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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
AllstateAllstatewage and hour violation2021IL-DOL$85,000
Capital City BankCapital City Bank Groupbanking violation2007FED$85,045
Wilmington Savings Fund Society, Federal Savings BankWSFS Financial Corp.banking violation2019OCC$85,265
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$85,353
State Farm Fire & Casualty Co.State Farm Insuranceinsurance violation2015MO-INS$85,750
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2022VA-INS$86,400
United American Insurance Co.Globe Life Inc.insurance violation2012CO-INS$86,500
John Alden Life Insurance Co.Assurantinsurance violation2012CO-INS$86,500
Allstate Fire and Casualty Insurance CompanyAllstateinsurance violation2022CT-INS$86,500
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2015MO-INS$87,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2007IN-INS$87,500
Rocket Mortgage, LLC fka Quicken Loans, LLCRocket Companies Inc.consumer protection violation2021WA-FIN$87,500
Standard Fire Insurance Co.Travelersinsurance violation2015MO-INS$89,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2014TX-INS$89,000
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2015PHMSA$89,400
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2005FAA$90,000
Goldman Sachs Bank USAGoldman Sachsbanking violation2018FED$90,000
John Alden Life Insurance Co.Assurantinsurance violation2013AZ-DIFI$90,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2020MD-INS$90,000
Genworth Mortgage Insurance Corp.Genworth Financialinsurance violation2015MN-FIN$90,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2014NH-BSR$90,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020NH-BSR$90,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2013NJ-DBI$90,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2015NY-DFS$90,000
Cadaret Grant & Co. Inc.Atria Wealth Solutionsinvestor protection violation2019PA-BKG$90,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2016SC-INS$90,000
SCOR Global Life U.S. Re Insurance Company of TexasSCORinsurance violation2011TX-INS$90,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$90,000
American Home Assurance CompanyAmerican International Groupinsurance violation2015TX-INS$90,000
Fidelity National Title Insurance CompanyFidelity National Financialinsurance violation2019TX-INS$90,000
HARTFORD CASUALTY INSURANCE COMPANYHartford Financial Servicesinsurance violation2020WA-INS$90,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2005FINRA$90,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2005FINRA$90,000
E-Trade SecuritiesMorgan Stanleyinvestor protection violation2001FINRA$90,000
Erie Insurance Company and Erie Insurance ExchangeErie Indemnityinsurance violation2019VA-INS$90,219
UMPQUA BANKUmpqua Holdingsbanking violation2008FDIC$90,240
UBS, Inc.UBSwage and hour violation2013WHD$90,902
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$90,950
Watson Wyatt & Co.Willis Towers Watsonlabor relations violation2005NLRB$91,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2021DE-INS$91,000
Hartford Life and Annuity Insurance CompanyHartford Financial Servicesinsurance violation2012NC-INS$91,500
ACADIA INSURANCE COMPANY ET ALW.R. Berkleyinsurance violation2018VA-INS$91,793
IFCO SYSTEMSTriton Investments Adviserslabor relations violation2013NLRB$91,866
Bristol West Casualty Insurance Company and Bristol West Insurance CompanyZurich Insuranceinsurance violation2020VA-INS$91,872
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2010MO-SEC$92,015
Lawyers Title CompanyFidelity National Financialinsurance violation2018UT-INS$93,500
Zenith Insurance Co.Fairfax Financial Holdingsinsurance violation2012MO-INS$93,842
New York LifeNew York Life Insurancewage and hour violation2016private lawsuit-federal$94,818
HOMESITE INSURANCE COMPANYAmerican Family Insuranceinsurance violation2016VA-INS$94,986
Swiss Re Financial Products CorporationSwiss Reinvestor protection violation2007SEC$95,000
Regions Financial CorporationRegions Financialemployment discrimination2013EEOC$95,000
Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2011MD-INS$95,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2015MT-FIN$95,000
LPL Financial LLCLPL Financialinvestor protection violation2016TX-SEC$95,000
John Hancock Life Insurance CompanyManulife Financialinsurance violation2023RI-FIN$95,000
VITOL SA, INCVitolair pollution violation2002EPA$95,000
Independent BankIndependent Bank Corp. (Michigan)benefit plan administrator violation2011EBSA$95,700
Travelers Indemnity Co. et al.Travelersinsurance violation2016VT-FIN$96,000
The Cincinnati Insurance CompanyCincinnati Financialinsurance violation2021MD-INS$96,980
AMERICAN BANKERS LIFEAssurantinsurance violation2007VA-INS$97,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2000FINRA$97,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2023TX-INS$97,200
Branch Banking and Trust CompanyTruist Financialinvestor protection violation2016SC-SEC$97,500
Synagro West, LLCGoldman Sachswage and hour violation2005WHD$97,862
Peter Cremer North AmericaCremerenvironmental violation2013EPA$98,000
Mutual of Omaha BankFirst Citizens BancSharesbanking violation2019OCC$98,415
Glencore Ltd.Glencoreair pollution violation2013EPA$98,954
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2009FL-OFR$99,000
SCOR Global Life U.S. Re Insurance CompanySCORinsurance violation2011TX-INS$99,000
BUCKEYE PARTNERS LPIFM Investorspipeline safety violation2010PHMSA$100,000
Republic Mortgage Insurance CorporationOld Republic Internationalconsumer protection violation2013CFPB$100,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2011CFTC$100,000
Citigroup Private Bank GP, Inc.Citigroupdata submission deficiencies2009CFTC$100,000
National Australia Bank Ltd.National Australia Bankeconomic sanction violation2007OFAC$100,000
First Tennessee Bank National AssociationFirst Horizon Nationalbanking violation2009OCC$100,000
First National Bank of OmahaFirst National of Nebraskabanking violation2009OCC$100,000
Brown & BrownBrown & Brownemployment discrimination2017EEOC$100,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2015SEC$100,000
Wells Fargo BankWells Fargowage and hour violation2011private lawsuit-federal$100,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2012SEC$100,000
BB&T Securities, LLCTruist Financialinvestor protection violation2018SEC$100,000
Wilmington Trust CompanyM&T Bankinvestor protection violation2007SEC$100,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002SEC$100,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2000SEC$100,000
CitibankCitigroupgambling violation2002NY-AG$100,000
E*TradeMorgan Stanleyprice-fixing or anti-competitive practices2012MULTI-AG$100,000
FleetBoston Financial CorporationBank of Americaprivacy violation2001NY-AG$100,000
Interactive Brokers, LLCInteractive Brokers Groupinvestor protection violation2019NJ-AG$100,000
Morgan Stanley & Co., LLCMorgan Stanleyinvestor protection violation2013NJ-AG$100,000
Santander Securities LLCBanco Santanderconsumer protection violation2019MA-AG$100,000
M&T BankM&T Bankemployment discrimination2020EEOC$100,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2005AL-SEC$100,000
Progressive Casualty Insurance Co. et al.Progressiveinsurance violation2004CA-INS$100,000
Harleysville Mutual Insurance Co.Nationwideinsurance violation2005CA-INS$100,000
Workmen's Auto Insurance Co.Mercury General Corporationinsurance violation2006CA-INS$100,000
Ace Limited Insurance GroupChubb Limitedinsurance violation2014CA-INS$100,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2009CT-INS$100,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2018CT-BKG$100,000
LendingClub Corp.LendingClub Corp.investor protection violation2012FL-OFR$100,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2017KS-INS$100,000
Morgan Stanley D.W., Inc.Morgan Stanleyinvestor protection violation2004KY-FIN$100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.