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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$388,802,802,308
Number of Records: 7,734
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$87,294,650,890329
JPMorgan Chase$39,688,888,209277
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$14,264,317,61841
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
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
NEOVIA LOGISTICS DISTRIBUTION, LLCGoldman Sachsworkplace safety or health violation2018OSHA$10,000
EL PASO ELECTRIC COMPANYJPMorgan Chaseworkplace safety or health violation2023OSHA$10,000
MORGAN STANLEYMorgan Stanleyhazardous waste violation2014EPA$10,000
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2023MSHA$9,979
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020OK-SEC$9,968
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2009MSHA$9,951
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$9,942
Ace American Insurance CompanyChubb Limitedinsurance violation2015TX-INS$9,900
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2019TX-INS$9,900
COMMUNICORP INC.Aflacworkplace safety or health violation2011OSHA$9,900
Solium Financial ServicesMorgan Stanleyinvestor protection violation2021DC-DISB$9,879
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2017MD-INS$9,850
GAS COMPANY LLCMacquarieworkplace safety or health violation2020OSHA$9,832
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2005WHD$9,830
Vitol Inc.Vitolair pollution violation2016EPA$9,814
Metropolitan Life Insurance Co.MetLifeinsurance violation2015MD-INS$9,800
American Family Home Insurance Co.Munich Reinsurance violation2011SC-INS$9,800
LOUIS DREYFUS CITRUS INC.Louis Dreyfusworkplace safety or health violation2006OSHA$9,800
THE KEMPER COMPANYKemperworkplace safety or health violation2012OSHA$9,800
The Standard Fire Insurance CompanyTravelersinsurance violation2014TX-INS$9,795
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2022CA-LCO$9,795
Combined Insurance Company of AmericaChubb Limitedinsurance violation2006FL-OFR$9,750
JP Morgan Chase BankJPMorgan Chaseeconomic sanction violation2004OFAC$9,748
Barclays Capital Inc.Barclayswage and hour violation2009WHD$9,707
Great Plains Specialty Finance, Inc. dba Check 'n GoCNG Financialconsumer protection violation2020NE-DBF$9,700
BUCKEYE PORT READING TERMINAL LLCIFM Investorsair pollution violation2009NJ-ENV$9,700
Teachers Insurance & Annuity Assoc of AmericaTIAAwage and hour violation2017WHD$9,678
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020TX-INS$9,675
BANK OF AMERICA CORPBank of Americawage and hour violation2022IL-DOL$9,660
MASS MUTUAL INSTITUTIONAL FUNDSMassachusetts Mutual Life Insuranceworkplace safety or health violation2020OSHA$9,639
JPMorgan Chase Bank, N.A.JPMorgan Chasewage and hour violation2008WHD$9,622
Buckeye Caribbean Terminals, LLCIFM Investorswater pollution violation2016EPA$9,600
RR DONNELLEY & SONS COChatham Asset Managementhazardous waste violation2006IN-ENV$9,563
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsair pollution violation2009NJ-ENV$9,550
Buckeye Terminals, LLCIFM Investorsenvironmental violation2017VA-ENV$9,537
JP Morgan Chase Bank, N.A.JPMorgan Chasewage and hour violation2022WA-DLI$9,526
JP Morgan Chase Bank, N.A.JPMorgan Chasewage and hour violation2022WA-DLI$9,526
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2016TX-INS$9,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$9,500
Chubb Indemnity Insurance CompanyChubb Limitedinsurance violation2019TX-INS$9,500
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
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$9,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$9,500
Globe Life and Accident Insurance CompanyGlobe Life Inc.insurance violation2023MO-INS$9,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$9,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$9,500
XL Specialty Insurance CompanyAXAinsurance violation2023TX-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 Canadawater pollution 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
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2023TX-INS$9,250
Wells Fargo Home Mortgage IncWells Fargowage and hour violation2010MI-LEO$9,222
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 Managementhazardous waste 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
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.