Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$336,354,784,532
Number of Records: 
7,048
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 Parent CompaniesTotal Penalty $Number of Records
Bank of America$82,901,469,908264
JPMorgan Chase$36,060,746,133196
Citigroup$25,540,645,217156
Wells Fargo$21,874,892,841221
Deutsche Bank$18,341,457,30276
UBS$16,854,236,33499
Goldman Sachs$16,386,580,99666
NatWest Group PLC$13,516,771,85733
BNP Paribas$12,147,863,95019
Credit Suisse$10,732,400,12649


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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Primary Offense Type Year Agencysort icon Penalty Amount
DITECH INC Ditech Holding Corporation workplace safety or health violation 2014 OSHA $5,880
INTERNATIONAL AUTOMOTIVE COMPONENTS Invesco workplace safety or health violation 2014 OSHA $5,000
IAC SPRINGFIELD, LLC Invesco workplace safety or health violation 2014 OSHA $9,100
IAC MADISONVILLE LLC Invesco workplace safety or health violation 2014 OSHA $7,500
IAC HURON, LLC Invesco workplace safety or health violation 2011 OSHA $20,940
AMERICAN FAMILY INSURANCE American Family Insurance workplace safety or health violation 2012 OSHA $12,500
CINCINNATI BELL TELEPHONE Macquarie workplace safety or health violation 2012 OSHA $13,500
RR DONNELLY COMPANY Chatham Asset Management workplace safety or health violation 2012 OSHA $17,000
STATE FARM INSURANCE State Farm Insurance workplace safety or health violation 2012 OSHA $8,160
THE KEMPER COMPANY Kemper workplace safety or health violation 2012 OSHA $9,800
R.R. DONNELLEY Chatham Asset Management workplace safety or health violation 2013 OSHA $15,400
THE GAS COMPANY, LLC Macquarie workplace safety or health violation 2013 OSHA $7,000
THE GAS COMPANY, LLC Macquarie workplace safety or health violation 2013 OSHA $10,500
R. R. DONNELLEY AND SONS COMPANY Chatham Asset Management workplace safety or health violation 2013 OSHA $7,000
DEUTSCHE BANK USA Deutsche Bank workplace safety or health violation 2013 OSHA $5,250
WELLS FARGO BANK #1692 Wells Fargo workplace safety or health violation 2013 OSHA $12,000
RR DONNELLEY ATLANTA Chatham Asset Management workplace safety or health violation 2014 OSHA $6,352
CITICORP CREDIT CARD SERVICES, INC. (USA) Citigroup workplace safety or health violation 2014 OSHA $7,650
RR DONNELLEY & SONS COMPANY Chatham Asset Management workplace safety or health violation 2014 OSHA $6,510
IAC SPRINGFIELD LLC Invesco workplace safety or health violation 2014 OSHA $6,350
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLC Invesco workplace safety or health violation 2014 OSHA $6,300
ANDERSON LA Chatham Asset Management workplace safety or health violation 2014 OSHA $19,875
RR DONNELLEY & SONS COMPANY Chatham Asset Management workplace safety or health violation 2015 OSHA $5,000
U.S. BANCORP DBA US BANK MT. VERNON IL OFFICE U.S. Bancorp workplace safety or health violation 2015 OSHA $8,775
FIDELITY NATIONAL FINANCIAL, INC. Fidelity National Financial workplace safety or health violation 2015 OSHA $5,605
GE ENERGY MANAGEMENT GRID SOLUTIONS, LLC Synchrony Financial workplace safety or health violation 2015 OSHA $22,300
R.R. DONNELLEY & SONS COMPANY Chatham Asset Management workplace safety or health violation 2015 OSHA $7,000
THE MCCLATCHY COMPANY Chatham Asset Management workplace safety or health violation 2015 OSHA $13,500
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA INC Invesco workplace safety or health violation 2015 OSHA $6,600
