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
Scottrade, Inc. Charles Schwab Corp. investor protection violation 2015 FINRA $2,600,000
Scottrade, Inc. Charles Schwab Corp. investor protection violation 2015 FINRA $300,000
Scottrade, Inc. Charles Schwab Corp. investor protection violation 2010 FINRA $200,000
Scottrade, Inc. Charles Schwab Corp. investor protection violation 2005 FINRA $250,000
Scottrade, Inc. Charles Schwab Corp. investor protection violation 2004 FINRA $16,000
Scottsdale Insurance Co. Nationwide insurance violation 2010 AZ-INS $37,500
Scottsdale Insurance Co. Nationwide insurance violation 2005 FL-OFR $5,000
Scottsdale Insurance Co. Nationwide insurance violation 2021 NH-INS $10,579
Scottsdale Insurance Company Nationwide insurance violation 2000 MA-INS $26,208
Seabury & Smith Inc. Marsh & McLennan economic sanction violation 2005 OFAC $46,341
Seabury & Smith Inc. Marsh & McLennan insurance violation 2007 PA-INS $25,000
Seabury & Smith, Inc. Marsh & McLennan insurance violation 2006 AK-INS $6,530
Seabury & Smith, Inc. Marsh & McLennan insurance violation 2009 AK-INS $39,378
Seacoast National Bank Seacoast Banking Corporation of Florida banking violation 2013 OCC $26,950
Seacoast National Bank Seacoast Banking Corporation of Florida banking violation 2006 OCC $16,500
Securian Financial Services Inc. Securian Financial investor protection violation 2009 TX-SEC $50,000
Securian Financial Services, Inc. Securian Financial investor protection violation 2020 AK-DBS $10,000
Securian Financial Services, Inc. Securian Financial investor protection violation 2009 MO-SEC $79,445
Securian Financial Services, Inc. Securian Financial consumer protection violation 2013 NE-DBF $5,500
Security Life of Denver Insurance Co. Voya Financial insurance violation 2016 FL-OFR $25,000
Security Life of Denver Insurance Company Voya Financial insurance violation 2008 PA-INS $20,000
Security National Insurance Co. Zurich Insurance insurance violation 2002 FL-OFR $31,500
Security National Insurance Co. Zurich Insurance insurance violation 2015 MO-INS $16,090
Security National Insurance Co. Zurich Insurance insurance violation 2020 WA-INS $5,000
Security National Insurance Company Zurich Insurance insurance violation 2018 TX-INS $40,000
SELECTIVE INSURANCE CO. ET AL. Selective Insurance Group insurance violation 2018 VA-INS $10,000
Selective Insurance Co. of America Selective Insurance Group insurance violation 2004 NJ-DBI $25,000
SELECTIVE INSURANCE CO., ET AL. Selective Insurance Group insurance violation 2010 VA-INS $66,000
Selective Insurance Companies Selective Insurance Group insurance violation 2018 NY-DFS $4,666,268
Selective Insurance Company of America Selective Insurance Group insurance violation 2015 MN-FIN $15,000
Selective Insurance Company of America Selective Insurance Group insurance violation 2014 NY-DFS $50,000
Selective Insurance Company of America Selective Insurance Group insurance violation 2019 TX-INS $6,500
Selective Insurance Company of America Selective Insurance Group insurance violation 2011 VA-INS $8,000
SELECTIVE INSURANCE COMPANY OF AMERICA Selective Insurance Group insurance violation 2017 VA-INS $339,333
Selective Insurance Company of America Selective Insurance Group insurance violation 2019 VA-INS $10,137
Selective Insurance Company of America Selective Insurance Group insurance violation 2020 OR-FIN $10,000
Selective Insurance Company of New York Selective Insurance Group insurance violation 2014 NY-DFS $50,000
Selective Insurance Company of South Carolina Selective Insurance Group insurance violation 2005 PA-INS $5,000
Selective Insurance Company of South Carolina Selective Insurance Group insurance violation 2014 TN-INS $10,000
Selective Insurance Company of South Carolina et al. Selective Insurance Group insurance violation 2016 MD-INS $8,000
Selective Insurance Company of the Southeast Selective Insurance Group insurance violation 2011 WI-INS $5,000
Selective Way Insurance Company Selective Insurance Group insurance violation 2014 NY-DFS $50,000
Selective Way Insurance Company Selective Insurance Group insurance violation 2005 PA-INS $5,000
Seneca Ins Co. Inc. Fairfax Financial Holdings insurance violation 2004 MS-INS $5,000
Seneca Insurance Co. Fairfax Financial Holdings insurance violation 2014 KS-INS $5,000
Seneca Insurance Co. Fairfax Financial Holdings insurance violation 2005 NJ-DBI $72,256
Seneca Insurance Co. Inc. Fairfax Financial Holdings insurance violation 2004 MS-INS $5,000
Seneca Insurance Company, Inc. Fairfax Financial Holdings insurance violation 2013 NY-DFS $50,000
