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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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Travelers Casualty and Surety CompanyTravelersinsurance violation2012TX-INS$6,000
Travelers Casualty and Surety CompanyTravelersinsurance violation2015TX-INS$8,000
Travelers Casualty and Surety CompanyTravelersinsurance violation2018TX-INS$11,000
Travelers Casualty and Surety CompanyTravelersinsurance violation2019TX-INS$14,000
Travelers Casualty and Surety Company of AmericaTravelersinsurance violation2011MD-INS$5,000
Travelers Casualty and Surety Company of AmericaTravelersinsurance violation2016TX-INS$100,000
Travelers Casualty and Surety Company of AmericaTravelersinsurance violation2021NY-DFS$75,000
Travelers Casualty Insurance Company of AmericaTravelersinsurance violation2014TX-INS$10,000
Travelers Casualty Insurance Company of America et al.Travelersinsurance violation2016MO-INS$16,000
Travelers Commercial Insurance Co. et al.Travelersinsurance violation2017MD-INS$10,000
Travelers CompaniesTravelersinsurance violation2012CA-INS$10,500,000
Travelers Companies, Inc.Travelersconsumer protection violation2018CT-AG$5,000,000
Travelers Home & Marine Insurance CompanyTravelersinsurance violation2014NY-DFS$100,000
Travelers Home and Marine Insurance Co.Travelersinsurance violation2016MN-FIN$10,000
Travelers Home and Marine Insurance CompanyTravelersinsurance violation2021WA-INS$10,000
Travelers Home and Marine Insurance Company et al.Travelersinsurance violation2021MN-FIN$30,000
Travelers Indemnity Co.Travelersinsurance violation2003FL-OFR$8,000
Travelers Indemnity Co.Travelersinsurance violation2002MN-FIN$5,000
Travelers Indemnity Co.Travelersinsurance violation2017PA-INS$100,000
Travelers Indemnity Co.Travelersinsurance violation2021TX-INS$11,000
Travelers Indemnity Co.Travelersinsurance violation2021TX-INS$23,500
Travelers Indemnity Co.Travelersinsurance violation2021TX-INS$5,000
Travelers Indemnity Co. et al.Travelersinsurance violation2016VT-FIN$96,000
Travelers Indemnity CompanyTravelersinsurance violation2010TX-INS$55,000
Travelers Indemnity CompanyTravelersinsurance violation2010TX-INS$60,000
Travelers Indemnity CompanyTravelersinsurance violation2015TX-INS$10,000
Travelers Indemnity CompanyTravelersinsurance violation2019TX-INS$5,000
Travelers Indemnity CompanyTravelersdiscriminatory practices (non-employment)2018private lawsuit-federal$450,000
Travelers Indemnity Company et al.Travelersinsurance violation2015TX-INS$1,200,000
Travelers Indemnity Company et al.Travelersinsurance violation2022WA-INS$20,000
Travelers Indemnity Company of AmericaTravelersinsurance violation2016MO-INS$20,000
Travelers Indemnity Company of AmericaTravelersinsurance violation2009RI-FIN$5,000
Travelers Indemnity Company of ConnecticutTravelersinsurance violation2004PA-INS$7,500
Travelers Indemnity Company of ConnecticutTravelersinsurance violation2015TX-INS$60,000
Travelers Indemnity Company of IllinoisTravelersinsurance violation2003FL-OFR$20,500
Travelers Insurance CompanyTravelersFalse Claims Act and related2004USAO$10,900,000
Travelers Insurance CompanyTravelersinsurance violation2002MA-INS$8,600
Travelers Lloyds of Texas Insurance CompanyTravelersinsurance violation2017TX-INS$10,000
Travelers Property and Casualty Company of AmericaTravelersinsurance violation2016MO-INS$19,000
Travelers Property and Casualty Company of AmericaTravelersinsurance violation2014TX-INS$17,012
Travelers Property Casualty Co. of AmericaTravelersinsurance violation2009VA-INS$6,000
Travelers Property Casualty Co. of AmericaTravelersinsurance violation2020TX-INS$10,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2010TX-INS$20,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2012TX-INS$25,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2016TX-INS$62,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2018TX-INS$14,500
TravelersCompanies, Inc.Travelersprice-fixing or anti-competitive practices2007MULTI-AG$6,000,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2019CT-INS$141,500