RR DONNELLEY AND SONS INC. Chatham Asset Management workplace safety or health violation 2015 OSHA $10,500
RR DONNELLEY Chatham Asset Management workplace safety or health violation 2015 OSHA $5,500
WESTERN UNION Western Union workplace safety or health violation 2015 OSHA $11,000
GEORGIA CASH AMERICA, INC. FirstCash workplace safety or health violation 2015 OSHA $10,920
RR DONNELLEY Chatham Asset Management workplace safety or health violation 2016 OSHA $6,000
RR DONNELLEY Chatham Asset Management workplace safety or health violation 2016 OSHA $15,400
RR DONNELLEY Chatham Asset Management workplace safety or health violation 2016 OSHA $12,934
IMTT- BAYONNE LLC Macquarie workplace safety or health violation 2016 OSHA $87,297
R.R. DONNELLEY & SONS COMPANY Chatham Asset Management workplace safety or health violation 2016 OSHA $10,000
CASH AMERICA FirstCash workplace safety or health violation 2016 OSHA $8,500
NEOVIA LOGISTICS DISTRIBUTION, LLC Goldman Sachs workplace safety or health violation 2016 OSHA $5,000
THE KANSAS CITY STAR Chatham Asset Management workplace safety or health violation 2016 OSHA $23,696
WELLS FARGO BANK, NA Wells Fargo workplace safety or health violation 2017 OSHA $9,000
IAC ALBEMARLE, LLC Invesco workplace safety or health violation 2017 OSHA $7,000
WHEELABRATOR SAUGUS, INC. Macquarie workplace safety or health violation 2017 OSHA $17,600
FITTJE BROS. PRINTING CO. Chatham Asset Management workplace safety or health violation 2017 OSHA $5,000
CLECO CORPORATION Macquarie workplace safety or health violation 2017 OSHA $8,626
LOUIS DREYFUS COMPANY RIVER ELEVATORS, LLC Louis Dreyfus workplace safety or health violation 2017 OSHA $8,665
NEOVIA LOGISTICS SERVICES, LLC Goldman Sachs workplace safety or health violation 2017 OSHA $7,605
CITIZENS FINANCIAL GROUP, INC. Citizens Financial Group workplace safety or health violation 2017 OSHA $6,338
W. R. BERKLEY CORPORATION W.R. Berkley workplace safety or health violation 2017 OSHA $5,000
CLECO CORPORATION Macquarie workplace safety or health violation 2017 OSHA $5,545
HIGHMARK INC. Highmark Inc. workplace safety or health violation 2018 OSHA $25,868
BROADRIDGE FINANCIAL SOLUTIONS Broadridge Financial Solutions workplace safety or health violation 2018 OSHA $15,522
NEOVIA LOGISTICS DISTRIBUTION, LLC Goldman Sachs workplace safety or health violation 2018 OSHA $10,000
WHEELABRATOR MILLBURY INC. Macquarie workplace safety or health violation 2018 OSHA $9,472
BROADRIDGE FINANCIAL SOLUTIONS, INC. Broadridge Financial Solutions workplace safety or health violation 2019 OSHA $8,335
BOYD CORPORATION Goldman Sachs workplace safety or health violation 2019 OSHA $6,300
IMTT-BAYONNE Macquarie workplace safety or health violation 2019 OSHA $113,964
WHEELABRATOR CONCORD INC. Macquarie workplace safety or health violation 2019 OSHA $7,100
WHEELABRATOR NORTH ANDOVER Macquarie workplace safety or health violation 2019 OSHA $7,500
MASS MUTUAL INSTITUTIONAL FUNDS Massachusetts Mutual Life Insurance workplace safety or health violation 2020 OSHA $9,639
GAS COMPANY LLC Macquarie workplace safety or health violation 2020 OSHA $9,832
ASURION, LLC. Asurion workplace safety or health violation 2020 OSHA $5,783
IAC WAUSEON, LLC Invesco workplace safety or health violation 2021 OSHA $10,143
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC. Invesco workplace safety or health violation 2021 OSHA $16,524
