Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$331,558,339,161
Number of Records: 
6,166
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$82,764,013,078219
JPMorgan Chase$35,819,302,225162
Citigroup$25,454,366,764125
Wells Fargo$21,358,750,745184
Deutsche Bank$18,286,625,30261
UBS$16,792,860,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,473,904,00028
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)
Company Parentsort icon Primary Offense Type Year Agency Penalty Amount
USAA Casualty Insurance Co. USAA insurance violation 2010 SC-INS $7,000
United Services Automobile Association USAA insurance violation 2011 SC-INS $8,000
United Services Automobile Association et al. USAA insurance violation 2018 TX-INS $40,000
United Services Automobile Association USAA insurance violation 2006 VA-INS $5,000
United Services Automobile Association USAA insurance violation 2007 VA-INS $6,000
UNITED SERVICES AUTOMOBILE ASSOCIATION ET AL. USAA insurance violation 2017 VA-INS $182,209
USAA CASUALTY INSURANCE CO ET AL. USAA insurance violation 2018 VA-INS $4,396,720
United Services Automobile Association (USAA) USAA insurance violation 2017 VT-FIN $85,000
USAA General Indemnity Co. et al. USAA insurance violation 2020 MD-INS $67,500
USAA Casualty Insurance Co. USAA insurance violation 2020 OR-FIN $50,000
USAA Federal Savings Bank USAA banking violation 2020 OCC $85,000,000
USAA Federal Savings Bank USAA banking violation 2020 OCC $382,500
Vanguard Group Vanguard Group employment discrimination 2010 EEOC $300,000
Vanguard Group, Inc. Vanguard Group employment discrimination 2008 EEOC $500,000
Vanguard Advisers Inc. Vanguard Group investor protection violation 2017 PA-BKG $23,480
Knight Securities, L.P. Virtu Financial investor protection violation 2004 SEC $66,500,000
KCG Americas LLC Virtu Financial investor protection violation 2015 SEC $1,055,197
Knight Capital Americas LLC Virtu Financial investor protection violation 2013 SEC $12,000,000
Knight Financial Products, LLC Virtu Financial investor protection violation 2009 SEC $2,040,000
Knight Securities, L.P. Virtu Financial investor protection violation 2002 SEC $75,000
Virtu Americas LLC Virtu Financial investor protection violation 2019 SEC $1,500,000
Visa Inc. Visa consumer protection violation 2018 NM-AG $2,270,000
Visa USA Inc. Visa price-fixing or anti-competitive practices 2008 WV-AG $6,400,000
Noble Americas Corp. Vitol railroad safety violation 2012 FRA $15,000
Vitol Inc. and Vitol Capital Management Ltd. Vitol investor protection violation 2010 CFTC $6,000,000
Noble Americas Corp. Vitol investor protection violation 2010 CFTC $130,000
Vitol, Inc. Vitol employment discrimination 2012 EEOC $62,500
Noble Americas Corporation Vitol railroad safety violation 2017 FRA $6,500
Vitol Inc. Vitol energy market violation 2019 FERC $2,742,881
VITOL, S.A. Vitol kickbacks and bribery 2007 NY-MANDA $17,500,000
Vitol S.A., Inc. Vitol environmental violation 2005 EPA $41,600
Vitol Inc. Vitol environmental violation 2014 EPA $30,394
Vitol, Inc. Vitol environmental violation 2015 EPA $14,047
Vitol, Inc. Vitol environmental violation 2016 EPA $17,934
Vitol Inc. Vitol environmental violation 2016 EPA $9,814
Vitol Vitol environmental violation 2017 EPA $35,000
VITOL SA, INC Vitol environmental violation 2002 EPA $95,000
Vitol Inc. Vitol fraud 2020 CFTC (*) $95,700,000
Vitol Inc. Vitol Foreign Corrupt Practices Act 2020 DOJ_CRIMINAL $135,000,000
Vitol, Inc. Vitol environmental violation 2014 CA-ARB $70,000
Vitol Vitol environmental violation 2007 CA-ARB $150,000
Vitol Vitol environmental violation 2005 CA-ARB $20,000
Vitol S.A. Vitol environmental violation 2002 CA-ARB $25,000
Voya Financial Advisors, Inc. Voya Financial investor protection violation 2017 SEC $3,095,953
Voya Holdings Inc. Voya Financial investor protection violation 2018 SEC $3,600,000
ING Life Insurance and Annuity Co. Voya Financial benefit plan administrator violation 2013 EBSA $5,200,000
Voya Financial Advisors Inc. Voya Financial investor protection violation 2018 SEC $1,000,000
ING Life Insurance & Annuity Co. Voya Financial benefit plan administrator violation 2014 private lawsuit-federal $14,950,000
ING Groep N.V. Voya Financial benefit plan administrator violation 2013 private lawsuit-federal $3,500,000
ING Voya Financial investor protection violation 2006 MULTI-AG $33,000,000
