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
Accident Fund General Insurance Company AF Group insurance violation 2018 TX-INS $75,000
LM Insurance Corporation Liberty Mutual Insurance insurance violation 2018 TX-INS $10,000
American Zurich Insurance Company Zurich Insurance insurance violation 2018 TX-INS $18,000
LM Insurance Corporation Liberty Mutual Insurance insurance violation 2018 TX-INS $42,000
Property and Casualty Insurance Company of Hartford Hartford Financial Services insurance violation 2018 TX-INS $65,000
XL Specialty Insurance Company AXA insurance violation 2018 TX-INS $30,000
Travelers Property Casualty Company of America Travelers insurance violation 2018 TX-INS $14,500
Accident Fund General Insurance Company AF Group insurance violation 2018 TX-INS $6,400
Accident Fund Insurance Company of America AF Group insurance violation 2018 TX-INS $19,800
Accident Fund National Insurance Company AF Group insurance violation 2018 TX-INS $19,100
National Interstate Insurance Company American Financial Group insurance violation 2018 TX-INS $10,000
Colonial County Mutual Insurance Company and Titan Insurance Services Inc. Nationwide insurance violation 2018 TX-INS $50,000
Cincinnati Insurance Company Cincinnati Financial insurance violation 2018 TX-INS $30,000
Ace American Insurance Company Chubb Limited insurance violation 2018 TX-INS $7,500
Marsh & McLennan Agency LLC Marsh & McLennan insurance violation 2018 TX-INS $7,600
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2018 TX-INS $6,300
Jefferson National Life Insurance Company Nationwide insurance violation 2018 TX-INS $15,000
Oscar Insurance Company Mulberry Health insurance violation 2018 TX-INS $75,000
Ace American Insurance Company Chubb Limited insurance violation 2018 TX-INS $9,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2018 TX-INS $8,400
The Travelers Indemnity Company Travelers insurance violation 2018 TX-INS $7,500
The Travelers Indemnity Company of Connecticut Travelers insurance violation 2018 TX-INS $20,000
Catlin Insurance Company Inc. AXA insurance violation 2018 UT-INS $100,000
Lawyers Title Company Fidelity National Financial insurance violation 2018 UT-INS $93,500
Allstate Indemnity Company Allstate insurance violation 2018 UT-INS $5,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2018 UT-INS $39,400
GRANITE STATE INSURANCE CO. American International Group insurance violation 2018 VA-INS $152,318
TOKIO MARINE KILN SYNDICATES, LTD. Tokio Marine insurance violation 2018 VA-INS $7,500
SELECTIVE INSURANCE CO. ET AL. Selective Insurance Group insurance violation 2018 VA-INS $10,000
LINCOLN FINANCIAL SECURITIES Lincoln National investor protection violation 2018 VA-SEC $20,000
MERCURY CASUALTY COMPANY Mercury General Corporation insurance violation 2018 VA-INS $173,650
ACADIA INSURANCE COMPANY ET AL W.R. Berkley insurance violation 2018 VA-INS $91,793
THE GENERAL AUTOMOBILE INSURANCE CO. American Family Insurance insurance violation 2018 VA-INS $66,996
LIBERTY MUTUAL FIRE INSURANCE Liberty Mutual Insurance insurance violation 2018 VA-INS $108,053
PROGRESSIVE NORTHERN INSURANCE CO. Progressive insurance violation 2018 VA-INS $1,818,318
USAA CASUALTY INSURANCE CO ET AL. USAA insurance violation 2018 VA-INS $4,396,720
ELEPHANT INSURANCE COMPANY Admiral Group insurance violation 2018 VA-INS $79,017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2018 VT-FIN $120,000
Berkley National Insurance Company W.R. Berkley insurance violation 2018 WA-INS $10,000
Ticor Title Company Fidelity National Financial insurance violation 2018 WA-INS $10,000
Unum Life Insurance Company Of America Unum insurance violation 2018 WA-INS $7,000
Lifewise Health Plan Of Washington Premera Blue Cross insurance violation 2018 WA-INS $40,000
Hartford Insurance Company The Midwest Hartford Financial Services insurance violation 2018 WA-INS $20,000
Athene Annuity And Life Company Athene Holding insurance violation 2018 WA-INS $10,000
Metropolitan Life Insurance Company MetLife insurance violation 2018 WA-INS $7,000
American Strategic Insurance Corp Progressive insurance violation 2018 WA-INS $10,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2018 WA-INS $10,000
Washington National Insurance Company CNO Financial insurance violation 2018 WA-INS $7,500
Crestbrook Insurance Company Nationwide insurance violation 2018 WA-INS $50,000
