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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
IAC Springfield, LLCInvescoFamily and Medical Leave Act2015WHD$5,377
HSBC North America IncHSBCwage and hour violation2006WHD$5,357
GUARANTEED RATE INCGuaranteed Rate Inc.wage and hour violation2021IL-DOL$5,335
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2020MSHA$5,332
Bristol West Insurance Co.Zurich Insuranceinsurance violation2008ID-INS$5,330
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2014TX-INS$5,325
Indiana Eastern Railroad3i Infrastructure PLCrailroad safety violation2013FRA$5,300
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2017TX-INS$5,300
Ace American Insurance CompanyChubb Limitedinsurance violation2017TX-INS$5,255
Carolina Coastal Railway3i Infrastructure PLCrailroad safety violation2014FRA$5,250
City National BankRoyal Bank of Canadabanking violation2010OCC$5,250
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$5,250
BUCKEYE PENNSAUKEN TERMINAL LLCIFM Investorsenvironmental violation2012NJ-ENV$5,250
IFCO SYSTEMS NORTH AMERICATriton Investments Advisersworkplace safety or health violation2004OSHA$5,250
BOWNE & COMPANY, INC.Chatham Asset Managementworkplace safety or health violation2006OSHA$5,250
DEUTSCHE BANK USADeutsche Bankworkplace safety or health violation2013OSHA$5,250
IMPERIAL SUGAR COMPANYLouis Dreyfusenvironmental violation2009EPA$5,240
IFCO SYSTEMS DBA VALLEY WOOD PRODUCTS, INC.Triton Investments Advisersworkplace safety or health violation2006OSHA$5,226
BUSEY BANKFirst Busey Corp.banking violation2006FDIC$5,200
United American Insurance Co.Globe Life Inc.insurance violation2013MD-INS$5,200
Sentry Insurance a Mutual CompanySentry Insuranceinsurance violation2011MO-INS$5,200
Marsh USA, Inc.Marsh & McLennaninsurance violation2022TX-INS$5,200
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INCInvescoworkplace safety or health violation2007OSHA$5,200
COUNTRYWIDE FINANCIAL CORPORATION,Bank of Americawage and hour violation2008CA-LCO$5,164
Wells Fargo BankWells FargoFamily and Medical Leave Act2006WHD$5,152
R. R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2023OSHA$5,125
Compass BankPNC Financial Serviceswage and hour violation2005WHD$5,105
Great Plains Specialty Finance, Inc., d/b/a Check 'n goCNG Financialconsumer protection violation2016NE-DBF$5,100
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2007OSHA$5,100
CITIMORTGAGE, INC.Citigroupworkplace safety or health violation2007OSHA$5,097
IFCO SYSTEMS N.A. INC.Triton Investments Advisersworkplace safety or health violation2013OSHA$5,082
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2010MSHA$5,080
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2010MSHA$5,080
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2015MSHA$5,080
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$5,080
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$5,080
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$5,080
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2014TX-INS$5,079
Univest Corporation of PennsylvaniaUnivest FinancialFamily and Medical Leave Act2016WHD$5,076
American Express Bank Ltd.American Expresseconomic sanction violation2004OFAC$5,041
RR DONNELLEY RENO OFFSETChatham Asset Managementworkplace safety or health violation2011OSHA$5,024
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2011MSHA$5,016
J P Morgan ChaseJPMorgan ChaseFamily and Medical Leave Act2007WHD$5,008
Keybank National AssociationKeyCorpbanking violation2015OCC$5,005
Carolina Coastal Railway3i Infrastructure PLCrailroad safety violation2012FRA$5,000
Nyrstar Clarksville, Inc.Trafigurarailroad safety violation2010FRA$5,000
Peter Cremer CompanyCremerrailroad safety violation2011FRA$5,000
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2005FAA$5,000
UBS (USA) IncUBSeconomic sanction violation2003OFAC$5,000
TD BanknorthToronto-Dominion Banklabor relations violation2006NLRB$5,000
CINCINNATI BELL TELEPHONE A DIVISION OF BROADWINGMacquarielabor relations violation2005NLRB$5,000
NEOVIA LOGISTICSGoldman Sachsaviation safety violation2015FAA$5,000
East Penn Railroad LLC3i Infrastructure PLCrailroad safety violation2017FRA$5,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$5,000
Bankers Life and Casualty CompanyCNO Financialprivacy violation2002KY-AG$5,000
Discover Financial Services, Inc./Millenium Teleservices, Inc.Discover Financial Servicesprivacy violation2002KY-AG$5,000
HealthNow New YorkHighmark Inc.consumer protection violation2005NY-AG$5,000
PNC BankPNC Financial Servicesprivacy violation2002KY-AG$5,000
Aon Risk Services Inc. of WashingtonAoninsurance violation2002AK-INS$5,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2013AR-INS$5,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2011AR-SEC$5,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2019AR-SEC$5,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2012AZ-DIFI$5,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2019CA-MHC$5,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2019CA-MHC$5,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2007CO-INS$5,000
ING USA Annuity and Life Insurance Co.Voya Financialinsurance violation2007CO-INS$5,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2010CT-SEC$5,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2019CT-INS$5,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2018DC-DISB$5,000
New York Life Insurance and Annuity Corp.New York Life Insuranceinsurance violation2018DE-INS$5,000
AXA Equitable Life Insurance Co.Equitable Holdingsinsurance violation2018DE-INS$5,000
Illinois National Insurance Co.American International Groupinsurance violation2003FL-OFR$5,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2004FL-OFR$5,000
Scottsdale Insurance Co.Nationwideinsurance violation2005FL-OFR$5,000
State Farm Florida Insurance Co.State Farm Insuranceinsurance violation2005FL-OFR$5,000
Travelers Casualty & Surety Company of America et al.Travelersinsurance violation2011IA-INS$5,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2009ID-INS$5,000
Time Insurance Co.Haven Holdingsinsurance violation2014ID-INS$5,000
Nationwide Life Insurance Co.Nationwideinsurance violation2015ID-INS$5,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2015ID-INS$5,000
Transamerica Life Insurance Co.Aegoninsurance violation2017ID-INS$5,000
Arch Insurance Co.Arch Capitalinsurance violation2019ID-INS$5,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2004IL-SEC$5,000
Victoria Fire & Casualty Co.Nationwideinsurance violation2003IN-INS$5,000
Safeco Insurance Co. of AmericaLiberty Mutual Insuranceinsurance violation2005IN-INS$5,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceinsurance violation2009IN-INS$5,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2010IN-INS$5,000
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2012IN-INS$5,000
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2019IN-INS$5,000
United Services Automobile AssociationUSAAinsurance violation2001KS-INS$5,000
Metropolitan Property and Casualty Co.Zurich Insuranceinsurance violation2006KS-INS$5,000
St. Paul Fire & Marine Insurance Co.Travelersinsurance violation2006KS-INS$5,000
Old Republic Insurance Co.Old Republic Internationalinsurance violation2009KS-INS$5,000
Progressive Direct Insurance Co.Progressiveinsurance violation2009KS-INS$5,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2012KS-INS$5,000
Seneca Insurance Co.Fairfax Financial Holdingsinsurance violation2014KS-INS$5,000
Mortgage Access Corp. dba Weichert Financial ServicesWeichert Financial Servicesconsumer protection violation2009KY-FIN$5,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2011KY-FIN$5,000
Stonegate Mortgage Corp.Home Point Capitalconsumer protection violation2013KY-FIN$5,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2019KY-FIN$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.