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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$344,899,848,624
Number of Records: 
6,989
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$82,898,016,192264
JPMorgan Chase$36,107,446,133199
Citigroup$25,540,645,217156
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
UBS$16,854,318,334101
Goldman Sachs$16,399,485,79387
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,148,363,95019
Credit Suisse$10,732,400,12649


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
Unum Insurance Co. Unum kickbacks and bribery 2008 CA-MULTI $250,000
Unum Life Insurance Company of America et al. Unum insurance violation 2005 CA-INS $8,598,503
UnumProvident Corp. et al. Unum insurance violation 2006 CA-INS $700,000
Unum Life Insurance Company of America Unum insurance violation 2014 CA-INS $25,000
Unum Life Insurance Company of America Unum insurance violation 2012 MD-INS $19,000
Unum Life Insurance Company of America Unum insurance violation 2015 MD-INS $35,000
Provident Life and Accident Insurance Co. Unum insurance violation 2000 NC-INS $80,000
UNUM LIFE INSURANCE COMPANY Unum insurance violation 2003 VA-INS $14,000
Unum Life Insurance Company Of America Unum insurance violation 2010 WA-INS $7,000
Unum Life Insurance Company Of America Unum insurance violation 2011 WA-INS $75,000
Unum Life Insurance Company Of America Unum insurance violation 2018 WA-INS $7,000
First Unum Life Insurance Company of America and Paul Revere Life Insurance Company Unum privacy violation 2021 NY-DFS $1,800,000
Provident Life and Accident Insurance Co. Unum insurance violation 2021 CT-INS $7,500
UNUM Life Insurance Company of America Unum insurance violation 2021 CT-INS $12,500
UNUM GROUP CORPORATION Unum workplace safety or health violation 2011 OSHA $5,400
USAA Insurance USAA labor relations violation 2005 NLRB $125,361
USAA USAA wage and hour violation 2008 private lawsuit-federal $738,423
USAA Federal Savings Bank USAA consumer protection violation 2019 CFPB $15,500,000
United Services Automobile Association USAA discriminatory practices (non-employment) 2014 MA-AG $50,000
United Services Automobile Association USAA consumer protection violation 2010 MA-AG $25,000
United Services Automobile Association USAA consumer protection violation 2010 MA-AG $2,300,000
USAA Federal Savings Bank USAA consumer protection violation 2003 NY-AG $33,500
United Services Automobile Association et al. USAA insurance violation 2016 DE-INS $34,000
United Service Automobile Association et al. USAA insurance violation 2019 DE-INS $32,500
USAA Life Insurance Co. USAA insurance violation 2007 FL-OFR $22,500
USAA Life Insurance Co. USAA insurance violation 2009 FL-OFR $50,000
United Services Automobile Association USAA insurance violation 2001 KS-INS $5,000
USAA Life Insurance Co. USAA insurance violation 2014 MD-INS $9,000
USAA Casualty Insurance Co. et al. USAA insurance violation 2014 MD-INS $5,000
USAA Casualty Insurance Co. USAA insurance violation 2014 MN-FIN $5,000
USAA Casualty Insurance Co. USAA insurance violation 2015 MN-FIN $50,000
United Services Automobile Association et al. USAA insurance violation 2007 MO-INS $6,000
USAA Casualty Insurance and United Services Auto Association USAA insurance violation 2003 NJ-DBI $6,200,000
USAA USAA insurance violation 2002 OH-INS $30,000
USAA Life Insurance Company of New York USAA insurance violation 2016 NY-DFS $10,000
United Services Automobile Association USAA insurance violation 2018 OR-FIN $6,200
USAA General Indemnity Company USAA insurance violation 2018 OR-FIN $5,000
USAA General Indemnity Company USAA insurance violation 2016 RI-FIN $15,000
USAA Casualty Insurance Company USAA insurance violation 2019 RI-FIN $8,000
USAA Casualty Insurance Company USAA insurance violation 2020 RI-FIN $12,000
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
USAA Casualty Insurance Company et al. USAA insurance violation 2021 NH-INS $25,000
United Services Automobile Association et al. USAA insurance violation 2021 VA-INS $10,000
United Services Automobile Association USAA insurance violation 2021 CT-INS $32,500
USAA Casualty Insurance Co. USAA insurance violation 2021 CT-INS $36,500
USAA Indemnity Co. USAA insurance violation 2021 CT-INS $32,500
USAA Casualty Insurance Company et al. USAA insurance violation 2021 KS-INS $5,000
United Services Automobile Association et al. USAA consumer protection violation 2022 VA-INS $71,358
USAA Federal Savings Bank USAA anti-money-laundering deficiencies 2022 OCC $60,000,000
USAA Federal Savings Bank USAA anti-money-laundering deficiencies 2022 FINCEN $80,000,000
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
Knight Securities, L.P. Virtu Financial investor protection violation 2004 FINRA $12,500,000
Knight Securities L.P. Virtu Financial investor protection violation 2002 FINRA $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 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
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
ING America Voya Financial wage and hour violation 2010 WHD $21,986
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
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)