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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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$14,370,701,61843
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
R.R. DONNELLEYChatham Asset Managementworkplace safety or health violation2013OSHA$15,400
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2016OSHA$15,400
Bank Of AmericaBank of Americawage and hour violation2010MI-LEO$15,406
The McClatchy CompanyChatham Asset Managementlabor relations violation2022NLRB$15,482
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2011TX-INS$15,500
Peerless Insurance CompanyLiberty Mutual Insuranceinsurance violation2014TX-INS$15,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$15,500
Crestbrook Insurance CompanyNationwideinsurance violation2020CT-INS$15,500
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$15,500
BROADRIDGE FINANCIAL SOLUTIONSBroadridge Financial Solutionsworkplace safety or health violation2018OSHA$15,522
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2009NE-DBF$15,550
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020IN-SEC$15,575
Wausau Business Insurance Co.Liberty Mutual Insuranceinsurance violation2008KS-INS$15,622
First Interstate BankFirst Interstate Bancsystembanking violation2005FED$15,750
Buckeye Albany Terminals, LLCIFM Investorsenvironmental violation2018NY-ENV$15,750
RR DONNELLEY & SONS COChatham Asset Managementhazardous waste violation2001IN-ENV$15,800
XL Specialty Insurance Co.AXAinsurance violation2021TX-INS$15,825
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2014TX-INS$15,905
American International GroupAmerican International Groupwage and hour violation2018MI-LEO$15,939
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2022OSHA$15,948
Farmers Insurance Exchange and Truck Insurance ExchangeFarmers Insurance Exchangeinsurance violation2021VA-INS$15,950
Bank of New York MellonBank of New York Mellonbanking violation2018FED$16,000
Time Insurance CompanyHaven Holdingsconsumer protection violation2007MA-AG$16,000
Unigard Insurance Co.QBE Insuranceinsurance violation2010AZ-DIFI$16,000
Federal Insurance Co.Chubb Limitedinsurance violation2005CO-INS$16,000
Bankers Standard Insurance Co. et al.Chubb Limitedinsurance violation2019DE-INS$16,000
Home Loan Center, Inc. dba Lending Tree LoansLendingTreeconsumer protection violation2008KY-FIN$16,000
Travelers Casualty Insurance Company of America et al.Travelersinsurance violation2016MO-INS$16,000
Great American Alliance Insurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$16,000
Wausau Business Insurance CompanyLiberty Mutual Insuranceinsurance violation2012TX-INS$16,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$16,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$16,000
Ace American Insurance CompanyChubb Limitedinsurance violation2015TX-INS$16,000
Federal Insurance CompanyChubb Limitedinsurance violation2016TX-INS$16,000
Pacific Indemnity Co.Chubb Limitedinsurance violation2020CT-INS$16,000
THE FIFTH THIRD BANKFifth Third Bancorpenvironmental violation2006FL-DEP$16,000
BUCKEYE PIPE LINE COIFM Investorsair pollution violation2021NJ-ENV$16,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2004FINRA$16,000
Security National Insurance Co.Zurich Insuranceinsurance violation2015MO-INS$16,090
Principal Life Insurance Co.Principal Financialinsurance violation2002AK-INS$16,095
Principal Life Insurance CompanyPrincipal Financialinsurance violation2019WA-INS$16,150
Nationwide Mutual Insurance CompanyNationwidewage and hour violation2005WHD$16,185
Bankers Life & CasualtyCNO Financialwage and hour violation2017MI-LEO$16,190
CITIZENS BUSINESS BANKCVB Financialbanking violation2009FDIC$16,200
SYNAGRO WEST, LLCGoldman Sachsworkplace safety or health violation2022OSHA$16,200
ALLIED PROPERTY & CASUALTY INSURANCENationwideinsurance violation2014VA-INS$16,201
East West BankEast West Bancorpbanking violation2007FED$16,245
Austin Mutual Insurance CompanyAmerican Family Insurancewage and hour violation2006WHD$16,245
