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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $339,976,074,213
Number of Records: 6,952
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 Current 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$16,879,318,334102
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.

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CompanyCurrent ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
HARTFORD CASUALTY INSURANCE COMPANYHartford Financial Servicesinsurance violation2020WA-INS$90,000
ACE AMERICAN INSURANCE COMPANY ET AL.Chubb Limitedinsurance violation2020WA-INS$50,000
NEW HAMPSHIRE INSURANCE COMPANYAmerican International Groupinsurance violation2020WA-INS$15,000
AMERICAN ECONOMY INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2020WA-INS$6,000
CONTINENTAL WESTERN INSURANCE COMPANYW.R. Berkleyinsurance violation2020WA-INS$10,000
AMERICAN ECONOMY INSURANCE COMPANY ET AL.Liberty Mutual Insuranceinsurance violation2020WA-INS$10,000
HORACE MANN INSURANCE COMPANYHorace Mann Educators Corp.insurance violation2020WA-INS$5,000
AmeriSave Mortgage CorporationAmeriSave Mortgageprivacy violation2020private lawsuit-federal$6,250,000
Wells Fargo BankWells Fargowage and hour violation2020private lawsuit-federal$10,928,870
Wells Fargo & CompanyWells Fargobenefit plan administrator violation2020private lawsuit-federal$79,000,000
Wells Fargo Bank, N.A.Wells Fargowage and hour violation2020private lawsuit-federal$25,696,122
Premera Blue CrossPremera Blue Crossprivacy violation2020private lawsuit-federal$74,000,000
RR DonnelleyChatham Asset Managementwage and hour violation2020IL-DOL$30,000
WHEELABRATOR FALLS INCMacquarieenvironmental violation2020PA-ENV$12,000
California Physicians' Service dba. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2020CA-MHC$5,000
California Physicians' Service dba. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2020CA-MHC$5,000
California Physicians' Service dba. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2020CA-MHC$10,000
Discover Bank et al.Discover Financial Servicesconsumer protection violation2020CFPB$35,000,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020CFPB$4,750,000
RBS Financial Products, Inc.NatWest Group PLCtoxic securities abuses2020MD-AG$18,000,000
Everest Reinsurance CompanyEverest Re Groupinsurance violation2020MN-FIN$8,000
American Family Mutual Insurance Co. and American Family Insurance Co.American Family Insuranceinsurance violation2020MN-FIN$35,000
PayPal, Inc. dba VenmoPayPal Holdingsconsumer protection violation2020MN-FIN$20,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020NH-BSR$26,250,000
USAA Federal Savings BankUSAAbanking violation2020OCC$382,500
State Farm Bank, FSBState Farm Insurancebanking violation2020OCC$547,200
Pruco Securities, LLCPrudential Financialinvestor protection violation2020SEC$18,252,341
Voya Financial Advisors, Inc.Voya Financialinvestor protection violation2020SEC$22,919,155
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2020SEC$65,000,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2020TN-INS$30,000
Buckeye Texas Processing LLCIFM Investorsenvironmental violation2020TX-ENV$607,617
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2020TX-INS$15,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2020TX-INS$9,500
Unitrin County Mutual Insurance CompanyKemperinsurance violation2020TX-INS$80,000
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2020TX-INS$8,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2020TX-INS$8,500
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2020TX-INS$7,500
Erie Insurance Company and Erie Insurance ExchangeErie Indemnityinsurance violation2020VA-INS$19,371
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2020VA-INS$7,800
TIAA Bank, FSBTIAAwage and hour violation2020private lawsuit-federal$3,500,000
Transamerica Financial Advisors, Inc.Aegoninvestor protection violation2020FINRA$8,800,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2020FINRA$2,075,000
Interactive Brokers LLCInteractive Brokers Groupanti-money-laundering deficiencies2020FINRA$15,000,000
SG Americas Securities, LLCSociete Generaleinvestor protection violation2020FINRA$1,550,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020FINRA$7,200,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2020FINRA$3,650,000
State Farm Fire & Casualty CompanyState Farm Insuranceinsurance violation2020CT-INS$60,000