ACE Limited Chubb Limited price-fixing or anti-competitive practices 2007 PA-AG $9,000,000
Allstate Insurance Co. Allstate privacy violation 2003 PA-AG $10,000
Countrywide Financial Corporation Bank of America mortgage abuses 2009 PA-AG $150,000,000
Amerisave Mortgage Corporation AmeriSave Mortgage consumer protection violation 2009 PA-BKG $50,000
MLD Mortgage Inc. dba The Money Store MLD Mortgage Inc. dba The Money Store consumer protection violation 2009 PA-BKG $5,000
Allied Home Mortgage Capital Corporation Americus Mortgage consumer protection violation 2009 PA-BKG $8,000
MLD Mortgage Inc. dba The Money Store MLD Mortgage Inc. dba The Money Store consumer protection violation 2010 PA-BKG $5,000
GMAC Mortgage LLC dba Ditech Ally Financial consumer protection violation 2010 PA-BKG $43,000
Freedom Mortgage Corporation dba Jefferson Home Mortgage and Loan Freedom Mortgage consumer protection violation 2010 PA-BKG $10,000
Franklin American Mortgage Company Citizens Financial Group consumer protection violation 2010 PA-BKG $6,750
New Day Financial LLC New Day Financial LLC consumer protection violation 2011 PA-BKG $57,500
MLD Mortgage Inc. dba The Money Store MLD Mortgage Inc. dba The Money Store consumer protection violation 2011 PA-BKG $27,500
Allied Home Mortgage Corporation et al. Americus Mortgage consumer protection violation 2012 PA-BKG $10,000
State Farm VP Management Corp. State Farm Insurance investor protection violation 2013 PA-BKG $75,000
CashCall Inc. et al. CashCall Inc. consumer protection violation 2014 PA-BKG $1,000,000
MML Investors Services LLC Massachusetts Mutual Life Insurance investor protection violation 2015 PA-BKG $100,000
MLD Mortgage Inc. dba The Money Store MLD Mortgage Inc. dba The Money Store consumer protection violation 2016 PA-BKG $55,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2016 PA-BKG $10,000
Edward D. Jones & Co. LP Jones Financial investor protection violation 2016 PA-BKG $135,000
ACE Cash Express Inc. ACE Cash Express consumer protection violation 2017 PA-BKG $80,000
Vanguard Advisers Inc. Vanguard Group investor protection violation 2017 PA-BKG $23,480
Raymond James Financial Services Inc. Raymond James Financial investor protection violation 2017 PA-BKG $125,000
Cadaret Grant & Co. Inc. Atria Wealth Solutions investor protection violation 2019 PA-BKG $90,000
Mutual of Omaha Mortgage, Inc. Mutual of Omaha consumer protection violation 2020 PA-BKG $7,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 PA-BKG $52,372
Ameritas Investment Company LLC Ameritas Mutual Holding Company investor protection violation 2020 PA-BKG $100,000
WHEELABRATOR FRACKVILLE ENERGY Macquarie environmental violation 2012 PA-ENV $27,400
WHEELABRATOR FALLS INC Macquarie environmental violation 2020 PA-ENV $12,000
WHEELABRATOR FALLS INC Macquarie environmental violation 2006 PA-ENV $21,079
RR DONNELLEY Chatham Asset Management environmental violation 2002 PA-ENV $5,000
PRUDENTIAL INS CO OF AMER Prudential Financial environmental violation 2018 PA-ENV $9,000
Wheelabrator Falls Inc. Macquarie environmental violation 2005 PA-ENV $106,849
Affinity Insurance Services Inc. Aon insurance violation 2004 PA-INS $5,000
Bristol West Insurance Company Zurich Insurance insurance violation 2004 PA-INS $10,000
Travelers Indemnity Company of Connecticut Travelers insurance violation 2004 PA-INS $7,500
Great American Alliance Insurance Company American Financial Group insurance violation 2004 PA-INS $16,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)