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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 TypeYearAgency sort iconPenalty Amount
NYRSTAR CLARKSVILLE INC.Trafiguraworkplace safety or health violation2022OSHA$14,400
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2022OSHA$36,250
NEOVIA LOGISTICS DISTRIBUTION LPGoldman Sachsworkplace safety or health violation2022OSHA$24,435
SYNAGRO WEST, LLCGoldman Sachsworkplace safety or health violation2022OSHA$16,200
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2023OSHA$11,786
SYNAGRO-WWT, INC.Goldman Sachsworkplace safety or health violation2023OSHA$16,500
EL PASO ELECTRIC COMPANYJPMorgan Chaseworkplace safety or health violation2023OSHA$10,000
FIFTH THIRD BANK, NATIONAL ASSOCIATIONFifth Third Bancorpworkplace safety or health violation2023OSHA$8,500
NEW YORK LIFE INSURANCE COMPANYNew York Life Insuranceworkplace safety or health violation2023OSHA$6,697
R. R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2023OSHA$5,125
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2023OSHA$8,766
MIDFIRST BANKMidFirst Bankworkplace safety or health violation2023OSHA$5,581
RR DONNELLEY AND SONS, INC.Chatham Asset Managementworkplace safety or health violation2023OSHA$32,262
ACE LimitedChubb Limitedprice-fixing or anti-competitive practices2007PA-AG$9,000,000
Allstate Insurance Co.Allstateprivacy violation2003PA-AG$10,000
Countrywide Financial CorporationBank of Americamortgage abuses2009PA-AG$150,000,000
Amerisave Mortgage CorporationAmeriSave Mortgageconsumer protection violation2009PA-BKG$50,000
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2009PA-BKG$5,000
Allied Home Mortgage Capital CorporationAmericus Mortgageconsumer protection violation2009PA-BKG$8,000
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2010PA-BKG$5,000
GMAC Mortgage LLC dba DitechAlly Financialconsumer protection violation2010PA-BKG$43,000
Freedom Mortgage Corporation dba Jefferson Home Mortgage and LoanFreedom Mortgageconsumer protection violation2010PA-BKG$10,000
Franklin American Mortgage CompanyCitizens Financial Groupconsumer protection violation2010PA-BKG$6,750
New Day Financial LLCNew Day Financial LLCconsumer protection violation2011PA-BKG$57,500
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2011PA-BKG$27,500
Allied Home Mortgage Corporation et al.Americus Mortgageconsumer protection violation2012PA-BKG$10,000
State Farm VP Management Corp.State Farm Insuranceinvestor protection violation2013PA-BKG$75,000
CashCall Inc. et al.CashCall Inc.consumer protection violation2014PA-BKG$1,000,000
MML Investors Services LLCMassachusetts Mutual Life Insuranceinvestor protection violation2015PA-BKG$100,000
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2016PA-BKG$55,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2016PA-BKG$10,000
Edward D. Jones & Co. LPJones Financialinvestor protection violation2016PA-BKG$135,000
ACE Cash Express Inc.ACE Cash Expressconsumer protection violation2017PA-BKG$80,000
Vanguard Advisers Inc.Vanguard Groupinvestor protection violation2017PA-BKG$23,480
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2017PA-BKG$125,000
Cadaret Grant & Co. Inc.Atria Wealth Solutionsinvestor protection violation2019PA-BKG$90,000
Mutual of Omaha Mortgage, Inc.Mutual of Omahaconsumer protection violation2020PA-BKG$7,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020PA-BKG$52,372
Ameritas Investment Company LLCAmeritas Mutual Holding Companyinvestor protection violation2020PA-BKG$100,000
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2021PA-BKG$232,200
LPL Financial, LLCLPL Financialinvestor protection violation2023PA-BKG$190,000
Edward D. Jones & Co., LPJones Financialinvestor protection violation2024PA-BKG$300,000
HARLEYSVILLE MUTUAL INS CONationwideenvironmental violation2016PA-ENV$6,150
BUCKEYE TERM LLCIFM Investorsenvironmental violation2013PA-ENV$7,000
WHEELABRATOR FRACKVILLE ENERGYMacquarieenvironmental violation2012PA-ENV$27,400
WHEELABRATOR FALLS INCMacquarieenvironmental violation2020PA-ENV$12,000
WHEELABRATOR FALLS INCMacquarieenvironmental violation2006PA-ENV$21,079
SYNAGRO CTL LLCGoldman Sachsenvironmental violation2004PA-ENV$20,000