Transamerica Life Insurance CompanyAegoninsurance violation2020CT-INS$10,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020CT-INS$10,000
Minnesota Life Insurance CompanySecurian Financialinsurance violation2020CT-INS$7,000
Standard Insurance CompanyMeiji Yasuda Life Insuranceinsurance violation2020CT-INS$10,000
Principal Life Insurance CompanyPrincipal Financialinsurance violation2020CT-INS$10,000
Harleysville Worcester Insurance CompanyNationwideinsurance violation2020CT-INS$6,500
Progressive Direct Insurance CompanyProgressiveinsurance violation2020CT-INS$56,500
Crestbrook Insurance CompanyNationwideinsurance violation2020CT-INS$15,500
American Guarantee and Liability Insurance CompanyZurich Insuranceinsurance violation2020CT-INS$10,000
Janney Montgomery Scott, LLCPenn Mutualinvestor protection violation2020CT-SEC$250,000
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-SEC$7,500
Transamerica Financial Life Insurance CompanyAegoninsurance violation2020NY-DFS$750,000
Mercury Casualty CompanyMercury General Corporationinsurance violation2020NY-DFS$11,000
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020NY-DFS$300,800
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020NY-DFS$39,750
HSBCHSBCemployment discrimination2020NY-NYCCHR$30,000
Zurich American Life Insurance Company of New YorkZurich Insuranceinsurance violation2020NY-DFS$25,000
ReliaStar Life Insurance Company of New YorkVoya Financialinsurance violation2020NY-DFS$169,000
Bankers Conseco Life Insurance CompanyCNO Financialinsurance violation2020NY-DFS$75,000
William Penn Life Insurance Company of New YorkLegal & General Group PLCinsurance violation2020NY-DFS$110,000
National Integrity Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2020NY-DFS$20,000
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2020NY-DFS$84,668
NYRSTAR CLARKSVILLE, INC.Trafiguraworkplace safety or health violation2020OSHA$28,916
MASS MUTUAL INSTITUTIONAL FUNDSMassachusetts Mutual Life Insuranceworkplace safety or health violation2020OSHA$9,639
GAS COMPANY LLCMacquarieworkplace safety or health violation2020OSHA$9,832
ASURION, LLC.Asurionworkplace safety or health violation2020OSHA$5,783
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2020MSHA$5,332
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2020MSHA$6,159
Solium Financial ServicesMorgan Stanleyinvestor protection violation2021DC-DISB$9,879
JPMorgan Chase BankJPMorgan Chasediscriminatory practices (non-employment)2021HUD$50,000
New York Life Insurance & Annuity CorporationNew York Life Insuranceconsumer protection violation2021NY-DFS$10,929,000
First American Title Co.First American Financialinsurance violation2021CA-INS$50,000
California Physicians' Service dba. Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2021CA-MHC$5,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$75,000
John Hancock Life Insurance Co.Manulife Financialinsurance violation2021DE-INS$5,000
Deutsche BankDeutsche BankForeign Corrupt Practices Act2021DOJ_CRIMINAL$87,091,424
Capital One, National AssociationCapital One Financialanti-money-laundering deficiencies2021FINCEN$290,000,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2021MN-FIN$10,000
CitibankCitigroupconsumer protection violation2021MULTI-AG$4,200,000
E*Trade Securities LLCMorgan Stanleyinvestor protection violation2021NH-BSR$5,000
BUCKEYE PIPE LINE COIFM Investorsenvironmental violation2021NJ-ENV$16,000
American International GroupAmerican International Groupinsurance violation2021NY-DFS$12,000,000
Liberty Northwest Insurance Corp.Liberty Mutual Insuranceinsurance violation2021OR-FIN$5,000
Safeco Insurance Company of OregonLiberty Mutual Insuranceinsurance violation2021OR-FIN$5,000
Deutsche Bank AGDeutsche BankForeign Corrupt Practices Act2021SEC$43,000,000
Nationwide Mutual Insurance Company et al.Nationwideinsurance violation2021TX-INS$75,000
Farmers Insurance Exchange and Truck Insurance ExchangeFarmers Insurance Exchangeinsurance violation2021VA-INS$15,950
CMFG Life Insurance CompanyCUNA Mutualinsurance violation2021VA-INS$7,500
Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2021VT-FIN$287,000
Travelers Home and Marine Insurance CompanyTravelersinsurance violation2021WA-INS$10,000
Wells Fargo & Co.Wells Fargoemployment discrimination2021private lawsuit-federal$18,700,000
Aon Hewitt Health Market Insurance Solutions, Inc.Aonwage and hour violation2021private lawsuit-federal$1,250,000
BB&T Equipment Finance LLCTruist Financialconsumer protection violation2021CA-DFPI$75,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.