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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
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$7,500
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2022TX-INS$8,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2022TX-INS$24,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$8,000
XL Insurance America Inc.AXAinsurance violation2022TX-INS$5,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$11,000
Standard Fire Insurance CompanyTravelersinsurance violation2022TX-INS$8,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$22,000
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$9,500
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$20,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$5,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$58,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2022TX-INS$5,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$5,500
XL Specialty Insurance CompanyAXAinsurance violation2022TX-INS$10,500
Travelers Personal Insurance Company et al.Travelersinsurance violation2022TX-INS$7,344,048
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$17,500
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2022TX-INS$7,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$9,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$24,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$21,800
Mitsui Sumitomo Insurance Company of AmericaMS&AD Insuranceinsurance violation2022TX-INS$23,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$12,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$22,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$22,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$35,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$27,000
LPL Financial LLCLPL Financialinvestor protection violation2022TX-SEC$125,000
Travelers Personal Insurance CompanyTravelersinsurance violation2022VA-INS$167,427
Hartford Casualty Insurance Company et al.Hartford Financial Servicesinsurance violation2022VA-INS$30,030
AMERICAN FAMILY MUTUAL INSURANCE COMPANY S.I.American Family Insuranceinsurance violation2022WA-INS$10,000
STANDARD INSURANCE COMPANYMeiji Yasuda Life Insuranceinsurance violation2022WA-INS$25,000
UNITED SERVICES AUTOMOBILE ASSOCIATION et a.USAAinsurance violation2022WA-INS$50,000
STANDARD FIRE INSURANCE COMPANYTravelersinsurance violation2022WA-INS$15,000
Cash America West, Inc. and First Cash, Inc.FirstCashwage and hour violation2022WA-SOLS$383,873
Deutsche Bank Trust Company AmericasDeutsche Bankbanking violation2022FED$105,500
The Bank of New York Mellon CorporationBank of New York Mellonemployment discrimination2022OFCCP$1,925,000
Goldman Sachs Asset Management, L.P.Goldman Sachsinvestor protection violation2022SEC$4,000,000
Allstate InsuranceAllstateprivacy violation2022private lawsuit-federal$4,500,000
Academy Mortgage CorporationAcademy Mortgage Corp.False Claims Act and related2022DOJ_CIVIL$38,500,000
Danske Bank A/SDanske Bankanti-money-laundering deficiencies2022DOJ_CRIMINAL$2,000,000,000
Danske Bank A/SDanske Bankanti-money-laundering deficiencies2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,000,000
Wells Fargo BankWells Fargoconsumer protection violation2022CFPB$3,700,000,000
PNC Capital Markets LLCPNC Financial Servicesinvestor protection violation2022SEC$198,323
Stewart Title Guaranty CorporationStewart Information Servicesprice-fixing or anti-competitive practices2022NY-AG$2,500,000
State Farm Mutual Automobile Insurance Company et al.State Farm Insuranceinsurance violation2022AZ-DIFI$100,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$10,000
Capital One, N.A.Capital One Financialconsumer protection violation2022CA-MULTI$2,000,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2022DE-SEC$72,255
ServiceLink LLCFidelity National Financialinsurance violation2022IN-INS$67,175
Progressive Direct Insurance Company et al.Progressiveinsurance violation2022KS-INS$5,000
Travelers Home and Marine Insurance CompanyTravelersinsurance violation2022KS-INS$26,240
Travelers Personal Insurance CompanyTravelersinsurance violation2022KS-INS$5,980
Natlonstar Mortgage LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2022MN-FIN$10,157
JACKSON NATIONAL LIFE INSURANCE COMPANYJackson Financialinsurance violation2022MO-INS$44,000
BANKERS LIFE AND CASUALTY COMPANYCNO Financialinsurance violation2022MO-INS$38,500
LPL Financial LLCLPL Financialinvestor protection violation2022NH-BSR$10,307
Progressive Casualty Insurance Company et al.Progressiveinsurance violation2022NY-DFS$189,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2022NY-DFS$200,000
American Family Connect Insurance CompanyAmerican Family Insuranceinsurance violation2022NY-DFS$50,000
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$24,750
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$12,000
Security National Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$5,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2022TX-INS$20,000
Ace Fire Underwriters Insurance CompanyChubb Limitedinsurance violation2022TX-INS$6,250
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2022TX-INS$52,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$12,000
Mitsui Sumitomo Insurance Company of AmericaMS&AD Insuranceinsurance violation2022TX-INS$19,500
Praetorian Insurance CompanyQBE Insuranceinsurance violation2022TX-INS$5,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022TX-INS$15,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$40,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2022TX-INS$6,000
Marsh USA, Inc.Marsh & McLennaninsurance violation2022TX-INS$5,200
Selective Insurance Company of South CarolinaSelective Insurance Groupinsurance violation2022VA-INS$5,000
Selective Insurance Company of the SoutheastSelective Insurance Groupinsurance violation2022VA-INS$5,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2022VA-INS$5,000
Selective Way Insurance CompanySelective Insurance Groupinsurance violation2022VA-INS$5,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2022WA-SEC$175,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupprice-fixing or anti-competitive practices2022private lawsuit-federal$35,500,000
Australia and New Zealand Banking Group, Ltd.Australia and New Zealand Banking Groupprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Bank of AmericaBank of Americaprice-fixing or anti-competitive practices2022private lawsuit-federal$26,420,000
Bank of America, N.A.Bank of Americaprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Bank of Nova ScotiaScotiabankprice-fixing or anti-competitive practices2022private lawsuit-federal$12,500,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2022private lawsuit-federal$12,500,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
BNP Paribas SABNP Paribasprice-fixing or anti-competitive practices2022private lawsuit-federal$8,000,000
BNP Paribas, S.A.BNP Paribasprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Chase Bank USA et al.JPMorgan Chaseprice-fixing or anti-competitive practices2022private lawsuit-federal$19,500,000
Citibank N.A.Citigroupprice-fixing or anti-competitive practices2022private lawsuit-federal$9,990,000
Commerzbank AGCommerzbankprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Credit Agricole Corporate and Investment BankCredit Agricoleprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Credit Agricole S.A.Credit Agricoleprice-fixing or anti-competitive practices2022private lawsuit-federal$55,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2022private lawsuit-federal$10,989,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2022private lawsuit-federal$8,875,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2022private lawsuit-federal$60,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2022private lawsuit-federal$11,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2022private lawsuit-federal$8,000,000
Glencore Ltd.Glencoreprice-fixing or anti-competitive practices2022private lawsuit-federal$9,850,000
HSBCHSBCprice-fixing or anti-competitive practices2022private lawsuit-federal$11,000,000
HSBC Bank PLCHSBCprice-fixing or anti-competitive practices2022private lawsuit-federal$42,000,000
ING Bank N.V.INGprice-fixing or anti-competitive practices2022private lawsuit-federal$10,490,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.