SYNAGRO CTL LLCGoldman Sachsenvironmental violation2003PA-ENV$15,000
RR DONNELLEYChatham Asset Managementenvironmental violation2002PA-ENV$5,000
PRUDENTIAL INS CO OF AMERPrudential Financialenvironmental violation2018PA-ENV$9,000
Buckeye Pipline Co.IFM Investorsenvironmental violation2006PA-ENV$150,000
Wheelabrator Falls Inc.Macquarieenvironmental violation2005PA-ENV$106,849
Affinity Insurance Services Inc.Aoninsurance violation2004PA-INS$5,000
Bristol West Insurance CompanyZurich Insuranceinsurance violation2004PA-INS$10,000
Travelers Indemnity Company of ConnecticutTravelersinsurance violation2004PA-INS$7,500
Great American Alliance Insurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$16,000
Great American Assurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$25,000
Great American Insurance Company of New YorkAmerican Financial Groupinsurance violation2004PA-INS$17,500
Great American Insurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$20,000
Great American Spirit Insurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$25,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2004PA-INS$5,000
Allstate Life Insurance CompanyAllstateinsurance violation2004PA-INS$25,000
Hartford Casualty InsuranceHartford Financial Servicesinsurance violation2004PA-INS$30,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2005PA-INS$50,000
Great American Insurance CompanyAmerican Financial Groupinsurance violation2005PA-INS$150,000
Foremost Insurance Company of Grand Rapids, MichiganZurich Insuranceinsurance violation2005PA-INS$5,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2005PA-INS$5,000
Selective Insurance Company of South CarolinaSelective Insurance Groupinsurance violation2005PA-INS$5,000
Selective Way Insurance CompanySelective Insurance Groupinsurance violation2005PA-INS$5,000
Affinity Insurance Services Inc.Aoninsurance violation2006PA-INS$40,000
Empire Fire & Marine Insurance CompanyZurich Insuranceinsurance violation2006PA-INS$20,000
Northwestern Mutual Investment ServicesNorthwestern Mutualinsurance violation2006PA-INS$10,000
Seabury & Smith Inc.Marsh & McLennaninsurance violation2007PA-INS$25,000
American International Insurance Group Inc.American International Groupinsurance violation2008PA-INS$9,125,400
Liberty Insurance Underwriters Inc.Liberty Mutual Insuranceinsurance violation2008PA-INS$5,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2008PA-INS$40,000
Aon Risk Services Central Inc.Aoninsurance violation2008PA-INS$5,000
Marsh USA Inc.Marsh & McLennaninsurance violation2008PA-INS$50,000
T.H.E. Insurance CompanyAXAinsurance violation2009PA-INS$5,000
Scor Reinsurance CompanySCORinsurance violation2009PA-INS$5,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2009PA-INS$25,000
Jefferson National Life Insurance CompanyNationwideinsurance violation2009PA-INS$5,000
Safeco Insurance Company of IndianaLiberty Mutual Insuranceinsurance violation2010PA-INS$50,000
QBE Insurance CorporationQBE Insuranceinsurance violation2015PA-INS$10,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2015PA-INS$50,000
AGCS Marine Insurance CompanyAllianzinsurance violation2016PA-INS$10,000
Travelers Indemnity Co.Travelersinsurance violation2017PA-INS$100,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2017PA-INS$10,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2022PA-INS$25,000
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2010PHMSA$402,500
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2013PHMSA$290,000
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2014PHMSA$271,300
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2011PHMSA$141,200
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2013PHMSA$102,800
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2010PHMSA$100,000
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2015PHMSA$89,400
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2013PHMSA$83,500
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2011PHMSA$81,400
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2013PHMSA$78,900
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2011PHMSA$74,400
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.