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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $389,040,962,184
Number of Records: 7,780
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$87,294,669,499330
JPMorgan Chase$39,888,888,209278
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,407,380112
NatWest Group PLC$14,264,317,61841
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
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2018NE-DOI$7,500
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2017NH-BSR$7,500
AIG Casualty CompanyAmerican International Groupinsurance violation2007OR-FIN$7,500
Travelers Indemnity Company of ConnecticutTravelersinsurance violation2004PA-INS$7,500
National General InsuranceAllstateinsurance violation2014RI-FIN$7,500
Bristol West Insurance CompanyZurich Insuranceinsurance violation2011SC-INS$7,500
Protective Insurance CompanyProgressiveinsurance violation2014SD-INS$7,500
Union Security Insurance CompanyAssurantinsurance violation2015SD-INS$7,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2008TX-INS$7,500
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2009TX-INS$7,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2009TX-INS$7,500
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2009TX-INS$7,500
Great American Alliance Insurance CompanyAmerican Financial Groupinsurance violation2014TX-INS$7,500
The Travelers Indemnity CompanyTravelersinsurance violation2015TX-INS$7,500
Old Republic National Title Insurance CompanyOld Republic Internationalinsurance violation2016TX-INS$7,500
Ace American Insurance CompanyChubb Limitedinsurance violation2018TX-INS$7,500
The Travelers Indemnity CompanyTravelersinsurance violation2018TX-INS$7,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2019TX-INS$7,500
AMERICAN FAMILY LIFE ASSURANCEAflacinsurance violation2003VA-INS$7,500
PRUDENTIAL INSURANCE COMPANYPrudential Financialinsurance violation2004VA-INS$7,500
PRUCO LIFE INSURANCE COPrudential Financialinsurance violation2004VA-INS$7,500
CONSECO SENIOR HEALTH INS.CNO Financialinsurance violation2005VA-INS$7,500
VICTORIA FIRE AND CASUALTY INSURANCENationwideinsurance violation2009VA-INS$7,500
UNITED OF OMAHA LIFE INSURANCEMutual of Omahainsurance violation2012VA-INS$7,500
TOKIO MARINE KILN SYNDICATES, LTD.Tokio Marineinsurance violation2018VA-INS$7,500
Chicago Insurance CompanyAllianzinsurance violation2010WA-INS$7,500
Fidelity & Guaranty Life Insurance CompanyFidelity National Financialinsurance violation2012WA-INS$7,500
Washington National Insurance CompanyCNO Financialinsurance violation2018WA-INS$7,500
American Family Connect Property And Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2019WA-INS$7,500
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2010WI-INS$7,500
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2012WI-INS$7,500
The Standard Insurance Co.Meiji Yasuda Life Insuranceinsurance violation2020CT-INS$7,500
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2020TX-INS$7,500
CMFG Life Insurance CompanyCUNA Mutualinsurance violation2021VA-INS$7,500
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-SEC$7,500
AMERICAN HEALTH AND LIFE INSURANCE COMPANYOneMain Holdingsinsurance violation2021MO-INS$7,500
Provident Life and Accident Insurance Co.Unuminsurance violation2021CT-INS$7,500
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2021TX-INS$7,500
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$7,500
Standard Fire Insurance Co.Travelersinsurance violation2021TX-INS$7,500
Accident Fund National Insurance Co.AF Groupinsurance violation2021TX-INS$7,500
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$7,500
Allstate Property & Casualty Insurance Company, et al.Allstateinsurance violation2021RI-FIN$7,500
Unitrin Direct Property & Casualty CompanyKemperinsurance violation2021TX-INS$7,500
Allstate Fire & Casualty Insurance Company et al.Allstateinsurance violation2021WA-INS$7,500
R. R. Donnelley & Sons Co.Chatham Asset Managementair pollution violation2013CA-SCAQMD$7,500
Wheelabrator Norwalk Energy Co. Inc.Macquarieair pollution violation2009CA-SCAQMD$7,500
Credit Suisse Energy LLCUBSutility service violation2017TX-PUC$7,500
