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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
Cincinnati Insurance Co.Cincinnati Financialinsurance violation2007FL-OFR$65,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2001MA-INS$65,000
Allied Property & Casualty Insurance Co. et al.Nationwideinsurance violation2006MO-INS$65,000
Fortis Insurance Co.Assurantinsurance violation2004MT-FIN$65,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2009OR-FIN$65,000
Property and Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2018TX-INS$65,000
FEDERAL INSURANCE CO., ET AL.Chubb Limitedinsurance violation2004VA-INS$65,000
Genworth Life Insurance Co.Genworth Financialinsurance violation2012WI-INS$65,000
Synagro Central, LLCGoldman Sachsenvironmental violation2012VA-ENV$65,000
Allstate Property and Casualty et al.Allstateinsurance violation2022RI-FIN$65,000
STATE FARM FIRE AND CASUALTY CO.State Farm Insuranceinsurance violation2022MN-FIN$65,000
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2011CO-INS$66,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2015CO-INS$66,000
Provident Funding Associates, LPProvident Funding Associatesconsumer protection violation2011KY-FIN$66,000
SELECTIVE INSURANCE CO., ET AL.Selective Insurance Groupinsurance violation2010VA-INS$66,000
ACE LimitedChubb Limitedeconomic sanction violation2019OFAC$66,212
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2013PHMSA$66,400
TRUMBULL INSURANCE COMPANYHartford Financial Servicesinsurance violation2010VA-INS$66,684
SENTINEL INSURANCE COMPANY LTDHartford Financial Servicesinsurance violation2012VA-INS$66,735
American International Insurance Co. and AIG National Insurance Company, Inc.American International Groupinsurance violation2003FL-OFR$66,750
THE GENERAL AUTOMOBILE INSURANCE CO.American Family Insuranceinsurance violation2018VA-INS$66,996
ServiceLink LLCFidelity National Financialinsurance violation2022IN-INS$67,175
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2014SEC$67,200
Wells Fargo Bank, N.AWells Fargoeconomic sanction violation2010OFAC$67,500
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2017MD-INS$67,500
Travelers Casualty and Surety Co.Travelersinsurance violation2018MD-INS$67,500
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017UT-INS$67,500
USAA General Indemnity Co. et al.USAAinsurance violation2020MD-INS$67,500
Investment Professionals Inc.Ameriprise Financialinvestor protection violation2014SEC$67,800
BUCKEYE TERMINALS, LLCIFM Investorsenvironmental violation2021EPA$67,856
Chubb National Insurance Co.Chubb Limitedinsurance violation2012MO-INS$68,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2011TX-INS$68,000
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2022CT-INS$68,000
BANK OF THE WESTBank of Montrealbanking violation2010FDIC$68,200
Nationwide Credit, Inc.Altisource Portfolio Solutionswage and hour violation2005WHD$68,433
Safeco Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2007MO-INS$68,524
Fidelity National Title Insurance CompanyFidelity National Financialkickbacks and bribery2007HUD$68,635
ALLIED PROPERTY & CASUALTY INSURANCE CO.Nationwideinsurance violation2016VA-INS$68,669
Northwestern MutualNorthwestern Mutualwage and hour violation2016MI-LEO$68,815
Arch Insurance Co.Arch Capitalinsurance violation2021TX-INS$69,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$69,000
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2013PHMSA$69,100
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CO-SEC$69,338
ALLSTATEAllstateworkplace safety or health violation2002OSHA$69,500
CNO Services, LLCCNO Financialwage and hour violation2010WHD$69,610
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$69,750
German American BancorpGerman American Bancorpbanking violation2013FDIC$70,000
Grandbridge Real Estate Capital, LLCTruist Financiallabor relations violation2015NLRB$70,000
Wilmington Trust Co.M&T Bankemployment discrimination2004EEOC$70,000
Permanent General Assurance Corp.American Family Insuranceinsurance violation2011AZ-DIFI$70,000
