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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
Everest National Insurance CompanyEverest Re Groupinsurance violation2023TX-INS$22,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$22,000
Travelers Casualty & Surety CompanyTravelersinsurance violation2023TX-INS$22,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020GA-SEC$22,104
Royal Bank of CanadaRoyal Bank of Canadainvestor protection violation2009DE-AG$22,156
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$22,250
GE ENERGY MANAGEMENT GRID SOLUTIONS, LLCSynchrony Financialworkplace safety or health violation2015OSHA$22,300
IFCO Systems North America, Inc.Triton Investments Adviserswage and hour violation2009WHD$22,377
Nationwide Life and Annuity Insurance Co.Nationwideinsurance violation2016FL-OFR$22,435
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2013HUD$22,449
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2012PHMSA$22,500
Metropolitan Life Insurance CompanyMetLifeeconomic sanction violation2011OFAC$22,500
ACE Cash Express, Inc.ACE Cash Expresspayday lending violation2015CA-DFPI$22,500
United Casualty Insurance Co.Kemperinsurance violation2018CA-INS$22,500
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2001FL-OFR$22,500
USAA Life Insurance Co.USAAinsurance violation2007FL-OFR$22,500
AIG Property Casualty Co.American International Groupinsurance violation2015MD-INS$22,500
Progressive Specialty Insurance Co.Progressiveinsurance violation2016MD-INS$22,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2015MN-FIN$22,500
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2018MO-INS$22,500
American Home Assurance CompanyAmerican International Groupinsurance violation2009TX-INS$22,500
Federal Insurance CompanyChubb Limitedinsurance violation2017TX-INS$22,500
BUCKEYE PIPE LINE CO LPIFM Investorsenvironmental violation2019IN-ENV$22,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$22,500
XL Specialty Insurance CompanyAXAinsurance violation2023TX-INS$22,500
SENTINEL INSURANCE COMPANY LTDHartford Financial Servicesinsurance violation2014VA-INS$22,891
Merrill Lynch, Pierce, Fenner & Smith, IncBank of Americaeconomic sanction violation2004OFAC$22,904
United Insurance Co.Kemperinsurance violation2013AZ-DIFI$23,000
Continental Western Insurance Co.W.R. Berkleyinsurance violation2019CT-INS$23,000
Hartford Underwriters Insurance Co. et al.Hartford Financial Servicesinsurance violation2019DE-INS$23,000
Time Insurance Co.Haven Holdingsinsurance violation2010FL-OFR$23,000
Great American Insurance Company of New YorkAmerican Financial Groupinsurance violation2014MO-INS$23,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2013TX-INS$23,000
PROGRESSIVE AMERICAN INSURANCE CO.Progressiveinsurance violation2001VA-INS$23,000
American Family Connect Insurance CompanyAmerican Family Insuranceinsurance violation2021NY-DFS$23,000
Principal Life Insurance Co.Principal Financialinsurance violation2021DE-INS$23,000
Mitsui Sumitomo Insurance Company of AmericaMS&AD Insuranceinsurance violation2022TX-INS$23,000
EMPLOYERS INSURANCE OF WAUSAU, A MUTUAL COMPANYLiberty Mutual Insuranceinsurance violation2001FL-OFR$23,075
IFCO SYSTEMS US, LLC SITE146Triton Investments Advisersworkplace safety or health violation2013OSHA$23,099
Security National Insurance Co.Zurich Insuranceinsurance violation2021MO-INS$23,150
US Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2001ND-SEC$23,250
Franklin Templeton Distributors, Inc.Franklin ResourcesFamily and Medical Leave Act2016WHD$23,252
Washington Mutual Bank, F. A.JPMorgan Chaseenvironmental violation2005CA-SCAQMD$23,264
American General Life and Accident Insurance Co.American International Groupinsurance violation2000KS-INS$23,400
Vanguard Advisers Inc.Vanguard Groupinvestor protection violation2017PA-BKG$23,480
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2015MO-INS$23,500
Safety National Casualty CorporationTokio Marineinsurance violation2018TX-INS$23,500
Fidelity National Title Co.Fidelity National Financialconsumer protection violation2010WA-FIN$23,500
Travelers Indemnity Co.Travelersinsurance violation2021TX-INS$23,500
Bank Of AmericaBank of Americawage and hour violation2016MI-LEO$23,500