Citigroup, N. A.Citigroupeconomic sanction violation2008OFAC$16,250
Depositors Insurance Co.Nationwideinsurance violation2016MO-INS$16,250
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2007MO-INS$16,272
Transamerica Life Insurance Co.Aegoninsurance violation2015MD-INS$16,300
NATIONWIDE LIFE INSURANCE CO.Nationwideinsurance violation2015VA-INS$16,340
Seacoast National BankSeacoast Banking Corporation of Floridabanking violation2006OCC$16,500
Nationwide Life and Annuity Insurance Co.Nationwideinsurance violation2019CT-INS$16,500
Kemper Auto and Home Insurance Co.Kemperinsurance violation2003FL-OFR$16,500
National General Assurance CompanyAllstateinsurance violation2009RI-FIN$16,500
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2012TX-INS$16,500
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$16,500
Louisiana Generating, LLCMacquarieenvironmental violation2019LA-ENV$16,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$16,500
SYNAGRO-WWT, INC.Goldman Sachsworkplace safety or health violation2023OSHA$16,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$16,514
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2021OSHA$16,524
HSBCHSBCwage and hour violation2007WHD$16,545
Chemoil CorporationGlencorewage and hour violation2013WHD$16,594
American Express Travel Related Services Co., Inc.American Expresseconomic sanction violation2007OFAC$16,625
JP Morgan Chase Bank N.AJPMorgan Chaseemployment discrimination2022CA-CRD$16,698
Sentinel Insurance Company, Ltd.Hartford Financial Servicesinsurance violation2014NY-DFS$16,700
Glacier BankGlacier Bancorpbanking violation2020FDIC$16,750
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2009MSHA$16,830
IAC GREENVILLE, LLCInvescoenvironmental violation2013EPA$16,870
American Family Life Assurance Co., known as AflacAflacFamily and Medical Leave Act2012WHD$16,882
ASI SERVICESProgressiveaviation safety violation2015FAA$17,000
Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2018DE-INS$17,000
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2018DE-INS$17,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2004ND-SEC$17,000
Eaton Vance Income Fund of BostonMorgan Stanleyinvestor protection violation2006NE-DBF$17,000
Navigators Insurance CompanyHartford Financial Servicesinsurance violation2012OR-FIN$17,000
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2010TX-INS$17,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2016TX-INS$17,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2019TX-INS$17,000
FREEDOM MORTGAGE CORPORATIONFreedom Mortgageconsumer protection violation2016VA-FIN$17,000
XL Insurance America, Inc.AXAinsurance violation2021TX-INS$17,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$17,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2024TX-INS$17,000
Ace American Insurance CompanyChubb Limitedinsurance violation2024TX-INS$17,000
Safety National Casualty CorporationTokio Marineinsurance violation2023TX-INS$17,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$17,000
RR DONNELLY COMPANYChatham Asset Managementworkplace safety or health violation2012OSHA$17,000
Travelers Property and Casualty Company of AmericaTravelersinsurance violation2014TX-INS$17,012
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006ND-SEC$17,204
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2001CO-INS$17,250
Globe Life & Accident Insurance Co.Globe Life Inc.insurance violation2012KS-INS$17,250
JP Morgan Chase & Co.JPMorgan Chaseeconomic sanction violation2004OFAC$17,303
Prudential Equity Group, LLCPrudential Financialinvestor protection violation2004FINRA$17,306
Banco Popular North America, Inc.Popular Inc.wage and hour violation2004WHD$17,363
Louis Dreyfus Company Agricultural Industries LLCLouis Dreyfusenvironmental violation2021IN-ENV$17,400
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2012PHMSA$17,500
United Casualty Insurance Company of AmericaKemperinsurance violation2005FL-OFR$17,500
Progressive Classic Insurance Co. et al.Progressiveinsurance violation2016MD-INS$17,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.