John Hancock Life Insurance Co.Manulife Financialinsurance violation2011CA-INS$70,000
Progressive Direct Insurance Co.Progressiveinsurance violation2018MD-INS$70,000
Illinois Farmers Insurance Co.Zurich Insuranceinsurance violation2008MN-FIN$70,000
Fortis Insurance Co. et al.Assurantinsurance violation2004MT-FIN$70,000
AXA Art Insurance CorporationAXAinsurance violation2015NY-DFS$70,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$70,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2018TX-INS$70,000
LM General Insurance CompanyLiberty Mutual Insuranceinsurance violation2019UT-INS$70,000
Progressive Northern Insurance Co.Progressiveinsurance violation2001WI-INS$70,000
Vitol, Inc.Vitolenvironmental violation2014CA-ARB$70,000
THE HENNEGAN COMPANYChatham Asset Managementenvironmental violation2004KY-ENV$70,000
Schwab Capital Markets, L.P.UBSinvestor protection violation2004FINRA$70,000
UBS Financial Services, Inc.UBSinvestor protection violation2013DE-AG$70,077
Praetorian Insurance Co. and QBE Insurance Corp. and QBE Speciality Insurance Co.QBE Insuranceinsurance violation2019DE-INS$70,100
Transamerica Life Insurance CompanyAegonwage and hour violation2015WHD$70,143
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2012CO-INS$70,400
Compass BankPNC Financial Servicesbanking violation2009FED$70,625
Litton Loan ServicingOcwen Financialconsumer protection violation2010MD-FIN$71,000
Saxon Mortgage ServicesOcwen Financialconsumer protection violation2010MD-FIN$71,000
Standard Fire Insurance CompanyTravelersinsurance violation2018OR-FIN$71,200
United Services Automobile Association et al.USAAconsumer protection violation2022VA-INS$71,358
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$72,000
Seterus, Inc.Mr. Cooper Grouplabor relations violation2013NLRB$72,162
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2022DE-SEC$72,255
Seneca Insurance Co.Fairfax Financial Holdingsinsurance violation2005NJ-DBI$72,256
BB&TTruist Financialwage and hour violation2018private lawsuit-federal$72,336
The First American Title CompanyFirst American Financialwage and hour violation2006WHD$72,363
VICTORIA FIRE AND CASUALTY CO.Nationwideinsurance violation2014VA-INS$72,400
CITIGROUP GLOBAL MARKETS INCCitigroupinvestor protection violation2004VA-SEC$72,486
UBS Financial Services Inc.UBSinvestor protection violation2012NH-BSR$72,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023CT-INS$72,500
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$72,600
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2015NY-DFS$72,975
John Hancock Life Insurance Company of New YorkManulife Financialinsurance violation2017NY-DFS$73,000
First American Title Insurance Company:First American Financialinsurance violation2014UT-INS$73,000
AllstateAllstatewage and hour violation2021IL-DOL$73,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2010MO-INS$73,113
JP Morgan Chase & Co.JPMorgan Chaseeconomic sanction violation2004OFAC$73,281
Trafigura AGTrafiguraenvironmental violation2012EPA$73,465
IFCO SYSTEMS NORTH AMERICA INC.Triton Investments Advisersworkplace safety or health violation2011OSHA$73,950
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2011MO-INS$74,000
Ace American Insurance CompanyChubb Limitedinsurance violation2010TX-INS$74,000
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2011PHMSA$74,400
CIT Group Inc.First Citizens BancSharesexport control violation2005BIS$74,800
American General Financial ServicesOneMain Holdingsconsumer protection violation2009WA-FIN$74,984
Ace America's Cash ExpressACE Cash Expresswage and hour violation2004CA-LCO$75,000
Knight Securities, L.P.Virtu Financialinvestor protection violation2002SEC$75,000
Josephthal & Co., Inc.Oppenheimer Holdingsinvestor protection violation2002SEC$75,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2018GA-AG$75,000
Citigroup Global Markets Inc.Citigroupconsumer protection violation2009CT-BKG$75,000
Wachovia Securities, LLC nka Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2010CT-SEC$75,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.