Fidelity & Guaranty Life Insurance Company Fidelity National Financial insurance violation 2018 WA-INS $5,000
Amica Mutual Insurance Company Amica Mutual Insurance insurance violation 2018 WA-INS $20,000
Nationwide Agribusiness Insurance Company Nationwide insurance violation 2018 WA-INS $25,000
State Farm Life Insurance Company State Farm Insurance insurance violation 2018 WA-INS $10,000
American Automobile Insurance Company Allianz insurance violation 2018 WA-INS $10,000
Allstate Life Insurance Company Allstate insurance violation 2018 MULTI-FIN $150,000
American Family Life Insurance Company of Columbus Aflac insurance violation 2018 MULTI-FIN $2,500,000
HCC Life Insurance Company et al. Tokio Marine insurance violation 2018 MULTI-FIN $5,000,000
LPL Financial LLC LPL Financial investor protection violation 2018 MULTI-FIN $26,000,000
MLD Mortgage Inc. dba The Money Store MLD Mortgage Inc. dba The Money Store consumer protection violation 2018 MULTI-FIN $720,000
Nationwide Mutual Insurance Company Nationwide insurance violation 2018 MULTI-FIN $725,000
HIGHMARK INC. Highmark Inc. workplace safety or health violation 2018 OSHA $25,868
BROADRIDGE FINANCIAL SOLUTIONS Broadridge Financial Solutions workplace safety or health violation 2018 OSHA $15,522
WHEELABRATOR MILLBURY INC. Macquarie workplace safety or health violation 2018 OSHA $9,472
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $12,321
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $8,260
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $8,260
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $12,321
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $10,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $14,459
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $5,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $9,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $13,348
Travelers Indemnity Company Travelers discriminatory practices (non-employment) 2018 private lawsuit-federal $450,000
ZURICH AMERICAN INS CO Zurich Insurance wage and hour violation 2018 IL-DOL $13,865
PRUDENTIAL INS CO OF AMER Prudential Financial environmental violation 2018 PA-ENV $9,000
BOWIE REFINED COAL LLC Trafigura environmental violation 2018 KY-ENV $12,200
International-Matex Tank Terminals, LLC Macquarie environmental violation 2018 LA-ENV $25,673
Barclays Bank PLC Barclays energy market manipulation 2017 FERC $105,000,000
HSBC Bank USA, National Association HSBC banking violation 2017 OCC $32,500,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2017 CFTC $900,000
Deutsche Bank Deutsche Bank toxic securities abuses 2017 DOJ_CIVIL $7,200,000,000
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2017 SEC $13,000,000
BNY Mellon Bank of New York Mellon investor protection violation 2017 SEC $6,600,000
Western Union Company Western Union anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $586,000,000
State Street Corporation State Street Corp. fraud 2017 DOJ_CRIMINAL $32,300,000
Credit Suisse Credit Suisse toxic securities abuses 2017 DOJ_CIVIL $5,280,000,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2017 CFTC $25,000,000
Toronto-Dominion Bank Toronto-Dominion Bank economic sanction violation 2017 OFAC $516,105
HomeStreet Inc HomeStreet Inc. accounting fraud or deficiencies 2017 SEC $500,000
E*TRADE Securities LLC Morgan Stanley investor protection violation 2017 CFTC $280,000
CitiFinancial Servicing and CitiMortgage, Inc. Citigroup consumer protection violation 2017 CFPB $28,800,000
Prospect Mortgage, LLC Homebridge Financial Services consumer protection violation 2017 CFPB $3,500,000
Mastercard International Inc. MasterCard consumer protection violation 2017 CFPB $13,000,000
ServiceLink Holdings, LLC Fidelity National Financial banking violation 2017 FED $65,000,000
Citigroup Global Markets Citigroup investor protection violation 2017 SEC $2,963,735
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2017 SEC $2,963,735
Citigroup Global Markets Citigroup investor protection violation 2017 SEC $18,300,000
JPMorgan Chase JPMorgan Chase discriminatory practices (non-employment) 2017 USAO $53,000,000
Royal Bank of Scotland plc Royal Bank of Scotland interest rate benchmark manipulation 2017 CFTC $85,000,000
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2017 CFPB $1,750,000
First Tennessee Bank National Association First Horizon National banking violation 2017 OCC $1,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)