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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 TypeYear sort iconAgencyPenalty Amount
Western & Southern LifeWestern & Southern Financial Groupwage and hour violation2021MI-LEO$7,000
Freedom MortgageFreedom Mortgagewage and hour violation2021MI-LEO$8,000
Allstate InsuranceAllstatewage and hour violation2021IL-DOL$12,000
RR DonnelleyChatham Asset Managementwage and hour violation2021IL-DOL$174,720
RR DonnelleyChatham Asset Managementwage and hour violation2021IL-DOL$174,600
AllstateAllstatewage and hour violation2021IL-DOL$85,000
AllstateAllstatewage and hour violation2021IL-DOL$75,000
AllstateAllstatewage and hour violation2021IL-DOL$73,000
AllstateAllstatewage and hour violation2021IL-DOL$10,000
GUARANTEED RATE INCGuaranteed Rate Inc.wage and hour violation2021IL-DOL$5,335
FIFTH THIRD SECURITIES INCFifth Third Bancorpwage and hour violation2021IL-DOL$12,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2021NJ-DBI$1,200,000
IAC WAUSEON, LLCInvescoworkplace safety or health violation2021OSHA$10,143
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2021OSHA$16,524
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2021OSHA$10,500
BUCKEYE TERMINALS, LLCIFM Investorsenvironmental violation2021EPA$67,856
Carl OstachIFM Investorsenvironmental violation2021EPA$153,637
BUCKEYE PIPELINE CO LP-BREINIGSVILLE, PAIFM Investorsenvironmental violation2021EPA$153,637
Kevin NishimuraMacquarieenvironmental violation2021EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $230,000
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2021MSHA$6,232
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$10,000
First Midwest BankOld National Bancorpbanking violation2022FED$253,500
Credit Suisse SecuritiesUBSinvestor protection violation2022FINRA$9,000,000
Santander Consumer USABanco Santanderconsumer protection violation2022MA-AG$5,560,000
Mutual of Omaha Mortgage, Inc.Mutual of Omahaconsumer protection violation2022MA-BKG$25,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2022MD-INS$123,105
NavientNavientconsumer protection violation2022MULTI-AG$1,850,000,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2022MULTI-FIN$1,950,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2022OK-SEC$15,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2022RI-FIN$10,000
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyinvestor protection violation2022SEC$4,628,194
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$19,500
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022TX-INS$10,000
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2022TX-INS$10,950
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$6,000
Chubb Seguros Mexico, S.A.Chubb Limitedinsurance violation2022TX-INS$100,000
Philadelphia Indemnity Insurance CompanyTokio Marineinsurance violation2022TX-INS$40,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2022WA-INS$40,000
Allstate Vehicle And Property Insurance CompanyAllstateinsurance violation2022WA-INS$25,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2022WA-INS$25,000
American Family Insurance CompanyAmerican Family Insuranceinsurance violation2022WA-INS$25,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2022WA-INS$50,000
CashCall, Inc. and WS Funding LLCCashCall Inc.consumer protection violation2022AZ-AG$4,800,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$40,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$10,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$10,000
NavientNavientconsumer protection violation2022ID-AG$3,972,316
The Hartford et al.Hartford Financial Servicesinsurance violation2022ID-INS$360,000
ACE American Insurance Co.Chubb Limitedinsurance violation2022ID-INS$156,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2022MD-INS$128,790
The Hartford Casualty Insurance Co. and Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2022MN-FIN$11,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2022MN-FIN$25,000
Transamerica Life Insurance CompanyAegoninsurance violation2022NE-DOI$25,000
Ameritas Investment Co.Ameritas Mutual Holding Companyinvestor protection violation2022NV-SEC$15,000
Navient Corp. and Navient Solutions, LLCNavientconsumer protection violation2022NH-AG$3,590,988
Nationwide Life Insurance CompanyNationwideinsurance violation2022NY-DFS$5,640,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022NY-DFS$2,200,000
Progressive Direct Insurance CompanyProgressiveinsurance violation2022NY-DFS$2,000,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2022ND-INS$5,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2022PA-INS$25,000
National Casualty CompanyNationwideinsurance violation2022RI-FIN$20,000
SYNAGRO WOONSOCKET, LLCGoldman Sachsenvironmental violation2022RI-ENV$120,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2022SD-INS$45,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$7,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$20,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$5,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$12,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$14,000
Ace American Insurance Co.Chubb Limitedinsurance violation2022TX-INS$6,500
Acadia Insurance CompanyW.R. Berkleyinsurance violation2022VT-FIN$100,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2022VT-FIN$640,000
Servicelink, LLCFidelity National Financialconsumer protection violation2022VA-INS$5,000
United Services Automobile Association et al.USAAconsumer protection violation2022VA-INS$71,358
Travelers Indemnity Company et al.Travelersinsurance violation2022WA-INS$20,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2022WA-INS$50,000
Cincinnati Insurance Company et al.Cincinnati Financialinsurance violation2022WA-INS$5,000
Fidelity National Title Company of Washington IncFidelity National Financialinsurance violation2022WA-INS$5,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2022WI-INS$5,000
Bank of AmericaBank of Americaconsumer protection violation2022CFPB$10,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2022FINRA$15,200,000
Bank of America, N.A.Bank of Americadiscriminatory practices (non-employment)2022HUD$15,000
Glencore International A.G. and Glencore Ltd.GlencoreForeign Corrupt Practices Act2022DOJ_CRIMINAL(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,185,000,000
Jardine Lloyd Thompson Group Holdings Ltd.Marsh & McLennanForeign Corrupt Practices Act2022DOJ_CRIMINAL$29,081,951
Banco Popular de Puerto RicoPopular Inc.economic sanction violation2022OFAC$255,938
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022OCC$60,000,000
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.investor protection violation2022SEC$187,000,000
BNY Mellon Investment Adviser, Inc.Bank of New York Melloninvestor protection violation2022SEC$1,500,000
Wells Fargo AdvisorsWells Fargoanti-money-laundering deficiencies2022SEC$7,000,000
First Republic Investment Management, Inc.JPMorgan Chaseinvestor protection violation2022SEC$1,825,953
Allianz Global Investors U.S. LLCAllianzinvestor protection violation2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,024,200,000
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022FINCEN$80,000,000
Allianz Global Investors U.S. LLCAllianzinvestor protection violation2022USAO$5,763,000,000
Kemper Corp.Kemperprivacy violation2022private lawsuit-federal$17,100,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2022CFTC$1,010,828
Glencore International A.G.Glencoreprice-fixing or anti-competitive practices2022CFTC$1,186,000,000
American Express CompanyAmerican Expressemployment discrimination2022DOJ_RIGHTS$29,008
UBS Financial Services Inc.UBSinvestor protection violation2022SEC$25,000,000
New Hampshire Insurance Co.American International Groupinsurance violation2022AK-INS$7,500
LAWYERS TITLE COMPANYFidelity National Financialinsurance violation2022CA-INS$50,000
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2022CA-LCO$9,795
Ticor Title Company of CaliforniaFidelity National Financialwage and hour violation2022CA-LCO$32,017
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.