Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$325,206,110,617
Number of Records: 
5,976
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$82,700,046,034213
JPMorgan Chase$34,530,243,993154
Citigroup$25,045,655,764120
Wells Fargo$21,199,943,231179
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,582,95017
Credit Suisse$10,409,957,62631


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
American Guarantee and Liability Insurance Company Zurich Insurance insurance violation 2015 TX-INS $6,000
American Zurich Insurance Company Zurich Insurance insurance violation 2016 TX-INS $5,000
American Zurich Insurance Company Zurich Insurance insurance violation 2016 TX-INS $13,571
Zurich American Insurance Company Zurich Insurance insurance violation 2016 TX-INS $35,012
American Zurich Insurance Company Zurich Insurance insurance violation 2017 TX-INS $6,000
Zurich American Insurance Company Zurich Insurance insurance violation 2017 TX-INS $8,500
American Zurich Insurance Company Zurich Insurance insurance violation 2017 TX-INS $9,500
Zurich American Insurance Company Zurich Insurance insurance violation 2017 TX-INS $32,400
American Zurich Insurance Company Zurich Insurance insurance violation 2018 TX-INS $53,750
Zurich American Insurance Company Zurich Insurance insurance violation 2018 TX-INS $42,000
Security National Insurance Company Zurich Insurance insurance violation 2018 TX-INS $40,000
American Zurich Insurance Company Zurich Insurance insurance violation 2018 TX-INS $18,000
American Zurich Insurance Company Zurich Insurance insurance violation 2019 TX-INS $45,000
American Zurich Insurance Company Zurich Insurance insurance violation 2019 TX-INS $17,000
Zurich American Insurance Company Zurich Insurance insurance violation 2019 TX-INS $15,000
AMERICAN ZURICH INSURANCE CO Zurich Insurance insurance violation 2004 VA-INS $5,000
BRISTOL WEST INSURANCE COMPANY Zurich Insurance insurance violation 2006 VA-INS $20,000
Universal Underwriters Life Insurance Company Zurich Insurance insurance violation 2006 VA-INS $24,000
FOREMOST INSURANCE CO. Zurich Insurance insurance violation 2010 VA-INS $6,000
EMPIRE FIRE & MARINE INSURANCE CO Zurich Insurance insurance violation 2011 VA-INS $25,000
American Guarantee and Liability Insurance Company Zurich Insurance insurance violation 2011 VA-INS $5,000
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
Farmers Insurance Company Of Washington And Farmers Insurance Exchange Zurich Insurance insurance violation 2012 WA-INS $10,000
American Guarantee & Liability Insurance Company et al. Zurich Insurance insurance violation 2013 WA-INS $50,000
Farmers Insurance Company Of Washington Zurich Insurance insurance violation 2015 WA-INS $100,000
Farmers Insurance Company Of Washington Zurich Insurance insurance violation 2015 WA-INS $300,000
Zurich American Insurance Company Zurich Insurance insurance violation 2016 WA-INS $20,000
Farmers Insurance Company Of Washington Zurich Insurance insurance violation 2017 WA-INS $10,000
Farmers Insurance Company Of Washington And Farmers Insurance Exchange Zurich Insurance insurance violation 2020 WA-INS $50,000
Foremost Insurance Co. Zurich Insurance insurance violation 2003 WI-INS $8,500
Universal Underwriters Service Corp. Zurich Insurance insurance violation 2008 WI-INS $10,000
Mid-Century Insurance Company Zurich Insurance insurance violation 2020 NY-DFS $200,000
Zurich American Insurance Co. of Illinois Zurich Insurance insurance violation 2020 TX-INS $10,800
Security National Insurance Co. Zurich Insurance insurance violation 2020 WA-INS $5,000
Zions First National Bank Zions Bancorporation banking violation 2011 OCC $8,000,000
Zions Bancorporation Zions Bancorporation wage and hour violation 2009 WHD $15,347
ZB N.A. (fka Zions First National Bank) Zions Bancorporation consumer protection violation 2017 USAO $3,600,000
Wilmington Savings Fund Society, Federal Savings Bank WSFS Financial Corp. banking violation 2019 OCC $85,265
Vantiv LLC Worldpay wage and hour violation 2014 WA-DLI $34,780
World Acceptance Corporation World Acceptance Corporation wage and hour violation 2019 WHD $5,549
World Acceptance Corporation, Inc World Acceptance Corporation wage and hour violation 2019 WHD $6,582
World Acceptance Corporation World Acceptance Corporation Foreign Corrupt Practices Act 2020 SEC $21,700,000
WOORI USA CORP Woori Bank motor vehicle safety violation 2010 FMCSA $6,550
Woodforest National Bank Woodforest National Bank banking violation 2010 OCC $33,000,000
Wintrust Financial Corporation Wintrust Financial Corp. banking violation 2019 FED $1,012,500
Watson Wyatt & Co. Willis Towers Watson labor relations violation 2005 NLRB $91,000
