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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
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$40,000
AMERICAN FAMILY CONNECT PROPERTY AND CASUALTY INSURANCE COMPANYAmerican Family Insuranceinsurance violation2022WA-INS$40,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$40,000
TRANSAMERICA LIFE INSURANCE COMPANYAegoninsurance violation2023WA-INS$40,000
PEERLESS INDEMNITY INSURANCE CO. ET AL.Liberty Mutual Insuranceinsurance violation2011VA-INS$40,057
Encompass Indemnity CompanyAllstateinsurance violation2014NY-DFS$40,100
Arch Insurance CompanyArch Capitalinsurance violation2014TX-INS$40,143
Alliance Data Systems, Inc.Bread Financial Holdingswage and hour violation2003WHD$40,320
SunTrust BankTruist Financialeconomic sanction violation2005OFAC$40,423
Edward D. Jones & Co. L.P.Jones Financialinvestor protection violation2010MO-SEC$40,500
Washington Federal Bank, National AssociationWashington Federal Inc.banking violation2021OCC$40,500
Great Western BankFirst Interstate Bancsystembanking violation2013FDIC$40,810
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2010TX-INS$41,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2019DE-INS$41,200
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$41,474
Ace American Insurance CompanyChubb Limitedinsurance violation2021UT-INS$41,500
Vitol S.A., Inc.Vitolenvironmental violation2005EPA$41,600
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraenvironmental violation2017TN-ENV$41,760
AMERICAN STRATEGIC INSURANCEProgressiveinsurance violation2017VA-INS$41,962
Zurich American Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$42,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2018TX-INS$42,000
JEFFERSON PILOT LIFE INSURANCELincoln Nationalinsurance violation2001VA-INS$42,000
FARMERS INSURANCE EXCHANGEFarmers Insurance Exchangeinsurance violation2003VA-INS$42,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$42,000
HORACE MANN INSURANCE CO. ET AL.Horace Mann Educators Corp.insurance violation2007VA-INS$42,400
The Tokio Marine and Fire Insurance Company, Ltd. and Trans Pacific Insurance Co.Tokio Marineinsurance violation2003CA-INS$42,500
Fortis Insurance CompanyAssurantinsurance violation2002OR-FIN$42,500
HARTFORD INSURANCE COMPANY OF THE MIDWESTHartford Financial Servicesinsurance violation2006VA-INS$42,800
Wells Fargo BankWells Fargoeconomic sanction violation2005OFAC$42,833
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$42,850
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2009CT-BKG$43,000
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2019CT-INS$43,000
National Interstate Insurance Co.American Financial Groupinsurance violation2011MO-INS$43,000
GMAC Mortgage LLC dba DitechAlly Financialconsumer protection violation2010PA-BKG$43,000
1st Financial Bank U.S.A.1st Financial Bank USAbanking violation2005WI-AG$43,142
BANK OF THE CASCADESFirst Interstate Bancsystembanking violation2008FDIC$43,550
Navient Solutions, LLCNavientconsumer protection violation2023VA-FIN$43,600
BB&TTruist Financialwage and hour violation2011WHD$43,662
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2017TX-INS$44,000
JACKSON NATIONAL LIFE INSURANCE COMPANYJackson Financialinsurance violation2022MO-INS$44,000
IFCO SYSTEMS NA INC DBA PALLET COMPANIES INCTriton Investments Advisersworkplace safety or health violation2010OSHA$44,000
Ace American Insurance CompanyChubb Limitedinsurance violation2014TX-INS$44,079
COMPANION LIFE INSURANCE CO.BlueCross BlueShield of South Carolinainsurance violation2016VA-INS$44,220
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013AK-DBS$44,370
Zurich American Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$44,500
COMMERCE & INDUSTRY INSURANCEAmerican International Groupinsurance violation2012VA-INS$44,518
Bank of AmericaBank of Americaexport control violation2017BIS$44,625
John Hancock Life and Health Insurance CompanyManulife Financialinsurance violation2020RI-FIN$44,877
A.G. Edwards & Sons, Inc.Wells Fargodata submission deficiencies2003CFTC$45,000
