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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
The Hartford Casualty Insurance Co. and Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2022MN-FIN$11,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2022MN-FIN$25,000
Transamerica Life Insurance CompanyAegoninsurance violation2022NE-DOI$25,000
Ameritas Investment Co.Ameritas Mutual Holding Companyinvestor protection violation2022NV-SEC$15,000
Navient Corp. and Navient Solutions, LLCNavientconsumer protection violation2022NH-AG$3,590,988
Nationwide Life Insurance CompanyNationwideinsurance violation2022NY-DFS$5,640,000
MoneyGram International Inc.MoneyGram Internationalanti-money-laundering deficiencies2022NY-DFS$8,250,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022NY-DFS$2,200,000
Progressive Direct Insurance CompanyProgressiveinsurance violation2022NY-DFS$2,000,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2022ND-INS$5,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2022PA-INS$25,000
National Casualty CompanyNationwideinsurance violation2022RI-FIN$20,000
SYNAGRO WOONSOCKET, LLCGoldman Sachsenvironmental violation2022RI-ENV$120,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2022SD-INS$45,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$7,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$20,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$5,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$12,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$14,000
Ace American Insurance Co.Chubb Limitedinsurance violation2022TX-INS$6,500
Acadia Insurance CompanyW.R. Berkleyinsurance violation2022VT-FIN$100,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2022VT-FIN$640,000
Servicelink, LLCFidelity National Financialconsumer protection violation2022VA-INS$5,000
United Services Automobile Association et al.USAAconsumer protection violation2022VA-INS$71,358
Travelers Indemnity Company et al.Travelersinsurance violation2022WA-INS$20,000
Lifewise Health Plan of Washington and Premera Blue CrossPremera Blue Crossinsurance violation2022WA-INS$100,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2022WA-INS$50,000
Cincinnati Insurance Company et al.Cincinnati Financialinsurance violation2022WA-INS$5,000
Fidelity National Title Company of Washington IncFidelity National Financialinsurance violation2022WA-INS$5,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2022WI-INS$5,000
Bank of AmericaBank of Americaconsumer protection violation2022CFPB$10,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of Americainvestor protection violation2022FINRA$15,200,000
Bank of America, N.A.Bank of Americadiscriminatory practices (non-employment)2022HUD$15,000
Glencore International A.G. and Glencore Ltd.GlencoreForeign Corrupt Practices Act2022DOJ_CRIMINAL(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,185,000,000
Jardine Lloyd Thompson Group Holdings Ltd.Marsh & McLennanForeign Corrupt Practices Act2022DOJ_CRIMINAL$29,081,951
Banco Popular de Puerto RicoPopular Inc.economic sanction violation2022OFAC$255,938
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022OCC$60,000,000
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.investor protection violation2022SEC$187,000,000
BNY Mellon Investment Adviser, Inc.Bank of New York Melloninvestor protection violation2022SEC$1,500,000
Wells Fargo AdvisorsWells Fargoanti-money-laundering deficiencies2022SEC$7,000,000
First Republic Investment Management, Inc.First Republic Bankinvestor protection violation2022SEC$1,825,953
Allianz Global Investors U.S. LLCAllianzinvestor protection violation2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,024,200,000
USAA Federal Savings BankUSAAanti-money-laundering deficiencies2022FINCEN$80,000,000
Allianz Global Investors U.S. LLCAllianzinvestor protection violation2022USAO$5,763,000,000
Kemper Corp.Kemperprivacy violation2022private lawsuit-federal$17,100,000
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2022OSHA$12,327
BOYD CORPORATIONGoldman Sachsworkplace safety or health violation2022OSHA$24,862
SYNAGRO WWT INCGoldman Sachsworkplace safety or health violation2022OSHA$11,095
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2022CFTC$1,010,828
Glencore International A.G.Glencoreenergy market manipulation2022CFTC$1,186,000,000
American Express CompanyAmerican Expressemployment discrimination2022DOJ_RIGHTS$29,008
UBS Financial Services Inc.UBSinvestor protection violation2022SEC$25,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.