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2017MD-INS$67,500
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2002MT-INS$5,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2020TX-INS$15,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2021TX-INS$5,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2021TX-INS$7,500
Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$10,000
Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2017TX-INS$9,000
Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2018TX-INS$20,000
TRUMBULL INSURANCE COMPANYHartford Financial Servicesinsurance violation2010VA-INS$66,684
Trustmark National BankTrustmarkbanking violation2012OCC$6,250
Trustmark National BankTrustmarkdiscriminatory practices (non-employment)2021CFPB(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
Trustmark National BankTrustmarkbanking violation2021OCC$4,000,000
Twin City Fire Insurance Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Twin City Fire Insurance Co.Hartford Financial Servicesinsurance violation2016MO-INS$62,541
Twin City Fire Insurance Co.Hartford Financial Servicesinsurance violation2020TX-INS$6,000
Twin City Fire Insurance Co. et al.Hartford Financial Servicesinsurance violation2016MD-INS$10,000
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2014TX-INS$5,079
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2015TX-INS$5,500
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2016TX-INS$9,500
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2017TX-INS$8,500
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2017WA-INS$30,000
U.S. BancorpU.S. Bancorpwage and hour violation2006WHD$140,788
U.S. BancorpU.S. Bancorpmortgage abuses2018FED$4,400,000
U.S. BancorpU.S. Bancorpanti-money-laundering deficiencies2018USAO$453,000,000
U.S. BancorpU.S. Bancorpwage and hour violation2017private lawsuit-federal$7,000,000
U.S. BancorpU.S. Bancorpwage and hour violation2017private lawsuit-federal$1,150,000
U.S. BancorpU.S. Bancorpwage and hour violation2014private lawsuit-federal$6,450,000
U.S. BancorpU.S. Bancorpconsumer protection violation2005CA-AG$2,600,000
U.S. BancorpU.S. Bancorpdiscriminatory practices (non-employment)2005private lawsuit-federal$2,495,000
U.S. BANCORP DBA US BANK MT. VERNON IL OFFICEU.S. Bancorpworkplace safety or health violation2015OSHA$8,775
U.S. Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2020SEC$15,992,441
U.S. Bancorp Piper JaffrayPiper Sandlerinvestor protection violation2002FINRA$250,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003SEC$32,500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerdata submission deficiencies2002SEC$1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002SEC$100,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003MT-SEC$2,625,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002NE-DBF$5,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $12,500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
U.S. BankU.S. Bancorpconsumer protection violation2014CFPB$53,000,000
U.S. BankU.S. Bancorpbanking violation2013CFPB$3,200,000
U.S. BankU.S. Bancorpbanking violation2013OCC$208,156,501
U.S. BankU.S. BancorpFalse Claims Act and related2014DOJ_CIVIL$200,000,000
U.S. BankU.S. Bancorpwage and hour violation2008WHD$140,787
U.S. BankU.S. Bancorpwage and hour violation2015private lawsuit-federal$3,031,075
U.S. BankU.S. Bancorpprivacy violation2019private lawsuit-federal$2,670,336
U.S. BankU.S. Bancorpconsumer protection violation2021MA-AG$230,000
U.S. BankU.S. Bancorpbanking violation2022CFPB$37,500,000
U.S. Bank Municipal Securities GroupU.S. Bancorpinvestor protection violation2015SEC$60,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2016OCC$10,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2014OCC$51,900,000
U.S. Bank National AssociationU.S. Bancorpinvestor protection violation2015CFTC$18,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.