Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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 Parent Primary Offense Type Yearsort icon Agency Penalty Amount
United States Life Insurance Company in the City of New York American International Group insurance violation 2006 OR-FIN $20,000
Progressive Northern Insurance Company Progressive insurance violation 2006 OR-FIN $10,000
Affinity Insurance Services Inc. Aon insurance violation 2006 PA-INS $40,000
Empire Fire & Marine Insurance Company Zurich Insurance insurance violation 2006 PA-INS $20,000
Northwestern Mutual Investment Services Northwestern Mutual insurance violation 2006 PA-INS $10,000
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2006 RI-FIN $10,250
Lehman Brothers Inc. Lehman Brothers investor protection violation 2006 TX-SEC $15,000
LIFE INVESTORS INSURANCE COMPANY OF AMERICA Aegon insurance violation 2006 VA-INS $29,000
United Services Automobile Association USAA insurance violation 2006 VA-INS $5,000
COMMONWEALTH LAND TITLE INSURANCE CO. ET AL. Fidelity National Financial insurance violation 2006 VA-INS $300,000
MINNESOTA LIFE INSURANCE CO. Securian Financial insurance violation 2006 VA-INS $18,000
RESOURCE LIFE INSURANCE CO. CNO Financial insurance violation 2006 VA-INS $18,000
NATIONWIDE MUTUAL INSURANCE ET AL. Nationwide insurance violation 2006 VA-INS $45,000
GREAT AMERICAN INSURANCE COMPANY ET AL American Financial Group insurance violation 2006 VA-INS $7,200
GREAT AMERICAN INSURANCE COMPANY ET AL American Financial Group insurance violation 2006 VA-INS $7,200
HARTFORD INSURANCE COMPANY OF THE MIDWEST Hartford Financial Services insurance violation 2006 VA-INS $42,800
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
SUNAMERICA SECURITIES, INC. American International Group investor protection violation 2006 VA-SEC $10,000
MARSH USA, INC. Marsh & McLennan insurance violation 2006 VA-INS $150,000
AMERICAN BANKERS INSURANCE Assurant insurance violation 2006 VA-INS $45,000
AMERICAN SECURITY INSURANCE CO Assurant insurance violation 2006 VA-INS $45,000
STANDARD GUARANTY INSURANCE CO Assurant insurance violation 2006 VA-INS $45,000
Brown & Brown Insurance Agency of Virginia, Inc. Brown & Brown insurance violation 2006 VA-INS $5,000
AMERICAN HERITAGE LIFE INSURANCE CO Allstate insurance violation 2006 VA-INS $18,000
GENWORTH LIFE AND ANNUITY INSURANCE CO Genworth Financial insurance violation 2006 VA-INS $12,000
Life Insurance Company of the Southwest National Life Group insurance violation 2006 VA-INS $5,000
GENERAL AMERICAN LIFE INSURANCE MetLife insurance violation 2006 VA-INS $10,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America investor protection violation 2006 VA-SEC $75,000
NATIONWIDE LIFE INSURANCE CO. Nationwide insurance violation 2006 VA-INS $40,000
Property & Casualty Insurance Company of Hartford Hartford Financial Services insurance violation 2006 VA-INS $5,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America investor protection violation 2006 VA-SEC $33,000
XL LIFE INSURANCE AND ANNUITY AXA insurance violation 2006 VA-INS $10,000
AMERICAN NATIONAL INSURANCE American National Insurance insurance violation 2006 VA-INS $22,000
American-Amicable Life Insurance Company American-Amicable Group insurance violation 2006 MULTI-FIN $60,000,000
Liberty National Life Insurance Company Globe Life Inc. discriminatory practices (non-employment) 2006 private lawsuit-federal $9,350,000
WHEELABRATOR FALLS INC Macquarie environmental violation 2006 PA-ENV $21,079
Glencore Glencore environmental violation 2006 CA-ARB $10,000
LOUIS DREYFUS CITRUS, INC. Louis Dreyfus environmental violation 2006 FL-DEP $7,200
THE FIFTH THIRD BANK Fifth Third Bancorp environmental violation 2006 FL-DEP $16,000
GM ACCEPTANCE CORP TRUCK & BUS GRP Ally Financial environmental violation 2006 IN-ENV $57,750
IMTT BAYONNE LLC Macquarie environmental violation 2006 NJ-ENV $111,375
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. investor protection violation 2006 FINRA $4,000,000
Edward D. Jones & Co., L.P. Jones Financial investor protection violation 2006 FINRA $250,000
RBC Dain Rauscher Inc. Royal Bank of Canada investor protection violation 2006 FINRA $250,000
Morgan Stanley DW Inc. Morgan Stanley investor protection violation 2006 FINRA $100,000
Chase Investment Services Corporation JPMorgan Chase investor protection violation 2006 FINRA $500,000
MetLife Securities, Inc MetLife investor protection violation 2006 FINRA $500,000