Sentinel Insurance Co. Hartford Financial Services insurance violation 2019 CT-INS $84,000
Sentinel Insurance Company Hartford Financial Services insurance violation 2018 NY-DFS $1,816,596
SENTINEL INSURANCE COMPANY Hartford Financial Services insurance violation 2007 VA-INS $5,000
SENTINEL INSURANCE COMPANY LTD Hartford Financial Services insurance violation 2012 VA-INS $66,735
SENTINEL INSURANCE COMPANY LTD Hartford Financial Services insurance violation 2014 VA-INS $22,891
Sentinel Insurance Company Ltd Hartford Financial Services insurance violation 2012 WA-INS $30,000
Sentinel Insurance Company Ltd. Hartford Financial Services insurance violation 2011 IL-INS $9,000
Sentinel Insurance Company Ltd. Hartford Financial Services insurance violation 2013 SD-INS $5,000
Sentinel Insurance Company Ltd. Hartford Financial Services insurance violation 2010 TX-INS $10,000
Sentinel Insurance Company, Ltd Hartford Financial Services insurance violation 2016 TX-INS $32,000
Sentinel Insurance Company, Ltd. Hartford Financial Services insurance violation 2014 NY-DFS $16,700
Sentinel Insurance Company, Ltd. Hartford Financial Services insurance violation 2020 TX-INS $10,000
Sentry Insurance Sentry Insurance consumer protection violation 2014 MA-AG $53,430
Sentry Insurance Sentry Insurance insurance violation 2008 TX-INS $5,000
Sentry Insurance Sentry Insurance insurance violation 2014 TX-INS $17,731
Sentry Insurance Sentry Insurance insurance violation 2015 TX-INS $20,000
Sentry Insurance Sentry Insurance insurance violation 2016 TX-INS $12,000
Sentry Insurance Sentry Insurance insurance violation 2019 TX-INS $9,000
Sentry Insurance A Mutual Co. Sentry Insurance insurance violation 2015 AZ-INS $20,000
Sentry Insurance a Mutual Company Sentry Insurance wage and hour violation 2004 WHD $46,524
Sentry Insurance A Mutual Company Sentry Insurance insurance violation 2005 FL-OFR $7,500
Sentry Insurance A Mutual Company Sentry Insurance insurance violation 2001 MA-INS $14,500
Sentry Insurance a Mutual Company Sentry Insurance insurance violation 2011 MO-INS $5,200
Sentry Insurance a Mutual Company Sentry Insurance insurance violation 2018 MO-INS $15,000
Sentry Insurance A Mutual Company Sentry Insurance insurance violation 2011 UT-INS $6,000
Sentry Insurance Group Sentry Insurance insurance violation 2015 SD-INS $125,000
Sentry Insurance, A Mutual Company Sentry Insurance insurance violation 2010 TX-INS $7,200
Sentry Insurance, A Mutual Company Sentry Insurance insurance violation 2012 TX-INS $13,750
ServiceLink Holdings, LLC Fidelity National Financial banking violation 2017 FED $65,000,000
Seterus Inc. Mr. Cooper Group mortgage abuses 2019 MULTI-FIN $350,000
Seterus, Inc. Mr. Cooper Group labor relations violation 2013 NLRB $72,162
Seterus, Inc. Mr. Cooper Group consumer protection violation 2014 NH-BKG $10,000
SG Americas Securities LLC Societe Generale investor protection violation 2015 SEC $1,011,093
SG Americas Securities LLC Societe Generale investor protection violation 2020 SEC $1,550,000
SG Americas Securities LLC (Societe Generale) Societe Generale investor protection violation 2018 SEC $800,000
SG Americas Securities, Inc. Societe Generale investor protection violation 2013 FINRA $675,000
SG Americas Securities, LLC Societe Generale investor protection violation 2016 CFTC $750,000
SG Americas Securities, LLC Societe Generale investor protection violation 2009 SEC $8,384,932
SG Americas Securities, LLC Societe Generale investor protection violation 2020 FINRA $1,550,000
SG Americas Securities, LLC Societe Generale investor protection violation 2005 FINRA $4,478,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation Cowen Inc. investor protection violation 2004 SEC $125,000
SG Cowen Securities Corporation Cowen Inc. investor protection violation 2003 SEC $5,000,000
SG Cowen, LLC Cowen Inc. investor protection violation 2004 FINRA $800,000
Sherwin Alumina Company, LLC Glencore environmental violation 2015 TX-ENV $58,500
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2001 MSHA $5,000
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2002 MSHA $25,000
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2004 MSHA $36,800
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $29,529
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $9,634
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $6,996
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $6,458
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $27,259
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $5,504
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)