS$9,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2010IN-SEC$9,000
American Automobile Insurance CompanyAllianzinsurance violation2005MA-INS$9,000
Monumental Life Insurance Co.Aegoninsurance violation2011MD-INS$9,000
USAA Life Insurance Co.USAAinsurance violation2014MD-INS$9,000
Pacific Life Insurance Co.Pacific Lifeinsurance violation2017MD-INS$9,000
Allstate Indemnity Insurance Co.Allstateinsurance violation2010MN-FIN$9,000
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2018NE-DBF$9,000
PHH Mortgage CorporationOcwen Financialconsumer protection violation2011NJ-DBI$9,000
21st Century Centennial Insurance CompanyZurich Insuranceinsurance violation2014NY-DFS$9,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2014NY-DFS$9,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2006OR-FIN$9,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2000TX-SEC$9,000
Fidelity and Guaranty Insurance CompanyFidelity National Financialinsurance violation2009TX-INS$9,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2011TX-INS$9,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2014TX-INS$9,000
Protective Insurance CompanyProgressiveinsurance violation2014TX-INS$9,000
Chubb Indemnity Insurance CompanyChubb Limitedinsurance violation2014TX-INS$9,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2015TX-INS$9,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$9,000
The Travelers Indemnity CompanyTravelersinsurance violation2016TX-INS$9,000
American Home Assurance CompanyAmerican International Groupinsurance violation2016TX-INS$9,000
Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2017TX-INS$9,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2018TX-INS$9,000
Ace American Insurance CompanyChubb Limitedinsurance violation2018TX-INS$9,000
Sentry InsuranceSentry Insuranceinsurance violation2019TX-INS$9,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2019TX-INS$9,000
AMERITAS LIFE INSURANCE CORPAmeritas Mutual Holding Companyinsurance violation2001VA-INS$9,000
PACIFIC LIFE & ANNUITY COMPANYPacific Lifeinsurance violation2001VA-INS$9,000
RELIASTAR LIFE INSURANCE COVoya Financialinsurance violation2001VA-INS$9,000
NEW ENGLAND LIFE INSURANCE CO.Brighthouse Financialinsurance violation2002VA-INS$9,000
HCC LIFE INSURANCE COMPANYTokio Marineinsurance violation2015VA-INS$9,000
National Casualty CompanyNationwideinsurance violation2016WA-INS$9,000
Minnesota Life Insurance Co.Securian Financialinsurance violation2020CT-INS$9,000
PRUDENTIAL INS CO OF AMERPrudential Financialenvironmental violation2018PA-ENV$9,000
GOODRICH AVIATION TECH SRV INCMacquarieenvironmental violation2004WA-ENV$9,000
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2021TX-INS$9,000
National Union Fire Insurance Company of Pittsburgh, PaAmerican International Groupinsurance violation2021LA-INS$9,000
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2006CA-SCAQMD$9,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2014TX-PUC$9,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2022MD-INS$9,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$9,000
WELLS FARGO BANK, NAWells Fargoworkplace safety or health violation2017OSHA$9,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$9,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$8,947
Illinois National Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$8,900
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2012CA-SCAQMD$8,900
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,893
Hanmi BankHanmi Financial Corp.banking violation2007FED$8,835
Waddell & Reed, Inc.Macquarieinvestor protection violation2003FL-OFR$8,800
U.S. BANCORP DBA US BANK MT. VERNON IL OFFICEU.S. Bancorpworkplace safety or health violation2015OSHA$8,775
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2000FL-OFR$8,750
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2012MD-INS$8,750
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2017TX-INS$8,750
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusenvironmental violation2016IN-ENV$8,750
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2010OSHA$8,750
Discover Financial ServicesDiscover Financial Serviceseconomic sanction violation2010OFAC$8,720
LOUIS DREYFUS COMPANY RIVER ELEVATORS, LLCLouis Dreyfusworkplace safety or health violation2017OSHA$8,665
LIBERTY INSURANCE CORP et al.Liberty Mutual Insuranceinsurance violation2017VA-INS$8,652
CLECO CORPORATIONMacquarieworkplace safety or health violation2017OSHA$8,626
Travelers Insurance CompanyTravelersinsurance violation2002MA-INS$8,600
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2014NY-DFS$8,600
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,600
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2014MSHA$8,600
Courier Printing CompanyChatham Asset Managementenvironmental violation2016TN-ENV$8,555
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$8,550
SYNAGRO-WWT, INC.Goldman Sachsworkplace safety or health violation2019OSHA$8,525
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2018CA-MHC$8,500
Nationwide Mutual Insurance Co.Nationwideinsurance violation2007CO-INS$8,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.