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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
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$14,370,701,61843
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 TypeYearAgencyPenalty Amount sort icon
AMERIPRISE FINANCIAL SERVICES, INC.Ameriprise Financialinvestor protection violation2016VA-SEC$14,000
Bank of North GeorgiaSynovus Financialenvironmental violation2011GA-ENV$14,000
BUCKEYE PIPELINE CO LLPIFM Investorsenvironmental violation2000NJ-ENV$14,000
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$14,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$14,000
IAC Greencastle, LLCInvescoenvironmental violation2022IN-ENV$14,000
Hartford Accident & Indemnity CompanyHartford Financial Servicesinsurance violation2023TX-INS$14,000
Security National Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$14,000
Bank Of AmericaBank of Americawage and hour violation2010MI-LEO$14,000
AIU Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$14,000
Prosper MarketplaceProsper Marketplaceinvestor protection violation2015IN-SEC$13,957
ZURICH AMERICAN INS COZurich Insurancewage and hour violation2018IL-DOL$13,865
Fireman' Fund Insurance Co.Allianzinsurance violation2002FL-OFR$13,850
Nationwide Mutual Insurance CompanyNationwidewage and hour violation2021WHD$13,808
Sentry Insurance, A Mutual CompanySentry Insuranceinsurance violation2012TX-INS$13,750
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2017TX-INS$13,750
Prospect Mortgage LLCHomebridge Financial Serviceswage and hour violation2010WHD$13,728
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.Louis Dreyfusworkplace safety or health violation2011OSHA$13,600
Bank of AmericaBank of Americaeconomic sanction violation2004OFAC$13,573
American Zurich Insurance CompanyZurich Insuranceinsurance violation2016TX-INS$13,571
Central Payment Co., LLCGlobal Payments Inc.wage and hour violation2014WHD$13,560
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$13,510
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2019DE-INS$13,500
Great Plains Specialty Finance, Inc. d/b/a Check 'n GoCNG Financialconsumer protection violation2019NE-DBF$13,500
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2018TX-INS$13,500
Everest National Insurance CompanyEverest Re Groupinsurance violation2019TX-INS$13,500
NEW YORK LIFE INSURANCE CONew York Life Insuranceinsurance violation2002VA-INS$13,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$13,500
Everest Premier Insurance CompanyEverest Re Groupinsurance violation2023TX-INS$13,500
CINCINNATI BELL TELEPHONEMacquarieworkplace safety or health violation2012OSHA$13,500
IFCO SYSTEMS N.A., INC.Triton Investments Advisersworkplace safety or health violation2014OSHA$13,500
THE MCCLATCHY COMPANYChatham Asset Managementworkplace safety or health violation2015OSHA$13,500
BUCKEYE PARTNERS, L.P.IFM Investorsworkplace safety or health violation2019OSHA$13,500
IFCO Systems of North America, Inc.Triton Investments Adviserswage and hour violation2006WHD$13,399
Asurion LLCAsurionemployment discrimination2023DOJ_RIGHTS$13,395
Nationwide InsuranceNationwidewage and hour violation2011WHD$13,331
United States Fidelity and Guaranty CompanyTravelersinsurance violation2014TX-INS$13,307
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$13,268
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$13,268
Lincoln Life Assurance Company of BostonLincoln Nationalinsurance violation2016MD-INS$13,200
IFCO SYSTEMS US, LLCTriton Investments Advisersworkplace safety or health violation2014OSHA$13,073
Wheelabrator Westchester, L.P.Macquarielabor relations violation2005NLRB$13,000
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2017AR-SEC$13,000
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2007FL-OFR$13,000
Property and Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2008FL-OFR$13,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceinsurance violation2010KS-INS$13,000
Great American Insurance Co.American Financial Groupinsurance violation2017KS-INS$13,000
New England Life Insurance CompanyBrighthouse Financialinsurance violation2005MA-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
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$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
Securian FinancialSecurian Financialwage and hour violation2022MI-LEO$12,530
Old National BankOld National Bancorpbanking violation2004OCC$12,500
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2008AZ-DIFI$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
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-FIN$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
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$12,500
Zurich American Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$12,500
AIU Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$12,500
Phoenix Insurance CompanyTravelersinsurance violation2023TX-INS$12,500
AMERICAN FAMILY INSURANCEAmerican Family Insuranceworkplace safety or health violation2012OSHA$12,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.