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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 TypeYear sort iconAgencyPenalty Amount
Edward D. Jones & Co., LPJones Financialinvestor protection violation2024PA-BKG$300,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2024NY-DFS$150,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2024OR-FIN$100,000
STATE FARM FIRE & CASUALTY COMPANY et al.State Farm Insuranceinsurance violation2024WA-INS$100,000
NEW YORK LIFE INSURANCE COMPANYNew York Life Insuranceinsurance violation2024WA-INS$46,328
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2024TX-INS$24,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2024TX-INS$17,000
Ace American Insurance CompanyChubb Limitedinsurance violation2024TX-INS$17,000
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
Liberty Mutual Personal Insurance CompanyLiberty Mutual Insuranceinsurance violation2024MD-INS$8,500
AIU Insurance CompanyAmerican International Groupinsurance violation2024TX-INS$8,000
Ace American Insurance CompanyChubb Limitedinsurance violation2024TX-INS$6,200
Northwestern Mutual Investment Services LLCNorthwestern Mutualinvestor protection violation2024ME-SEC$5,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2024MD-INS$5,000
Allstate Indemnity CompanyAllstateinsurance violation2024MD-INS$5,000
Acadia Insurance CompanyW.R. Berkleyinsurance violation2024TX-INS$5,000
AMERITAS LIFE INSURANCE CORPAmeritas Mutual Holding Companyinsurance violation2024WA-INS$5,000
STANDARD INSURANCE COMPANYMeiji Yasuda Life Insuranceinsurance violation2024WA-INS$5,000
SUN LIFE ASSURANCE COMPANY OF CANADASun Life Financialinsurance violation2024WA-INS$5,000
Gunvor S.A.Gunvor GroupForeign Corrupt Practices Act2024DOJ_CRIMINAL$661,698,515
Allianz Asset Management of AmericaAllianzbenefit plan administrator violation2024private lawsuit-federal$7,500,000
State Farm Life Insurance Co.State Farm Insuranceconsumer protection violation2024private lawsuit-federal$65,000,000
Banner BankBanner Corp.wage and hour violation2024private lawsuit-federal$15,000,000
Australia and New Zealand Banking Group Ltd.Australia and New Zealand Banking Groupinvestor protection violation2024CFTC$500,000
U.S. Bank, N.A.U.S. Bancorpinvestor protection violation2024CFTC$6,000,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsinvestor protection violation2024CFTC$1,000,000
JPMorgan Chase & Co.JPMorgan Chasebanking violation2024FED$98,200,000
Trafigura Beheer B.V. TrafiguraForeign Corrupt Practices Act2024DOJ_CRIMINAL$126,998,297
JPMorgan Chase Bank, N.A.JPMorgan Chasebanking violation2024OCC$250,000,000
Bank of America N.A.Bank of Americaconsumer protection violation2024private lawsuit-federal$8,000,000
Nationstar Mortgage LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2024private lawsuit-federal$3,587,214
Rocket Mortgage, LLCRocket Companies Inc.discriminatory practices (non-employment)2024HUD$95,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.