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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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Riversource Life Insurance CompanyAmeriprise Financialinsurance violation2023WA-INS$59,613
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2020SEC$65,000,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2021FINRA$69,600,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2022VT-FIN$640,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2023MULTI-FIN$10,200,000
Robinhood Financial LLCRobinhood Marketsprivacy violation2023private lawsuit-federal$20,000,000
Robinhood Financial LLCRobinhood Marketsconsumer protection violation2023private lawsuit-federal$9,900,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2024MA-SEC$7,500,000
Robinhood Financial, LLCRobinhood Marketsinvestor protection violation2019FINRA$1,250,000
Rocket Mortgage, LLC fka Quicken Loans, LLCRocket Companies Inc.consumer protection violation2021MULTI-AG$500,000
Rocket Mortgage, LLC fka Quicken Loans, LLCRocket Companies Inc.consumer protection violation2021WA-FIN$87,500
Royal Bank of CanadaRoyal Bank of Canadainvestor protection violation2014CFTC$35,000,000
Royal Bank of CanadaRoyal Bank of Canadainvestor protection violation2009DE-AG$22,156
Royal Bank of CanadaRoyal Bank of Canadaprice-fixing or anti-competitive practices2013WV-AG$175,000
Royal Bank of CanadaRoyal Bank of Canadaprice-fixing or anti-competitive practices2022private lawsuit-federal$8,000,000
Royal Bank of CanadaRoyal Bank of Canadaaccounting fraud or deficiencies2023SEC$6,000,000
Royal Bank of CanadaRoyal Bank of Canadaprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
Royal Bank of Canada (USA)Royal Bank of Canadaenvironmental violation2010GA-ENV$9,375
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2017CA-AG$125,000,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2018IL-AG$20,000,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2018NY-AG$500,000,000
Royal Bank of ScotlandNatWest Group PLCeconomic sanction violation2013NY-DFS$50,000,000
Royal Bank of Scotland GroupNatWest Group PLCprice-fixing or anti-competitive practices2020private lawsuit-federal$13,000,000
Royal Bank of Scotland GroupNatWest Group PLCprice-fixing or anti-competitive practices2018private lawsuit-federal$255,000,000
Royal Bank of Scotland GroupNatWest Group PLCconsumer protection violation2014private lawsuit-federal$275,000,000
Royal Bank of Scotland Group plcNatWest Group PLCinvestor protection violation2014SEC$120,000
Royal Bank of Scotland Group plcNatWest Group PLCtoxic securities abuses2018DOJ_CIVIL$4,900,000,000
Royal Bank of Scotland GroupPLCNatWest Group PLCprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
ROYAL BANK OF SCOTLAND PLCNatWest Group PLCbanking violation2015FED$274,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2015DOJ_CRIMINAL$395,000,000
Royal Bank of Scotland plcNatWest Group PLCtoxic securities abuses2015NCUA$129,600,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2014CFTC$290,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2013CFTC$325,000,000
Royal Bank of Scotland PLCNatWest Group PLCeconomic sanction violation2013OFAC$33,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2017CFTC$85,000,000
Royal Bank of Scotland PLCNatWest Group PLCtoxic securities abuses2017FHFA$5,500,000,000
Royal Bank of Scotland PLCNatWest Group PLCprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Royal Bank of Scotland plcNatWest Group PLCprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Royal Bank of Scotland PLCNatWest Group PLCprice-fixing or anti-competitive practices2022private lawsuit-federal$8,000,000
Royal Bank of Scotland PLCNatWest Group PLCconsumer protection violation2019private lawsuit-federal$55,000,000
RR DonnelleyChatham Asset Managementwage and hour violation2020IL-DOL$30,000
RR DONNELLEYChatham Asset Managementenvironmental violation2002PA-ENV$5,000
RR DonnelleyChatham Asset Managementwage and hour violation2021IL-DOL$174,720
RR DonnelleyChatham Asset Managementwage and hour violation2021IL-DOL$174,600
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2006OSHA$11,000
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2011OSHA$6,400
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2011OSHA$12,435
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2015OSHA$5,500
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2016OSHA$6,000
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2016OSHA$15,400
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2016OSHA$12,934
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2022OSHA$12,327
RR DONNELLEY & SONSChatham Asset Managementenvironmental violation2013IL-ENV$5,000
RR DONNELLEY & SONS COChatham Asset Managementenvironmental violation2006IN-ENV$9,563
RR DONNELLEY & SONS COChatham Asset Managementenvironmental violation2001IN-ENV$15,800
RR DONNELLEY & SONS COChatham Asset Managementenvironmental violation2001IN-ENV$9,200
RR DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2001OSHA$5,000
RR DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2014OSHA$6,510
RR DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2015OSHA$5,000
RR DONNELLEY AND SONS INC.Chatham Asset Managementworkplace safety or health violation2015OSHA$10,500
RR DONNELLEY AND SONS, INC.Chatham Asset Managementworkplace safety or health violation2023OSHA$32,262
RR DONNELLEY ATLANTAChatham Asset Managementworkplace safety or health violation2014OSHA$6,352
RR DONNELLEY INCChatham Asset Managementworkplace safety or health violation2012OSHA$7,750
RR DONNELLEY RENO OFFSETChatham Asset Managementworkplace safety or health violation2011OSHA$5,024
RR Donnelly & Sons CompanyChatham Asset Managementwage and hour violation2016WHD$104,981
RR DONNELLY COMPANYChatham Asset Managementworkplace safety or health violation2012OSHA$17,000
Ruesch International, Inc.Western Unioneconomic sanction violation2004OFAC$7,811
S&T BANKS&T Bancorpbanking violation2010FDIC$32,640
SafecoLiberty Mutual Insuranceinsurance violation2009CT-INS$434,000
SAFECO INSURANCE CO. ET AL.Liberty Mutual Insuranceinsurance violation2002VA-INS$28,200
Safeco Insurance Co. of AmericaLiberty Mutual Insuranceinsurance violation2005IN-INS$5,000
Safeco Insurance CompanyLiberty Mutual Insuranceinsurance violation2013CA-INS$900,000
Safeco Insurance CompanyLiberty Mutual Insuranceinsurance violation2013SC-INS$8,000
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$37,951
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$28,560
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$85,353
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2012AZ-DIFI$30,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2015CO-INS$140,500
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2010IN-INS$5,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2012KS-INS$5,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2015KS-INS$81,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2005PA-INS$5,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2008PA-INS$40,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2021MN-FIN$10,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2021WA-INS$100,000
SAFECO Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2021MD-INS$196,044
Safeco Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2005FL-OFR$35,350
SAFECO Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2014MD-INS$5,000
Safeco Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2011MN-FIN$25,000
Safeco Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2007MO-INS$68,524
SAFECO Insurance Company of America, Inc. et al.Liberty Mutual Insuranceinsurance violation2013MD-INS$195,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2011AZ-DIFI$15,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2004MN-FIN$5,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2016MN-FIN$50,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2010MT-FIN$25,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2015MT-FIN$95,000
Safeco Insurance Company of IndianaLiberty Mutual Insuranceinsurance violation2010PA-INS$50,000
Safeco Insurance Company of OregonLiberty Mutual Insuranceinsurance violation2021OR-FIN$5,000
Safeco Lloyds Insurance Co.Liberty Mutual Insuranceinsurance violation2010TX-INS$5,000
Safeco Surplus Lines Insurance Co.Liberty Mutual Insuranceinsurance violation2017MN-FIN$10,000
Safety First Insurance Co.Tokio Marineinsurance violation2013MO-INS$12,250
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.