Bank Of AmericaBank of Americawage and hour violation2016MI-LEO$23,500
Victoria Fire & Casualty Insurance CompanyNationwideinsurance violation2010VA-INS$23,558
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2016TX-FIN$23,608
THE KANSAS CITY STARChatham Asset Managementworkplace safety or health violation2016OSHA$23,696
Combined Life Insurance Company of New YorkChubb Limitedinsurance violation2017NY-DFS$23,740
St. Paul Fire & Marine Insurance Co.Travelersinsurance violation2007FL-OFR$23,750
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2019MD-INS$23,863
Wells Fargo Bank, N.A.Wells Fargoeconomic sanction violation2013OFAC$23,937
Branch Banking and Trust (BB&T)Truist Financialemployment discrimination2010EEOC$24,000
State Farm Fire & Casualty Co. and State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2018DE-INS$24,000
James B. Nutter & CompanyJames B. Nutter & Companyconsumer protection violation2010KY-FIN$24,000
Chubb Indemnity Insurance Co.Chubb Limitedinsurance violation2011TX-INS$24,000
The Netherlands Insurance CompanyLiberty Mutual Insuranceinsurance violation2014TX-INS$24,000
Universal Underwriters Life Insurance CompanyZurich Insuranceinsurance violation2006VA-INS$24,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2022TX-INS$24,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$24,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2024TX-INS$24,000
XL Insurance America Inc.AXAinsurance violation2023TX-INS$24,000
The First American Title Insurance, Co.First American Financialwage and hour violation2005WHD$24,067
National City CorporationPNC Financial Serviceslabor relations violation2009NLRB$24,083
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2009IN-INS$24,150
The Federal Home Loan Mortgage CorporationFreddie Mac (Federal Home Loan Mortgage Corporation)wage and hour violation2011WHD$24,153
Illinois National Insurance CoAmerican International Groupinsurance violation2016TX-INS$24,250
MetLife, Inc.MetLifewage and hour violation2013WHD$24,296
Monumental Life Insurance Co.Aegoninsurance violation2003MS-INS$24,351
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$24,400
NEOVIA LOGISTICS DISTRIBUTION LPGoldman Sachsworkplace safety or health violation2022OSHA$24,435
ServiceLink, LLCFidelity National Financialinsurance violation2019MO-INS$24,450
Valley Forge Life Insurance CompanyPrudential PLCinsurance violation2002MA-INS$24,500
Bank of New YorkBank of New York Melloneconomic sanction violation2003OFAC$24,750
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$24,750
H&R Block Eastern Enterprises IncH&R Blockwage and hour violation2014WHD$24,928
Comerica Securities IncComericawage and hour violation2010MI-LEO$24,968
Sun National BankOceanFirst Financialbanking violation2016OCC$25,000
BNP Paribas Commodity Futures, Ltd.BNP Paribasdata submission deficiencies2008CFTC$25,000
Credit Lyonnais Rouse LimitedCredit Agricoleinvestor protection violation2004CFTC$25,000
First National Bank of OmahaFirst National of Nebraskabanking violation2006OCC$25,000
Bankers Life and CasualtyCNO Financialprivacy violation2008MO-AG$25,000
Continental American Insurance Co.Aflacconsumer protection violation2010MA-AG$25,000
Encompass Insurance Co.Allstateconsumer protection violation2015MA-AG$25,000
Mutual of Omaha Insurance Co.Mutual of Omahaconsumer protection violation2019MA-AG$25,000
United Services Automobile AssociationUSAAconsumer protection violation2010MA-AG$25,000
Wells Fargo Home Mortgage, Inc.Wells Fargoconsumer protection violation2003CA-SCCDA$25,000
Principal Life Insurance Co.Principal Financialinsurance violation2008AK-INS$25,000
Marsh USA Inc.Marsh & McLennaninsurance violation2015AK-INS$25,000
Unum Life Insurance Company of AmericaUnuminsurance violation2014CA-INS$25,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2000CO-INS$25,000
MetLife Securities, Inc.MetLifeinvestor protection violation2012DC-DISB$25,000
Allstate Insurance Co.Allstateinsurance violation2011DE-INS$25,000
Titan Indemnity Co.Nationwideinsurance violation2014DE-INS$25,000
Indiana Insurance Co.Liberty Mutual Insuranceinsurance violation2010IL-INS$25,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.