Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
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$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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
Sentry Insurance, A Mutual Company Sentry Insurance insurance violation 2012 TX-INS $13,750
Sentry Insurance Group Sentry Insurance insurance violation 2015 SD-INS $125,000
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 A Mutual Co. Sentry Insurance insurance violation 2015 AZ-INS $20,000
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
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
Sentinel Insurance Company, Ltd Hartford Financial Services insurance violation 2016 TX-INS $32,000
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 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 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 Co. Hartford Financial Services insurance violation 2019 CT-INS $84,000
Seneca Insurance Company, Inc. Fairfax Financial Holdings insurance violation 2013 NY-DFS $50,000
Seneca Insurance 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 Ins Co. Inc. Fairfax Financial Holdings insurance violation 2004 MS-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
Selective Insurance Company of the Southeast Selective Insurance Group insurance violation 2011 WI-INS $5,000
Selective Insurance Company of South Carolina et al. Selective Insurance Group insurance violation 2016 MD-INS $8,000
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 New York Selective Insurance Group insurance violation 2014 NY-DFS $50,000
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 Companies Selective Insurance Group insurance violation 2018 NY-DFS $4,666,268
SELECTIVE INSURANCE CO., ET AL. Selective Insurance Group insurance violation 2010 VA-INS $66,000
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 2018 VA-INS $10,000
Security National Insurance Company Zurich Insurance insurance violation 2018 TX-INS $40,000
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 Life of Denver Insurance Company Voya Financial insurance violation 2008 PA-INS $20,000
Security Life of Denver Insurance Co. Voya Financial insurance violation 2016 FL-OFR $25,000
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
Securian Financial Services Inc. Securian Financial investor protection violation 2009 TX-SEC $50,000
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
Seabury & Smith, Inc. Marsh & McLennan insurance violation 2006 AK-INS $6,530
Seabury & Smith, Inc. Marsh & McLennan insurance violation 2009 AK-INS $39,378
Seabury & Smith Inc. Marsh & McLennan economic sanction violation 2005 OFAC $46,341
Seabury & Smith Inc. Marsh & McLennan insurance violation 2007 PA-INS $25,000
Scottsdale Insurance Company Nationwide insurance violation 2000 MA-INS $26,208
Scottsdale Insurance Co. Nationwide insurance violation 2010 AZ-INS $37,500
Scottsdale Insurance Co. Nationwide insurance violation 2005 FL-OFR $5,000
Scottrade, Inc. Charles Schwab Corp. investor protection violation 2008 SEC $950,000
Scottrade Inc. Charles Schwab Corp. investor protection violation 2016 TX-SEC $100,000
Scottrade Charles Schwab Corp. data submission deficiencies 2014 SEC $2,500,000
Scott Danahy Naylon Co. Inc. Financial Institutions Inc. wage and hour violation 2005 WHD $5,495
SCOTIABANK DE PUERTO RICO Scotiabank banking violation 2003 FDIC $8,000
Scotia Capital Inc. Scotiabank investor protection violation 2010 CFTC $250,000
Scor Reinsurance Company SCOR insurance violation 2009 PA-INS $5,000
SCOR Global Life U.S. Re Insurance Company of Texas SCOR insurance violation 2011 TX-INS $90,000
SCOR Global Life U.S. Re Insurance Company SCOR insurance violation 2011 TX-INS $99,000
Saxon Mortgage Services, Inc. Morgan Stanley consumer protection violation 2012 FL-OFR $15,000
Saxon Mortgage Services Inc. Morgan Stanley mortgage abuses 2011 DOJ_CIVIL $2,350,000
Saxon Mortgage Services Morgan Stanley consumer protection violation 2010 MD-FIN $71,000
Santander USA Holdings Inc. Banco Santander consumer protection violation 2015 MA-AG $5,400,000
Santander Securities, LLC Banco Santander investor protection violation 2018 NH-BSR $31,562
Santander Securities, LLC Banco Santander investor protection violation 2019 NH-BSR $50,000
Santander Securities LLC Banco Santander investor protection violation 2019 SEC $270,539
Santander Securities LLC Banco Santander consumer protection violation 2019 MA-AG $100,000
Santander Mortage Corporation Banco Santander wage and hour violation 2004 WHD $62,895
Santander Consumer USA, Inc. Banco Santander consumer protection violation 2018 CA-DFPI $300,000
Santander Consumer USA Inc. Banco Santander Servicemembers Civil Relief Act 2015 DOJ_RIGHTS $9,350,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2018 CFPB $11,790,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 MULTI-AG $550,000,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2018 CT-BKG $100,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2015 NH-BKG $75,000
Santander Consumer USA Inc. Banco Santander consumer protection violation 2020 VT-AG $105,000
Santander Consumer USA Holdings, Inc. Banco Santander consumer protection violation 2017 DE-AG $3,875,000
Santander Consumer USA Holdings Inc. Banco Santander investor protection violation 2018 SEC $1,500,000
Santander Consumer USA Holdings Inc. Banco Santander consumer protection violation 2017 MA-AG $22,000,000
Santander Bank, National Association Banco Santander banking violation 2016 OCC $3,400,000
Santander Bank, National Association Banco Santander banking violation 2015 OCC $6,000,000
Santander Bank, N.A. Banco Santander consumer protection violation 2016 CFPB $10,000,000
Santander Bank, N.A. Banco Santander consumer protection violation 2015 NY-AG $500,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)