CCO Investment Services Corp. NatWest Group PLC investor protection violation 2006 FINRA $850,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2006 FINRA $800,000
MetLife, Inc. MetLife investor protection violation 2006 FINRA $5,000,000
Morgan Stanley Morgan Stanley investor protection violation 2006 FINRA $2,900,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2006 FINRA $1,115,000
ING America Insurance Holdings Inc. Voya Financial investor protection violation 2006 FINRA $7,000,000
BRUT LLC Nasdaq Inc. investor protection violation 2006 FINRA $2,200,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2006 FINRA $350,000
Credit Suisse Securities (USA), LLC Credit Suisse investor protection violation 2006 FINRA $225,000
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2006 FINRA $200,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2006 FINRA $5,000,000
Sanford C. Bernstein & Co. Equitable Holdings investor protection violation 2006 FINRA $350,000
Oppenheimer & Co. Inc. Oppenheimer Holdings investor protection violation 2006 FINRA $250,000
LOUIS DREYFUS CITRUS INC. Louis Dreyfus workplace safety or health violation 2006 OSHA $9,800
International Matex Tank Terminals Macquarie environmental violation 2006 EPA $157,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,040
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,040
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $20,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $6,600
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $6,600
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,300
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,280
MF Global Inc. MF Global investor protection violation 2007 CFTC $2,000,000
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC Bank of America data submission deficiencies 2007 CFTC $500,000
Interactive Brokers LLC Interactive Brokers Group investor protection violation 2007 CFTC $175,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2007 FAA $7,000
DORAL BANK Doral Financial banking violation 2007 FDIC $125,000
DORAL BANK Doral Financial banking violation 2007 FDIC $12,000
Cleco Power, LLC Macquarie energy market violation 2007 FERC $2,000,000
Capital City Bank Capital City Bank Group banking violation 2007 FED $85,045
Hanmi Bank Hanmi Financial Corp. banking violation 2007 FED $8,835
East West Bank East West Bancorp banking violation 2007 FED $16,245
Mellon Bank, N.A. Bank of New York Mellon False Claims Act and related 2007 DOJ_CIVIL $16,500,000
Compass Bank Banco Bilbao Vizcaya Argentaria discriminatory practices (non-employment) 2007 DOJ_RIGHTS $1,750,000
American Express Bank International American Express anti-money-laundering deficiencies 2007 DOJ_CRIMINAL $55,000,000
BB&T Truist Financial economic sanction violation 2007 OFAC $10,000
American Express Travel Related Services Co., Inc. American Express economic sanction violation 2007 OFAC $16,625
National Australia Bank Ltd. National Australia Bank economic sanction violation 2007 OFAC $100,000
Wachovia Bank Wells Fargo economic sanction violation 2007 OFAC $11,000
Keybank National Association KeyCorp banking violation 2007 OCC $27,750
First Tennessee Bank National Association First Horizon National banking violation 2007 OCC $125,000
Lasalle Bank MidWest National Association Bank of America banking violation 2007 OCC $125,000
Lasalle Bank National Association Bank of America banking violation 2007 OCC $79,524
Federal Home Loan Mortgage Corporation (Freddie Mac) Freddie Mac (Federal Home Loan Mortgage Corporation) investor protection violation 2007 SEC $50,000,000
Evergreen Investment Management Company Wells Fargo investor protection violation 2007 SEC $32,500,000
HSBC Bank USA, N.A. HSBC investor protection violation 2007 SEC $10,500,000
Swiss Re Financial Products Corporation Swiss Re investor protection violation 2007 SEC $95,000
General American Life Insurance Company MetLife investor protection violation 2007 SEC $3,300,000
First BanCorp First Bancorp (Puerto Rico) accounting fraud or deficiencies 2007 SEC $8,500,000
Barclays Bank PLC Barclays insider trading 2007 SEC $10,943,561
The BISYS Group Citigroup accounting fraud or deficiencies 2007 SEC $25,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley investor protection violation 2007 SEC $7,957,200
Zurich Capital Markets Inc. Zurich Insurance investor protection violation 2007 SEC $16,800,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)