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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 TypeYearAgencyPenalty Amount sort icon
Nyrstar Clarksville, Inc.Trafigurarailroad safety violation2010FRA$5,000
Peter Cremer CompanyCremerrailroad safety violation2011FRA$5,000
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2005FAA$5,000
UBS (USA) IncUBSeconomic sanction violation2003OFAC$5,000
TD BanknorthToronto-Dominion Banklabor relations violation2006NLRB$5,000
CINCINNATI BELL TELEPHONE A DIVISION OF BROADWINGMacquarielabor relations violation2005NLRB$5,000
NEOVIA LOGISTICSGoldman Sachsaviation safety violation2015FAA$5,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$5,000
Bankers Life and Casualty CompanyCNO Financialprivacy violation2002KY-AG$5,000
Discover Financial Services, Inc./Millenium Teleservices, Inc.Discover Financial Servicesprivacy violation2002KY-AG$5,000
HealthNow New YorkHighmark Inc.consumer protection violation2005NY-AG$5,000
PNC BankPNC Financial Servicesprivacy violation2002KY-AG$5,000
Aon Risk Services Inc. of WashingtonAoninsurance violation2002AK-INS$5,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2013AR-INS$5,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2011AR-SEC$5,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2019AR-SEC$5,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2012AZ-DIFI$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2002CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2002CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2004CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2005CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2006CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2006CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2006CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2007CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2007CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2010CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2010CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2010CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2010CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2010CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2010CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2010CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2011CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2011CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2011CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2012CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2012CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2012CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2012CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2013CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2013CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2013CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2013CA-MHC$5,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2013CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2013CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2013CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2013CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2014CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2014CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2014CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2014CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2014CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2014CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2014CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2015CA-MHC$5,000
Blue Shield of California Promise Health PlanCalifornia Physicians' Serviceinsurance violation2016CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2016CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2016CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2016CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2017CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2017CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2017CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2017CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2017CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2017CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2018CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2018CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2018CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2019CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2019CA-MHC$5,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2019CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2019CA-MHC$5,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2019CA-MHC$5,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2007CO-INS$5,000
ING USA Annuity and Life Insurance Co.Voya Financialinsurance violation2007CO-INS$5,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2010CT-SEC$5,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2019CT-INS$5,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2018DC-DISB$5,000
New York Life Insurance and Annuity Corp.New York Life Insuranceinsurance violation2018DE-INS$5,000
AXA Equitable Life Insurance Co.Equitable Holdingsinsurance violation2018DE-INS$5,000
Illinois National Insurance Co.American International Groupinsurance violation2003FL-OFR$5,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2004FL-OFR$5,000
Scottsdale Insurance Co.Nationwideinsurance violation2005FL-OFR$5,000
State Farm Florida Insurance Co.State Farm Insuranceinsurance violation2005FL-OFR$5,000
Travelers Casualty & Surety Company of America et al.Travelersinsurance violation2011IA-INS$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.