New Hampshire Insurance Co.American International Groupinsurance violation2022AK-INS$7,500
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$7,500
Brown & Brown Insurance Agency of Virginia, Inc.Brown & Browninsurance violation2014NC-INS$7,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$7,500
Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$7,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$7,500
Safety National Casualty CorporationTokio Marineinsurance violation2024TX-INS$7,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2024TX-INS$7,500
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2024TX-INS$7,500
R R DONNELLEYChatham Asset Managementworkplace safety or health violation2009OSHA$7,500
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2008OSHA$7,500
IAC MADISONVILLE LLCInvescoworkplace safety or health violation2014OSHA$7,500
WHEELABRATOR NORTH ANDOVERMacquarieworkplace safety or health violation2019OSHA$7,500
Morgan Stanley Capital Group, Inc.Morgan Stanleyenvironmental violation2002EPA$7,500
Asset Acceptance, LLCEncore Capital GroupFamily and Medical Leave Act2014WHD$7,450
BUSEY BANKFirst Busey Corp.banking violation2010FDIC$7,445
Navy Federal Credit UnionNavy Federal Credit Unionenvironmental violation2017VA-ENV$7,426
AON SERVICE CORPORATIONAonwage and hour violation2017WHD$7,406
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$7,401
Citicorp Vendor Finance LtdCitigroupeconomic sanction violation2004OFAC$7,379
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006MO-INS$7,373
Auto-Owners Insurance CompanyAuto-Owners Insuranceinsurance violation2016SC-INS$7,356
GUARANTEED RATE INCGuaranteed Rate Inc.wage and hour violation2015IL-DOL$7,291
IAC SPARTANBURGInvescoworkplace safety or health violation2011OSHA$7,277
California United BankPacWest Bancorpeconomic sanction violation2004OFAC$7,250
Regions Financial CorporationRegions FinancialFamily and Medical Leave Act2021WHD$7,210
Sentry Insurance, A Mutual CompanySentry Insuranceinsurance violation2010TX-INS$7,200
GREAT AMERICAN INSURANCE COMPANY ET ALAmerican Financial Groupinsurance violation2006VA-INS$7,200
GREAT AMERICAN INSURANCE COMPANY ET ALAmerican Financial Groupinsurance violation2006VA-INS$7,200
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusair pollution violation2006FL-DEP$7,200
IMPERIAL SUGAR CO.Louis Dreyfusworkplace safety or health violation2010OSHA$7,200
Guaranteed RateGuaranteed Rate Inc.wage and hour violation2018MI-LEO$7,191
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$7,176
LITTON LOAN SERVICING LPOcwen Financialenvironmental violation2010OR-ENV$7,125
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$7,115
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2014NY-DFS$7,100
Hartford Insurance Company of IllinoisHartford Financial Servicesinsurance violation2014NY-DFS$7,100
WHEELABRATOR CONCORD INC.Macquarieworkplace safety or health violation2019OSHA$7,100
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americawage and hour violation2006WHD$7,060
Ace Cash ExpressACE Cash Expressconsumer protection violation2009OH-BKG$7,050
AFB&TSynovus Financialbanking violation2009FDIC$7,040
Philadelphia Indemnity Insurance CompanyTokio Marineinsurance violation2000MA-INS$7,040
Hanover Insurance CompanyHanover Insuranceinsurance violation2001MA-INS$7,040
IFCO SYSTEMS NORTH AMERICA, INC - SITE 711Triton Investments Advisersworkplace safety or health violation2014OSHA$7,040
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020TX-INS$7,025
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2007FAA$7,000
THE COLUMBIA BANKFulton Financialbanking violation2002FDIC$7,000
Hanmi BankHanmi Financial Corp.economic sanction violation2004OFAC$7,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$7,000
Progressive Northern Insurance Co.Progressiveinsurance violation2016DE-INS$7,000
Nationwide Financial ServicesNationwideconsumer protection violation2008FL-OFR$7,000
American General Life and Accident Insurance Co.American International Groupinsurance violation2011MD-INS$7,000
Allied Property and Casualty Insurance Co.Nationwideinsurance violation2008MN-FIN$7,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.