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 Parent Primary Offense Type Yearsort icon Agency Penalty Amount
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2008 MS-SEC $150,000
Safety National Casualty Corp. Tokio Marine insurance violation 2008 MS-INS $10,000
Countrywide Home Loans Inc. Bank of America consumer protection violation 2008 NC-BKG $1,611,500
American General Financial Services, Inc. OneMain Holdings consumer protection violation 2008 NE-DBF $30,000
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2008 NE-DBF $11,000
Cadaret, Grant & Co., Inc. Atria Wealth Solutions investor protection violation 2008 NE-DBF $10,000
Household Finance Corpoation HSBC consumer protection violation 2008 NE-DBF $55,000
MoneyGram Payment Systems, Inc. MoneyGram International consumer protection violation 2008 NE-DBF $6,000
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2008 NH-BSR $3,400,000
John Alden Life Insurance Company Assurant insurance violation 2008 NH-INS $450,000
Time Insurance Company Haven Holdings insurance violation 2008 NH-INS $450,000
Chicago Title Insurance Company Fidelity National Financial insurance violation 2008 NJ-DBI $20,000
Monumental Life Insurance Company Aegon insurance violation 2008 NJ-DBI $250,000
HealthNow New York Inc. Highmark Inc. insurance violation 2008 NY-DFS $1,050,000
Waddell & Reed Inc. Waddell & Reed Financial Inc. investor protection violation 2008 OK-SEC $10,000
Virginia Surety Company, Inc. Assurant insurance violation 2008 OR-FIN $25,000
QBE Insurance Corporation QBE Insurance insurance violation 2008 OR-FIN $17,700
Bankers Life and Casualty Company CNO Financial insurance violation 2008 OR-FIN $150,000
First American Title Insurance Company of Oregon First American Financial insurance violation 2008 OR-FIN $6,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2008 OR-FIN $6,500
American International Insurance Group Inc. American International Group insurance violation 2008 PA-INS $9,125,400
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2008 PA-INS $40,000
Security Life of Denver Insurance Company Voya Financial insurance violation 2008 PA-INS $20,000
Aon Risk Services Central Inc. Aon insurance violation 2008 PA-INS $5,000
Marsh USA Inc. Marsh & McLennan insurance violation 2008 PA-INS $50,000
AIG National Insurance Company American International Group insurance violation 2008 RI-FIN $10,000
Allstate Texas Lloyd's Allstate insurance violation 2008 TX-INS $71,300,000
Hartford Casualty Insurance Company et al. Hartford Financial Services insurance violation 2008 TX-INS $21,000
Sentry Insurance Sentry Insurance insurance violation 2008 TX-INS $5,000
Hartford Fire Insurance Company Hartford Financial Services insurance violation 2008 TX-INS $6,000
A.G. Edwards & Sons Inc. Wells Fargo investor protection violation 2008 TX-SEC $5,000
Morgan Stanley & Co. Inc. Morgan Stanley investor protection violation 2008 TX-SEC $400,000
Ace American Insurance Company Chubb Limited insurance violation 2008 TX-INS $17,500
Ace American Insurance Company Chubb Limited insurance violation 2008 TX-INS $14,875
Indemnity Insurance Company of North America Chubb Limited insurance violation 2008 TX-INS $18,000
Old Republic Insurance Company Old Republic International insurance violation 2008 TX-INS $18,000
Virginia Surety Company, Inc. Assurant insurance violation 2008 TX-INS $7,000
Ace American Insurance Company et al. Chubb Limited insurance violation 2008 TX-INS $50,000
Ace American Insurance Company Chubb Limited insurance violation 2008 TX-INS $37,500
Indemnity Insurance Company of North America Chubb Limited insurance violation 2008 TX-INS $7,500
LPL Financial Corporation LPL Financial investor protection violation 2008 TX-SEC $5,000
AIU INSURANCE COMPANY ET AL. American International Group insurance violation 2008 VA-INS $100,000
AIG CASUALTY INSURANCE CO., ET AL. American International Group insurance violation 2008 VA-INS $10,000
Group Hospitalization and Medical Services, Inc. CareFirst of Maryland insurance violation 2008 VA-INS $10,000
CAREFIRST BLUECHOICE, INC. CareFirst of Maryland insurance violation 2008 VA-INS $5,000
AMERIPRISE FINANCIAL SERVICES Ameriprise Financial investor protection violation 2008 VA-SEC $780,000
ALLIED CASH ADVANCE VIRGINIA CNG Financial consumer protection violation 2008 VA-FIN $38,000
