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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
American Alternative Insurance Corporation et al.Munich Reinsurance violation2013WA-INS$10,000
Hartford Fire Insurance Company And Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2013WA-INS$10,000
Fidelity & Guaranty Life Insurance CompanyFidelity National Financialinsurance violation2014WA-INS$10,000
Time Insurance Company IiHaven Holdingsinsurance violation2015WA-INS$10,000
Transamerica Casualty Insurance CompanyAegoninsurance violation2015WA-INS$10,000
Allstate Indemnity Company et al.Allstateinsurance violation2015WA-INS$10,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2015WA-INS$10,000
Qbe Insurance CorporationQBE Insuranceinsurance violation2016WA-INS$10,000
American Family Connect Property And Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2016WA-INS$10,000
State Farm Fire & Casualty CompanyState Farm Insuranceinsurance violation2017WA-INS$10,000
Farmers Insurance Company Of WashingtonZurich Insuranceinsurance violation2017WA-INS$10,000
Hartford Insurance Company The MidwestHartford Financial Servicesinsurance violation2017WA-INS$10,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017WA-INS$10,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companyinsurance violation2017WA-INS$10,000
Depositors Insurance CompanyNationwideinsurance violation2017WA-INS$10,000
Berkley National Insurance CompanyW.R. Berkleyinsurance violation2018WA-INS$10,000
Ticor Title CompanyFidelity National Financialinsurance violation2018WA-INS$10,000
American Strategic Insurance CorpProgressiveinsurance violation2018WA-INS$10,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2018WA-INS$10,000
Horace Mann Insurance CompanyHorace Mann Educators Corp.insurance violation2018WA-INS$10,000
State Farm Life Insurance CompanyState Farm Insuranceinsurance violation2018WA-INS$10,000
American Automobile Insurance CompanyAllianzinsurance violation2018WA-INS$10,000
Banner Life Insurance CompanyLegal & General Group PLCinsurance violation2019WA-INS$10,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020WA-INS$10,000
Liberty Insurance Underwriters Inc.Liberty Mutual Insuranceinsurance violation2000WI-INS$10,000
National Union Fire Ins Co. of PittsburghAmerican International Groupinsurance violation2003WI-INS$10,000
National Union Fire Ins Co. of PittsburghAmerican International Groupinsurance violation2003WI-INS$10,000
Universal Underwriters Service Corp.Zurich Insuranceinsurance violation2008WI-INS$10,000
Nationwide Life Insurance Co.Nationwideinsurance violation2020CT-INS$10,000
Travelers Property Casualty Co. of AmericaTravelersinsurance violation2020TX-INS$10,000
Sentinel Insurance Company, Ltd.Hartford Financial Servicesinsurance violation2020TX-INS$10,000
Arch Insurance Co.Arch Capitalinsurance violation2020WA-INS$10,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2020OR-FIN$10,000
CONTINENTAL WESTERN INSURANCE COMPANYW.R. Berkleyinsurance violation2020WA-INS$10,000
AMERICAN ECONOMY INSURANCE COMPANY ET AL.Liberty Mutual Insuranceinsurance violation2020WA-INS$10,000
Trafigura Beheer B.V. AmsterdamTrafiguraenvironmental violation2012CA-ARB$10,000
GlencoreGlencoreenvironmental violation2006CA-ARB$10,000
HANOVER INSURANCE GROUPHanover Insuranceenvironmental violation2002MA-ENV$10,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2021MN-FIN$10,000
BUCKEYE RARITAN BAY TERMINALIFM Investorsenvironmental violation2013NJ-ENV$10,000
BUCKEYE PIPELINE CO LLPIFM Investorsenvironmental violation2008NJ-ENV$10,000
Synagro - WWT, Inc.Goldman Sachsenvironmental violation2005OH-ENV$10,000
Travelers Home and Marine Insurance CompanyTravelersinsurance violation2021WA-INS$10,000
UBS International Inc.UBSinvestor protection violation2005FINRA$10,000
UBS Securities, L.L.C.UBSinvestor protection violation2004FINRA$10,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2001FINRA$10,000
Spear, Leeds & KelloggGoldman Sachsinvestor protection violation2001FINRA$10,000
Chase Securities, Inc.JPMorgan Chaseinvestor protection violation2001FINRA$10,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2001FINRA$10,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$10,000
