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
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $30,000
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $10,000
California Physicians' Service (Blue Shield of California) California Physicians' Service insurance violation 2017 CA-MHC $322,500
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $30,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $10,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $7,500
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $10,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $7,500
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $10,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $10,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $7,500
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
Cadaret, Grant & Co., Inc. Atria Wealth Solutions investor protection violation 2008 NE-DBF $10,000
Cadaret, Grant & Co. Inc. Atria Wealth Solutions investor protection violation 2018 SEC $513,194
Cadaret Grant & Co. Inc. Atria Wealth Solutions investor protection violation 2019 PA-BKG $90,000
BUSEY BANK First Busey Corp. banking violation 2006 FDIC $5,200
BUSEY BANK First Busey Corp. banking violation 2010 FDIC $7,445
BSI SA BSI SA tax violations 2015 DOJ_TAX $211,000,000
Bryn Mawr Trust Company Bryn Mawr Bank Corp. banking violation 2021 FED $105,000
Brut, LLC Nasdaq Inc. investor protection violation 2003 SEC $45,000
BRUT LLC Nasdaq Inc. investor protection violation 2006 FINRA $2,200,000
Brown Brothers Harriman & Co. Brown Brothers Harriman investor protection violation 2014 SEC $120,000
Brown Brothers Harriman & Co. Brown Brothers Harriman anti-money-laundering deficiencies 2014 FINRA $8,000,000
Brown & Brown, Inc. Brown & Brown consumer protection violation 2006 FL-AG $5,800,000
Brown & Brown of Washington, Inc. Brown & Brown insurance violation 2012 AK-INS $30,000
Brown & Brown Insurance of Arizona, Inc. Brown & Brown tax violations 2014 CT-AG $37,650
Brown & Brown Insurance Agency of Virginia, Inc. Brown & Brown insurance violation 2006 VA-INS $5,000
Brown & Brown Brown & Brown employment discrimination 2017 EEOC $100,000
Brothers Property Corporation American Financial Group wage and hour violation 2006 WHD $29,273
Broadspire Services, Inc. Crawford & Co. workplace safety or health violation 2011 MO-AG $28,500
Broadspire Services, Inc. Crawford & Co. insurance violation 2017 TX-INS $40,000
Broadspire Services Inc. Crawford & Co. insurance violation 2016 TN-INS $10,000
BROADRIDGE FINANCIAL SOLUTIONS, INC. Broadridge Financial Solutions workplace safety or health violation 2019 OSHA $8,335
BROADRIDGE FINANCIAL SOLUTIONS INC Broadridge Financial Solutions environmental violation 2008 NJ-ENV $6,500
BROADRIDGE FINANCIAL SOLUTIONS Broadridge Financial Solutions workplace safety or health violation 2018 OSHA $15,522
Bristol West Insurance Company Zurich Insurance insurance violation 2004 PA-INS $10,000
Bristol West Insurance Company Zurich Insurance insurance violation 2011 SC-INS $7,500
BRISTOL WEST INSURANCE COMPANY Zurich Insurance insurance violation 2006 VA-INS $20,000
Bristol West Insurance Co. Zurich Insurance insurance violation 2011 CO-INS $161,500
Bristol West Insurance Co. Zurich Insurance insurance violation 2004 FL-OFR $26,500
Bristol West Insurance Co. Zurich Insurance insurance violation 2008 ID-INS $5,330
BRISTOL WEST INSURANCE CO. Zurich Insurance insurance violation 2011 VA-INS $75,400
Bristol West Casualty Insurance Company and Bristol West Insurance Company Zurich Insurance insurance violation 2020 VA-INS $27,560
Bristol West Casualty Insurance Company and Bristol West Insurance Company Zurich Insurance insurance violation 2020 VA-INS $91,872
Bristol West Casualty Insurance Co. Zurich Insurance insurance violation 2017 MN-FIN $20,000
Branch Banking and Trust Company Truist Financial wage and hour violation 2011 WHD $12,314
Branch Banking and Trust Company Truist Financial investor protection violation 2016 SC-SEC $97,500
Branch Banking and Trust (BB&T) Truist Financial employment discrimination 2010 EEOC $24,000
Branch Banking & Trust Corporation Truist Financial campaign finance violation 2001 FEC $22,000
Branch Banking & Trust Company (BB&T) Truist Financial False Claims Act and related 2016 DOJ_CIVIL $83,000,000
Branch Banking & Trust Co. Truist Financial economic sanction violation 2014 OFAC $19,125
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,188
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $9,288
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $7,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,961
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,503
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,745
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,996
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,080
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $15,971
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $11,600
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $18,800
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $25,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,503
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,705
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $40,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,188
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $40,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,460
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $9,882
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $6,153
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $10,500
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $5,300
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $9,882
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $40,180
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $50,457
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $16,362
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $9,122
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $6,458
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $10,705
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $5,900
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $5,600
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $21,000
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $9,500
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $7,774
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)