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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
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
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
TMX Finance, LLCTMX Financewage and hour violation2016WHD$6,353
RR DONNELLEY ATLANTAChatham Asset Managementworkplace safety or health violation2014OSHA$6,352
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2013MSHA$6,351
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2020TX-INS$6,350
IAC SPRINGFIELD LLCInvescoworkplace safety or health violation2014OSHA$6,350
CITIZENS FINANCIAL GROUP, INC.Citizens Financial Groupworkplace safety or health violation2017OSHA$6,338
Reliance Standard Life Insurance Co.Tokio Marineinsurance violation2009KS-INS$6,300
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$6,300
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2018TX-INS$6,300
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLCInvescoworkplace safety or health violation2014OSHA$6,300
BOYD CORPORATIONGoldman Sachsworkplace safety or health violation2019OSHA$6,300
Transamerica Life Insurance Co.Aegoninsurance violation2012CO-INS$6,270
FEDERAL INSURANCE COMPANYChubb Limitedinsurance violation2017VA-INS$6,261
Trustmark National BankTrustmarkbanking violation2012OCC$6,250
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$6,250
UBS Financial Services Inc.UBSwage and hour violation2018WHD$6,246
Bank of AmericaBank of Americawage and hour violation2008WHD$6,209
United Services Automobile AssociationUSAAinsurance violation2018OR-FIN$6,200
ERIE INSURANCE EXCHANGEErie Indemnityinsurance violation2003VA-INS$6,200
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$6,200
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$6,200
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2020MSHA$6,159
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2013VA-INS$6,154
National City Mortgage, Co.PNC Financial Serviceswage and hour violation2004WHD$6,150
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2015NE-DBF$6,100
Virginia Surety Company, Inc.Assurantinsurance violation2007OR-FIN$6,100
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$6,062
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2016FRA$6,000
CNG FINANCIAL CORPORATIONCNG Financiallabor relations violation2001NLRB$6,000
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2018FRA$6,000
Interactive Brokers, LLCInteractive Brokers Groupinvestor protection violation2013AR-SEC$6,000
Ticor Title Company of CaliforniaFidelity National Financialinsurance violation2018CA-INS$6,000
Commerce and Industry Insurance Co.American International Groupinsurance violation2005CO-INS$6,000
Old Republic Insurance Co.Old Republic Internationalinsurance violation2006CO-INS$6,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2006CO-INS$6,000
Nationwide Mutual Fire Insurance Co.Nationwideinsurance violation2007CO-INS$6,000
Nationwide Property and Casualty Insurance Co.Nationwideinsurance violation2007CO-INS$6,000
PHH Mortgage Corp. dba Century MortgageOcwen Financialconsumer protection violation2009CT-BKG$6,000
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2014DE-INS$6,000
The Travelers Indemnity Company of America et al.Travelersinsurance violation2020DE-INS$6,000
STANDARD GUARANTY INSURANCE COMPANYAssurantinsurance violation2001FL-OFR$6,000
Globe Life and Accident Insurance Co.Globe Life Inc.insurance violation2001FL-OFR$6,000
Ace American Insurance Co.Chubb Limitedinsurance violation2003FL-OFR$6,000
Continental Western Insurance Co.W.R. Berkleyinsurance violation2012KS-INS$6,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2016KY-FIN$6,000
Axa Insurance Co.AXAinsurance violation2019LA-INS$6,000
Zurich DirectZurich Insuranceinsurance violation2002MA-INS$6,000
Harleysville Worcester Insurance CompanyNationwideinsurance violation2002MA-INS$6,000
CareFirst BlueChoice, Inc.CareFirst of Marylandinsurance violation2013MD-INS$6,000
Carefirst of Maryland, Inc.CareFirst of Marylandinsurance violation2014MD-INS$6,000
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2000ME-INS$6,000
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2001MN-FIN$6,000
United Services Automobile Association et al.USAAinsurance violation2007MO-INS$6,000
Transamerica Life Insurance Co.Aegoninsurance violation2019MO-INS$6,000
Investment Centers of America Inc.LPL Financialinvestor protection violation2006ND-SEC$6,000
MoneyGram Payment Systems, Inc.MoneyGram Internationalconsumer protection violation2008NE-DBF$6,000
Home Loan Center Inc., d/b/a LendingTree LoansLendingTreeconsumer protection violation2012NE-DBF$6,000
Ticor Title Insurance CompanyFidelity National Financialinsurance violation2007OR-FIN$6,000
First American Title Insurance Company of OregonFirst American Financialinsurance violation2008OR-FIN$6,000
Progressive Classic Insurance CompanyProgressiveinsurance violation2013OR-FIN$6,000
Conseco Life Insurance CompanyCNO Financialinsurance violation2004SC-INS$6,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2008TX-INS$6,000
Travelers Casualty and Surety CompanyTravelersinsurance violation2012TX-INS$6,000
Federal Insurance CompanyChubb Limitedinsurance violation2013TX-INS$6,000
The Netherlands Insurance CompanyLiberty Mutual Insuranceinsurance violation2014TX-INS$6,000
Ace American Insurance CompanyChubb Limitedinsurance violation2015TX-INS$6,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2015TX-INS$6,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2015TX-INS$6,000
American Guarantee and Liability Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$6,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$6,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$6,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2017TX-INS$6,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2019TX-INS$6,000
The Phoenix Insurance CompanyTravelersinsurance violation2019TX-INS$6,000
Lincoln National life Insurance CompanyLincoln Nationalinsurance violation2011UT-INS$6,000
Genworth Life and Annuity Insurance CompanyGenworth Financialinsurance violation2011UT-INS$6,000
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2011UT-INS$6,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2007VA-INS$6,000
United Services Automobile AssociationUSAAinsurance violation2007VA-INS$6,000
LIBERTY INSURANCE CORP., ET ALLiberty Mutual Insuranceinsurance violation2009VA-INS$6,000
Travelers Property Casualty Co. of AmericaTravelersinsurance violation2009VA-INS$6,000
FOREMOST INSURANCE CO.Zurich Insuranceinsurance violation2010VA-INS$6,000
Ticor Title CompanyFidelity National Financialinsurance violation2017WA-INS$6,000
Twin City Fire Insurance Co.Hartford Financial Servicesinsurance violation2020TX-INS$6,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020MS-SEC$6,000
AMERICAN ECONOMY INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2020WA-INS$6,000
Buckeye TerminalsIFM Investorsenvironmental violation2019CA-ARB$6,000
Imperial-Savannah, L.P.Louis Dreyfusenvironmental violation2012GA-ENV$6,000
WHEELABRATOR GLOUCESTER COMPANY L PMacquarieenvironmental violation2017NJ-ENV$6,000
CITIGROUPCitigroupenvironmental violation2010NJ-ENV$6,000
Buckeye Texas HUB LLCIFM Investorsenvironmental violation2018TX-RRC$6,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2021MN-FIN$6,000
Arch Insurance Co.Arch Capitalinsurance violation2021TX-INS$6,000
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$6,000
Great American Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2021CT-INS$6,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$6,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2015TX-PUC$6,000
GARNER PRINTINGChatham Asset Managementworkplace safety or health violation2001OSHA$6,000
EL PASO ELECTRICJPMorgan Chaseworkplace safety or health violation2010OSHA$6,000
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2009OSHA$6,000
IFCO SYSTEMS, NORTH AMERICA #409Triton Investments Advisersworkplace safety or health violation2014OSHA$6,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.