Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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)
Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2017 MSHA $37,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $6,418
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $12,855
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2017 MSHA $6,367
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2015 MSHA $13,510
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $6,257
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $5,049
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $13,007
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2015 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $16,762
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2017 MSHA $18,320
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2015 MSHA $10,030
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2019 MSHA $30,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2019 MSHA $6,148
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $6,778
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $10,373
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2021 MSHA $9,446
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2021 MSHA $6,858
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2021 MSHA $11,083
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2021 MSHA $5,844
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2021 MSHA $5,844
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2021 MSHA $6,858
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2011 CFTC $100,000
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2018 SEC $1,250,000
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2019 SEC $647,000
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2020 SEC $3,200,000
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2019 FINRA $2,000,000
Cantor Fitzgerald & Co. Cantor Fitzgerald investor protection violation 2015 FINRA $7,300,000
Cantor Fitzgerald Cantor Fitzgerald investor protection violation 2012 CFTC $700,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce investor protection violation 2005 SEC $125,000,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce accounting fraud or deficiencies 2003 SEC $80,000,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce investor protection violation 2005 NY-AG (*) $125,000,000
California United Bank PacWest Bancorp economic sanction violation 2004 OFAC $7,250
California Physicians' Service dba. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service dba. Blue Shield of California California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service dba. Blue Shield of California California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service dba. Blue Shield of California California Physicians' Service insurance violation 2020 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2002 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2002 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $15,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $20,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $20,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2005 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2005 CA-MHC $100,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $50,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $50,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $500,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $50,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2008 CA-MHC $17,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2008 CA-MHC $45,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2008 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2008 CA-MHC $40,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2008 CA-MHC $1,250,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2009 CA-MHC $12,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2009 CA-MHC $15,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2009 CA-MHC $30,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $300,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $400,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2011 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2011 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2011 CA-MHC $40,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2011 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2011 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2011 CA-MHC $20,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2012 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2012 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2012 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2012 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2012 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $15,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $10,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $5,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)