HARTFORD LIFE AND ANNUITY INSURANCE Hartford Financial Services insurance violation 2008 VA-INS $5,000
STATE FARM FIRE, ET AL. State Farm Insurance insurance violation 2008 VA-INS $35,000
ALLIED HOME MORTGAGE CAPITAL Americus Mortgage consumer protection violation 2008 VA-FIN $5,000
CITIGROUP GLOBAL MARKETS Citigroup investor protection violation 2008 VA-SEC $22,000
Conseco Senior Health Insurance Co. CNO Financial insurance violation 2008 WI-INS $100,000
Travelers Casualty & Surety Company of America Travelers insurance violation 2008 WI-INS $30,000
Universal Underwriters Service Corp. Zurich Insurance insurance violation 2008 WI-INS $10,000
Bank of America Bank of America investor protection violation 2008 MULTI-FIN (*) $50,000,000
Conseco Senior Health Insurance Company and Bankers Life and Casualty Company CNO Financial insurance violation 2008 MULTI-FIN $2,342,728
Credit Suisse Securities (USA) LLC Credit Suisse investor protection violation 2008 MULTI-FIN $15,000,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2008 MULTI-FIN (*) $15,000,000
Goldman Sachs Goldman Sachs investor protection violation 2008 MULTI-FIN (*) $22,500,000
JPMorgan Chase & Co. JPMorgan Chase investor protection violation 2008 MULTI-FIN (*) $25,000,000
Merrill Lynch Bank of America investor protection violation 2008 MULTI-FIN (*) $125,000,000
Morgan Stanley Morgan Stanley investor protection violation 2008 MULTI-FIN (*) $35,000,000
Prosper Marketplace, Inc. Prosper Marketplace investor protection violation 2008 MULTI-FIN $1,000,000
RBC Capital Markets Corporation Royal Bank of Canada investor protection violation 2008 MULTI-FIN (*) $9,800,000
UBS Securities LLC and UBS Financial Services Inc. UBS investor protection violation 2008 MULTI-FIN (*) $150,000,000
Wachovia Securities LLC Wells Fargo investor protection violation 2008 MULTI-FIN (*) $50,000,000
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P. Louis Dreyfus workplace safety or health violation 2008 OSHA $4,050,000
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.: I Louis Dreyfus workplace safety or health violation 2008 OSHA $2,000,000
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INC Invesco workplace safety or health violation 2008 OSHA $59,000
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $6,153
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $8,574
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $15,570
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2008 MSHA $6,996
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $18,271
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $5,080
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2008 MSHA $10,705
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $8,209
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $8,209
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2008 MSHA $14,743
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2008 MSHA $13,268
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $16,362
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2008 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $6,458
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $6,458
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $9,634
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $5,080
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $9,634
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $6,458
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $5,900
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $12,248
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2008 MSHA $8,209
LOUIS DREYFUS CITRUS INC Louis Dreyfus environmental violation 2008 FL-DEP $21,000
MANULIFE FINANCIAL Manulife Financial environmental violation 2008 MA-ENV $18,030
BROADRIDGE FINANCIAL SOLUTIONS INC Broadridge Financial Solutions environmental violation 2008 NJ-ENV $6,500
Sherwin Alumina, L.P. Glencore environmental violation 2008 TX-ENV $23,200
International Matex Tank Terminals Macquarie railroad safety violation 2009 FRA $8,000
International Matex Tank Terminals Macquarie railroad safety violation 2009 FRA $8,000
International Matex Tank Terminals Macquarie railroad safety violation 2009 FRA $18,200
MF Global Inc. MF Global investor protection violation 2009 CFTC $10,000,000
Citigroup Private Bank GP, Inc. Citigroup data submission deficiencies 2009 CFTC $100,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)