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2013HUD$45,000
Brut, LLCNasdaq Inc.investor protection violation2003SEC$45,000
United American Insurance Co.Globe Life Inc.consumer protection violation2003CT-AG$45,000
Prudential Equity Group, Inc.Prudential Financialinvestor protection violation2005AL-SEC$45,000
LendingClub CorporationLendingClub Corp.investor protection violation2013ME-SEC$45,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2010TX-INS$45,000
Ace American Insurance CompanyChubb Limitedinsurance violation2014TX-INS$45,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2016TX-INS$45,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2019TX-INS$45,000
Transamerica Life Insurance CompanyAegoninsurance violation2014UT-INS$45,000
NATIONWIDE MUTUAL INSURANCE ET AL.Nationwideinsurance violation2006VA-INS$45,000
AMERICAN BANKERS INSURANCEAssurantinsurance violation2006VA-INS$45,000
AMERICAN SECURITY INSURANCE COAssurantinsurance violation2006VA-INS$45,000
STANDARD GUARANTY INSURANCE COAssurantinsurance violation2006VA-INS$45,000
ACE CASH EXPRESS, INC.ACE Cash Expressconsumer protection violation2016VA-FIN$45,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2021TX-INS$45,000
Pacific Indemnity CompanyChubb Limitedinsurance violation2021TX-INS$45,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2022SD-INS$45,000
Harleysville Insurance CompanyNationwideinsurance violation2023NY-DFS$45,000
Arthur J Gallagher & Co. Insurance Brokers of California Inc.Arthur J. Gallagher & Co.insurance violation2023NY-DFS$45,300
Nationwide Life Insurance Co. and Nationwide Life and Annuity Insurance Co.Nationwideinsurance violation2018DE-INS$45,500
NYRSTAR CLARKSVILLE, INC.Trafiguraenvironmental violation2010EPA$45,524
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2020MO-INS$45,900
FIDELITY NATIONAL TITLE INSURANCE COMPANYFidelity National Financialinsurance violation2021MO-INS$45,900
USAA General Indemnity Company et al.USAAinsurance violation2023MD-INS$45,900
ProgressiveProgressivewage and hour violation2017private lawsuit-federal$46,000
LendingClub Corp.LendingClub Corp.investor protection violation2015CA-DFPI$46,000
Bank of AmericaBank of Americaenvironmental violation2007CA-SCAQMD$46,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020TX-SEC$46,073
NEW YORK LIFE INSURANCE COMPANYNew York Life Insuranceinsurance violation2024WA-INS$46,328
Seabury & Smith Inc.Marsh & McLennaneconomic sanction violation2005OFAC$46,341
BANCORPSOUTH BANKCadence Bankbanking violation2011FDIC$46,500
Sentry Insurance a Mutual CompanySentry Insurancewage and hour violation2004WHD$46,524
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2014NY-DFS$46,800
Louisiana Generating, LLCMacquarieenvironmental violation2014LA-ENV$46,962
QBE Insurance CorporationQBE Insuranceinsurance violation2014TX-INS$47,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2020CT-INS$47,000
AON Consulting Corporation IncAonwage and hour violation2004WHD$47,131
Goodrich Aviation Technical Services, Inc.Macquariewage and hour violation2005WHD$47,369
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2004FL-OFR$47,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2016MO-INS$47,500
Ace Property and Casualty Insurance Co.Chubb Limitedinsurance violation2016MO-INS$47,500
Ace Fire Underwriters Insurance Co.Chubb Limitedinsurance violation2016MO-INS$47,500
Ace American Insurance Co.Chubb Limitedinsurance violation2016MO-INS$47,500
Regent Insurance Co.QBE Insuranceinsurance violation2019MO-INS$47,500
Elephant Insurance CompanyAdmiral Groupinsurance violation2019VA-INS$47,619
Zurich American Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$47,735
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2013PHMSA$47,800
Bank of the WestBank of Montrealemployment discrimination2011EEOC$48,000
Ace American Insurance CompanyChubb Limitedinsurance violation2011TX-INS$48,000
Hewitt Associates LLCAonwage and hour violation2010WHD$48,103
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2014CO-INS$48,400
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.