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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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
AIG Property Casualty Co.American International Groupinsurance violation2015MD-INS$22,500
Progressive Specialty Insurance Co.Progressiveinsurance violation2016MD-INS$22,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2015MN-FIN$22,500
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2018MO-INS$22,500
American Home Assurance CompanyAmerican International Groupinsurance violation2009TX-INS$22,500
Federal Insurance CompanyChubb Limitedinsurance violation2017TX-INS$22,500
BUCKEYE PIPE LINE CO LPIFM Investorsenvironmental violation2019IN-ENV$22,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$22,500
XL Specialty Insurance CompanyAXAinsurance violation2023TX-INS$22,500
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2013HUD$22,449
Nationwide Life and Annuity Insurance Co.Nationwideinsurance violation2016FL-OFR$22,435
IFCO Systems North America, Inc.Triton Investments Adviserswage and hour violation2009WHD$22,377
GE ENERGY MANAGEMENT GRID SOLUTIONS, LLCSynchrony Financialworkplace safety or health violation2015OSHA$22,300
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$22,250
Royal Bank of CanadaRoyal Bank of Canadainvestor protection violation2009DE-AG$22,156
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020GA-SEC$22,104
REPUBLIC BANK & TRUST COMPANYRepublic Bancorpbanking violation2009FDIC$22,000
State Street Bank & Trust CoState Street Corp.economic sanction violation2003OFAC$22,000
MAINSOURCE BANKFirst Financial Bancorp.banking violation2010FDIC$22,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2010KS-INS$22,000
Ace American Insurance CompanyChubb Limitedinsurance violation2018TX-INS$22,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2018TX-INS$22,000
CITIGROUP GLOBAL MARKETSCitigroupinvestor protection violation2008VA-SEC$22,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2021NY-DFS$22,000
Branch Banking & Trust CorporationTruist Financialcampaign finance violation2001FEC$22,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$22,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$22,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$22,000
Everest National Insurance CompanyEverest Re Groupinsurance violation2023TX-INS$22,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$22,000
Travelers Casualty & Surety CompanyTravelersinsurance violation2023TX-INS$22,000
ING AmericaVoya Financialwage and hour violation2010WHD$21,986
GREAT SOUTHERN BANKGreat Southern Bancorpbanking violation2011FDIC$21,935
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$21,800
First American Title Insurance Co.First American Financialinsurance violation2010MN-FIN$21,750
QBE Insurance CorporationQBE Insuranceinsurance violation2016TX-INS$21,565
American Alternative Insurance Corp.Munich Reinsurance violation2003FL-OFR$21,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2016TX-INS$21,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$21,500
Trafigura AGTrafiguraenvironmental violation2015EPA$21,450
Allstate Financial Services, LLCAllstateinvestor protection violation2002FL-OFR$21,300
The Travelers Indemnity CompanyTravelerswage and hour violation2009WHD$21,283
WHEELABRATOR FALLS INCMacquarieenvironmental violation2006PA-ENV$21,079
Fidelity & Guaranty Insurance CompanyFidelity National Financialinsurance violation2001MA-INS$21,037
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$21,029
Foremost Property & Casualty Insurance Co.Zurich Insuranceinsurance violation2015AZ-DIFI$21,000
Kemper Investors Life Insurance Co. et al.Kemperinsurance violation2005CA-INS$21,000
XL Specialty Insurance Co.AXAinsurance violation2012MO-INS$21,000
Phoenix Insurance Co.Travelersinsurance violation2016MO-INS$21,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2015NY-DFS$21,000
Hartford Casualty Insurance Company et al.Hartford Financial Servicesinsurance violation2008TX-INS$21,000
HARLEYSVILLE MUTUAL INSURANCE CONationwideinsurance violation2001VA-INS$21,000
CMFG LIFE INSURANCE COMPANYCUNA Mutualinsurance violation2014VA-INS$21,000
LOUIS DREYFUS CITRUS INCLouis Dreyfusenvironmental violation2008FL-DEP$21,000
IAC HURON, LLCInvescoworkplace safety or health violation2011OSHA$20,940
American Home Assurance Co.American International Groupinsurance violation2012TX-INS$20,784
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2000CO-INS$20,750
Regions BankRegions Financialenvironmental violation2017TN-ENV$20,750
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2009MO-INS$20,725
Travelers Indemnity Company of IllinoisTravelersinsurance violation2003FL-OFR$20,500
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2015NE-DBF$20,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$20,500
The Travelers Indemnity Company of America et al.Travelersinsurance violation2014MD-INS$20,400
AllianceBernstein L.P.Equitable Holdingsinvestor protection violation2013CO-SEC$20,232
BancFirst Insurance Services, Inc.BancFirstwage and hour violation2014WHD$20,229
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$20,122
BUCKEYE PORT READING TERMINAL LLCIFM Investorsenvironmental violation2006NJ-ENV$20,005
Santander Bank & Trust (Bahamas) LtdBanco Santandereconomic sanction violation2004OFAC$20,000
First National Bank of OmahaFirst National of Nebraskabanking violation2005OCC$20,000
Mitsubishi UFJ Securities (USA), Inc.Mitsubishi UFJ Financial Groupinvestor protection violation2016SEC$20,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2015SEC$20,000
Fahnestock & Co., Inc.Oppenheimer Holdingsinvestor protection violation2000SEC$20,000
American Bankers Insurance Co.Assurantconsumer protection violation2006MA-AG$20,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceconsumer protection violation2010MA-AG$20,000
Metropolitan Property & CasualtyZurich Insuranceconsumer protection violation2010MA-AG$20,000
Peerless Insurance Co.Liberty Mutual Insuranceconsumer protection violation2010MA-AG$20,000
The Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2007MA-AG$20,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2019AK-INS$20,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2017AL-SEC$20,000
American Express Prepaid Card Management Corp.American Expressconsumer protection violation2010AR-SEC$20,000
CitiMortgage, Inc.Citigroupconsumer protection violation2014AR-SEC$20,000
Titan Indemnity Co.Nationwideinsurance violation2010AZ-DIFI$20,000
Sentry Insurance A Mutual Co.Sentry Insuranceinsurance violation2015AZ-DIFI$20,000
Amco Insurance Co. and Allied Property and Casualty Insurance Co.Nationwideinsurance violation2005CA-INS$20,000
AllianceBernstein L.P.Equitable Holdingsinvestor protection violation2012DE-SEC$20,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2019DE-INS$20,000
Sagamore Insurance Co.Progressiveinsurance violation2001KS-INS$20,000
Farmers Insurance Company, Inc.Zurich Insuranceinsurance violation2016KS-INS$20,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2016KS-INS$20,000
PennyMac Loan Services, LLCPennyMac Financial Servicesconsumer protection violation2015KY-FIN$20,000
Fireman's Fund Insurance CompanyAllianzinsurance violation2002MA-INS$20,000
Titan Indemnity Co. and Victoria Fire and Casualty Co.Nationwideinsurance violation2011MD-INS$20,000
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2013MD-INS$20,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2015MD-INS$20,000
Allied Property And Casualty Insurance Co. et al.Nationwideinsurance violation2016MD-INS$20,000
Crum & Forster Indemnity Co.Fairfax Financial Holdingsinsurance violation2018MD-INS$20,000
National Union Fire Insurance Company of Pittsburgh, Pennsylvania et al.American International Groupinsurance violation2020MD-INS$20,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$20,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2011ME-INS$20,000
Illinois Farmers Insurance Co.Zurich Insuranceinsurance violation2003MN-FIN$20,000
AMCO Insurance Co.Nationwideinsurance violation2013MN-FIN$20,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.