Willis Group Willis Towers Watson employment discrimination 2011 private lawsuit-federal $11,595,038
Willis Group Willis Towers Watson employment discrimination 2008 private lawsuit-federal $12,757,949
Willis Group Holdings Ltd. Willis Towers Watson consumer protection violation 2007 FL-AG $2,600,000
Willis Group Holdings Ltd. Willis Towers Watson price-fixing or anti-competitive practices 2005 NY-AG $50,000,000
Watson Wyatt & Company Willis Towers Watson False Claims Act and related 2005 USAO $689,828
WEX Bank and Higher One, Inc. WEX Inc. banking violation 2015 FDIC $34,980,000
Paymap Inc. Western Union consumer protection violation 2015 CFPB $38,400,000
Ruesch International, Inc. Western Union economic sanction violation 2004 OFAC $7,811
Western Union Company Western Union anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $586,000,000
Western Union Financial Services, Inc. Western Union economic sanction violation 2019 OFAC $401,697
Western Union Co. Western Union consumer protection violation 2017 MULTI-AG $5,000,000
Western Union Financial Services Western Union consumer protection violation 2005 MULTI-AG $8,529,000
Western Union Financial Services, Inc. Western Union anti-money-laundering deficiencies 2010 MULTI-AG $94,000,000
Western Union Financial Services, Inc. Western Union consumer protection violation 2008 AZ-DFS $2,000,000
Western Union International Services LLC Western Union consumer protection violation 2019 FL-OFR $10,000
Western Union Financial Services, Inc. Western Union anti-money-laundering deficiencies 2002 NY-DFS $8,000,000
Western Union Western Union anti-money-laundering deficiencies 2018 NY-DFS $60,000,000
WESTERN UNION Western Union workplace safety or health violation 2015 OSHA $11,000
Gerber Life Insurance Company Western & Southern Financial Group wage and hour violation 2009 WHD $172,799
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2011 MD-INS $5,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2013 MD-INS $14,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2017 MD-INS $8,000
National Integrity Life Insurance Company Western & Southern Financial Group insurance violation 2018 NY-DFS $240,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2000 WA-INS $350,000
Western and Southern Life Insurance Company Western & Southern Financial Group insurance violation 2005 MULTI-FIN $2,400,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2020 NC-INS $3,635,665
Wachovia Bank N.A. Wells Fargo price-fixing or anti-competitive practices 2011 DOJ_ANTITRUST $148,000,000
Wells Fargo Wells Fargo consumer protection violation 2015 CFPB $34,800,000
Wells Fargo Bank, National Association Wells Fargo banking violation 2015 OCC $4,000,000
Wells Fargo Wells Fargo banking violation 2013 OCC $1,991,141,181
Wells Fargo Bank, National Association Wells Fargo banking violation 2011 OCC $34,500,000
Wachovia Bank N.A. Wells Fargo banking violation 2010 OCC $50,000,000
Wells Fargo & Company Wells Fargo banking violation 2012 FED $87,000,000
Wells Fargo & Company Wells Fargo banking violation 2011 FED $85,000,000
Wachovia Bank Wells Fargo anti-money-laundering deficiencies 2010 FINCEN $110,000,000
Wells Fargo Bank, National Association Wells Fargo False Claims Act and related 2016 DOJ_CIVIL $1,200,000,000
Wells Fargo & Company Wells Fargo mortgage abuses 2012 DOJ $5,342,200,000
Wells Fargo Advisors LLC Wells Fargo investor protection violation 2014 SEC $5,000,000
Wells Fargo Wells Fargo toxic securities abuses 2012 SEC $6,500,000
Wells Fargo Securities LLC Wells Fargo toxic securities abuses 2011 SEC $11,000,000
Wells Fargo Wells Fargo toxic securities abuses 2013 FHFA $591,000,000
Wells Fargo Bank, National Association Wells Fargo toxic securities abuses 2013 FHFA $869,000,000
Wachovia Wells Fargo toxic securities abuses 2015 NCUA $53,000,000
Wells Fargo Bank Wells Fargo mortgage abuses 2012 DOJ_RIGHTS $234,300,000
Wells Fargo & Company Wells Fargo Americans with Disabilities Act 2011 DOJ_RIGHTS $16,055,000
Wells Fargo Bank, N.A. Wells Fargo banking violation 2016 OCC $70,000,000
Wells Fargo Bank Wells Fargo consumer protection violation 2016 CFPB $4,010,000
Wells Fargo Bank Wells Fargo banking violation 2016 CFPB $100,000,000
Wells Fargo Bank Wells Fargo banking violation 2016 OCC $35,000,000
A.G. Edwards & Sons, Inc. Wells Fargo data submission deficiencies 2003 CFTC $45,000
Prudential Securities, Inc. Wells Fargo data submission deficiencies 2002 CFTC $65,000
WELLS FARGO FINANCIAL BANK Wells Fargo banking violation 2009 FDIC $125,000
A.G. Edwards and Sons Inc. Wells Fargo economic sanction violation 2008 OFAC $122,358
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)