E-Trade Financial Corporate Services, Inc.Morgan Stanleyconsumer protection violation2021CT-BKG$10,000
Transamerica Life Insurance CompanyAegoninsurance violation2020CT-INS$10,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020CT-INS$10,000
Standard Insurance CompanyMeiji Yasuda Life Insuranceinsurance violation2020CT-INS$10,000
Principal Life Insurance CompanyPrincipal Financialinsurance violation2020CT-INS$10,000
American Guarantee and Liability Insurance CompanyZurich Insuranceinsurance violation2020CT-INS$10,000
United Services Automobile Association et al.USAAinsurance violation2021VA-INS$10,000
HSBC SECURITIES USA INCHSBCinsurance violation2021WA-INS$10,000
State Farm Fire & Casualty CoState Farm Insuranceinsurance violation2021WI-INS$10,000
Fannie MaeFannie Maecampaign finance violation2004FEC$10,000
QBE Insurance Corp.QBE Insuranceinsurance violation2021TX-INS$10,000
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2021WI-INS$10,000
New York Life Insurance Company and New York Life Insurance and Annuity CorporationNew York Life Insuranceinsurance violation2021MT-FIN$10,000
Old Republic National Title Insurance CompanyOld Republic Internationalinsurance violation2021NH-INS$10,000
Generali - U.S. Branch dba The General Insurance Company of Trieste & VeniceAssicurazioni Generaliinsurance violation2021OR-FIN$10,000
XL Insurance America, Inc.AXAinsurance violation2021TX-INS$10,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2021VA-SEC$10,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2021WA-INS$10,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2021WA-INS$10,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2021WA-INS$10,000
Allstate Fire & Casualty Insurance CompanyAllstateinsurance violation2021WA-INS$10,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$10,000
Mercury Air CentersMacquarieenvironmental violation2006CA-SCAQMD$10,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2022RI-FIN$10,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022TX-INS$10,000
Jackson National Life Insurance CompanyJackson Financialinsurance violation2021WA-INS$10,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$10,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$10,000
Fireman's Fund Insurance CompanyAllianzinsurance violation2022TX-INS$10,000
XL Specialty Insurance CompanyAXAinsurance violation2022TX-INS$10,000
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2022MN-FIN$10,000
AMERICAN FAMILY MUTUAL INSURANCE COMPANY S.I.American Family Insuranceinsurance violation2022WA-INS$10,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$10,000
Wells FargoWells FargoAmericans with Disabilities Act2023USAO$10,000
Bankers Life & Casualty CompanyCNO Financialinsurance violation2023CT-INS$10,000
Safety National Casualty CorporationTokio Marineinsurance violation2023TX-INS$10,000
Arch Insurance CompanyArch Capitalinsurance violation2023TX-INS$10,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$10,000
STATE FARM LIFE INSURANCE COMPANYState Farm Insuranceinsurance violation2023WA-INS$10,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2023MI-SEC$10,000
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANYMassachusetts Mutual Life Insuranceinsurance violation2023WA-INS$10,000
AllstateAllstatewage and hour violation2021IL-DOL$10,000
Prosper Marketplace, Inc.Prosper Marketplaceconsumer protection violation2024CO-AG$10,000
MUFG BANK, LTD.U.S. Bancorpbanking violation2024CT-BKG$10,000
James B. Nutter & CompanyJames B. Nutter & Companyconsumer protection violation2024NC-BKG$10,000
T.H.E. Insurance CompanyAXAinsurance violation2024TX-INS$10,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2023TX-INS$10,000
SYNAGRO TECHNOLOGIES INC.Goldman Sachsworkplace safety or health violation2008OSHA$10,000
FARMERS INSURANCE EXCHANGEFarmers Insurance Exchangeworkplace safety or health violation2009OSHA$10,000
WHEELABRATOR SHASTA ENERGY CO, INCMacquarieworkplace safety or health violation2010OSHA$10,000
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2016OSHA$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.