ING Life Insurance and Annuity Company Voya Financial insurance violation 2013 MULTI-AG $10,700,000
ING USA Annuity and Life Insurance Co. Voya Financial insurance violation 2007 CO-INS $5,000
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial investor protection violation 2019 CT-SEC $1,015,000
Security Life of Denver Insurance Co. Voya Financial insurance violation 2016 FL-OFR $25,000
ING Financial Partners, Inc. Voya Financial investor protection violation 2008 IL-SEC $4,677,326
ING Financial Partners, Inc. Voya Financial investor protection violation 2012 MN-FIN $5,000
ING Life Insurance and Annuity Co. et al. Voya Financial insurance violation 2012 MN-FIN $200,000
Voya Insurance and Annuity Co. et al. Voya Financial insurance violation 2014 MN-FIN $1,250,000
ReliaStar Life Insurance Co. Voya Financial insurance violation 2014 MN-FIN $30,000
ReliaStar Insurance Co. Voya Financial insurance violation 2017 MN-FIN $5,000
ING Life Insurance and Annuity Company Voya Financial investor protection violation 2006 NH-BSR $3,000,000
ING Life Insurance and Annuity Company Voya Financial insurance violation 2004 OR-FIN $10,000
Security Life of Denver Insurance Company Voya Financial insurance violation 2008 PA-INS $20,000
RELIASTAR LIFE INSURANCE CO Voya Financial insurance violation 2001 VA-INS $9,000
RELIASTAR LIFE INSURANCE CO. Voya Financial insurance violation 2007 VA-INS $8,000
Voya Financial Advisors, Inc. Voya Financial investor protection violation 2020 SEC $22,919,155
W.R. Berkley Corp. W.R. Berkley insurance violation 2017 CA-INS $3,015,000
Admiral Risk Insurance Services, Inc. W.R. Berkley insurance violation 2017 CA-INS $1,542,500
Admiral Insurance Co. W.R. Berkley insurance violation 2017 CA-INS $1,542,500
Continental Western Insurance Co. W.R. Berkley insurance violation 2019 CT-INS $23,000
Continental Western Insurance Co. W.R. Berkley insurance violation 2008 KS-INS $10,000
Continental Western Insurance Co. W.R. Berkley insurance violation 2012 KS-INS $6,000
Continental Western Insurance Co. W.R. Berkley insurance violation 2007 MO-INS $7,708
Continental Western Insurance Co. W.R. Berkley insurance violation 2014 MO-INS $12,000
Berkley National Insurance Company W.R. Berkley insurance violation 2016 TX-INS $8,000
CAROLINA CASUALTY INSURANCE CO W.R. Berkley insurance violation 2011 VA-INS $10,000
CAROLINA CASUALTY INSURANCE CO W.R. Berkley insurance violation 2012 VA-INS $5,000
ACADIA INSURANCE COMPANY ET AL W.R. Berkley insurance violation 2018 VA-INS $91,793
Acadia Insurance Company et al. W.R. Berkley insurance violation 2019 VA-INS $9,341
Berkley National Insurance Company W.R. Berkley insurance violation 2018 WA-INS $10,000
CONTINENTAL WESTERN INSURANCE COMPANY W.R. Berkley insurance violation 2020 WA-INS $10,000
W. R. BERKLEY CORPORATION W.R. Berkley workplace safety or health violation 2017 OSHA $5,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2006 SEC $50,000,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2006 NY-AG (*) $75,000,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2003 FL-OFR $8,800
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2006 MO-SEC $172,161
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2005 MT-SEC $25,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2016 NH-BSR $900,000
Waddell & Reed Inc. Waddell & Reed Financial Inc. investor protection violation 2008 OK-SEC $10,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2005 MULTI-FIN $18,000,000
Washington Federal Washington Federal Inc. consumer protection violation 2013 CFPB $34,000
Washington Federal Bank, N.A. Washington Federal Inc. consumer protection violation 2020 CFPB $200,000
Wedbush Securities Wedbush Securities investor protection violation 2014 SEC $2,440,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2014 SEC $67,200
Wedbush Securities Inc. Wedbush Securities investor protection violation 2018 SEC $1,304,197
Wedbush Securities Inc. Wedbush Securities investor protection violation 2019 SEC $250,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2019 SEC $8,100,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2019 SEC $1,852,540
Wedbush Securities Inc. Wedbush Securities insurance violation 2011 CO-INS $14,300
Wedbush Securities Inc. Wedbush Securities investor protection violation 2016 TN-SEC $30,000
Wegelin & Co Wegelin & Co tax violations 2013 DOJ_TAX $74,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)