Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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 Year Agency Penalty Amountsort icon
Fireman's Fund Insurance Co. Allianz insurance violation 2007 FL-OFR $5,500
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2010 MD-INS $5,500
United of Omaha Life Insurance Co. Mutual of Omaha insurance violation 2011 MD-INS $5,500
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2011 MD-INS $5,500
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2014 MD-INS $5,500
Liberty Mutual Insurance Co. et al. Liberty Mutual Insurance insurance violation 2015 MD-INS $5,500
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2009 NE-DBF $5,500
Securian Financial Services, Inc. Securian Financial consumer protection violation 2013 NE-DBF $5,500
Hartford Casualty Insurance Corporation Hartford Financial Services insurance violation 2011 TX-INS $5,500
American Home Assurance Company American International Group insurance violation 2013 TX-INS $5,500
Zurich American Insurance Company Zurich Insurance insurance violation 2014 TX-INS $5,500
State Farm Fire and Casualty Company State Farm Insurance insurance violation 2015 TX-INS $5,500
Twin City Fire Insurance Company Hartford Financial Services insurance violation 2015 TX-INS $5,500
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2016 TX-INS $5,500
United Insurance Company Kemper insurance violation 2012 UT-INS $5,500
New Hampshire Insurance Co. American International Group insurance violation 2020 TX-INS $5,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $5,500
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,503
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,503
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $5,503
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $5,503
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2012 MSHA $5,503
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $5,503
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $5,504
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $5,504
GMAC Mortgage, LLC Ally Financial environmental violation 2010 AL-ENV $5,505
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2017 MSHA $5,517
ALLIED PROPERTY & CASUALTY INSURANCE Nationwide insurance violation 2014 VA-INS $5,530
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $5,534
CLECO CORPORATION Macquarie workplace safety or health violation 2017 OSHA $5,545
World Acceptance Corporation World Acceptance Corporation wage and hour violation 2019 WHD $5,549
Lansing Trade Group LLC Lansing Trade Group environmental violation 2012 EPA $5,586
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2012 MSHA $5,596
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $5,596
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2012 MSHA $5,596
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2015 NE-DBF $5,600
THE HARTFORD FINANCIAL SERVICES GROUP, INC. Hartford Financial Services workplace safety or health violation 2011 OSHA $5,600
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $5,600
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $5,600
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $5,600
FIDELITY NATIONAL FINANCIAL, INC. Fidelity National Financial workplace safety or health violation 2015 OSHA $5,605
IMTT BAYONNE Macquarie railroad safety violation 2008 FRA $5,625
Conseco Life Insurance Co. CNO Financial insurance violation 2000 FL-OFR $5,625
INTERNATIONAL AUTOMOTIVE COMPONENTS Invesco workplace safety or health violation 2007 OSHA $5,625
Midland States Bank Midland States Bancorp banking violation 2013 FED $5,645
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $5,645
American Express Travel Related Services Co. American Express wage and hour violation 2021 WHD $5,663
Chubb Indemnity Company Chubb Limited insurance violation 2014 TX-INS $5,725
Allied Home Mortgage Capital Corp. Americus Mortgage consumer protection violation 2009 KY-FIN $5,740
Phoenix Insurance Company Travelers insurance violation 2014 TX-INS $5,750
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 SD-SEC $5,750
IAC DAYTON LLC Invesco workplace safety or health violation 2013 OSHA $5,775
Mastercard International, Inc MasterCard wage and hour violation 2008 WHD $5,777
ASURION, LLC. Asurion workplace safety or health violation 2020 OSHA $5,783
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2012 NE-DBF $5,800
Commerce and Industry Insurance Company American International Group insurance violation 2014 TX-INS $5,800
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2004 MSHA $5,800
Bank of America, NA Bank of America wage and hour violation 2010 WHD $5,827
The Bank of New York Bank of New York Mellon economic sanction violation 2005 OFAC $5,844
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2021 MSHA $5,844
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2021 MSHA $5,844
Old Republic Insurance Company Old Republic International insurance violation 2019 TX-INS $5,850
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLC Invesco workplace safety or health violation 2011 OSHA $5,850
Illinois National Insurance Company American International Group insurance violation 2012 TX-INS $5,856
DITECH INC Ditech Holding Corporation workplace safety or health violation 2014 OSHA $5,880
Federal Insurance Co. Chubb Limited insurance violation 2008 MO-INS $5,900
AMERICAN INTERNATIONAL GROUP American International Group workplace safety or health violation 2003 OSHA $5,900
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $5,900
Praetorian Insurance Company QBE Insurance insurance violation 2019 MD-INS $5,920
Protective Life Insurance Co. Dai-ichi Life insurance violation 2004 FL-OFR $5,950
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $5,961
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2013 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2012 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2014 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2014 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2014 MSHA $5,961
Bank of America Corporation Bank of America wage and hour violation 2004 WHD $5,972
Louis Dreyfus Company LLC Louis Dreyfus railroad safety violation 2016 FRA $6,000
CNG FINANCIAL CORPORATION CNG Financial labor relations violation 2001 NLRB $6,000
Louis Dreyfus Company LLC Louis Dreyfus railroad safety violation 2018 FRA $6,000
Interactive Brokers, LLC Interactive Brokers Group investor protection violation 2013 AR-SEC $6,000
Ticor Title Company of California Fidelity National Financial insurance violation 2018 CA-INS $6,000
Commerce and Industry Insurance Co. American International Group insurance violation 2005 CO-INS $6,000
Old Republic Insurance Co. Old Republic International insurance violation 2006 CO-INS $6,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2006 CO-INS $6,000
Nationwide Mutual Fire Insurance Co. Nationwide insurance violation 2007 CO-INS $6,000
Nationwide Property and Casualty Insurance Co. Nationwide insurance violation 2007 CO-INS $6,000
PHH Mortgage Corp. dba Century Mortgage Ocwen Financial consumer protection violation 2009 CT-BKG $6,000
Life Insurance Company of the Southwest National Life Group insurance violation 2014 DE-INS $6,000
The Travelers Indemnity Company of America et al. Travelers insurance violation 2020 DE-INS $6,000
STANDARD GUARANTY INSURANCE COMPANY Assurant insurance violation 2001 FL-OFR $6,000
Globe Life and Accident Insurance Co. Globe Life Inc. insurance violation 2001 FL-OFR $6,000
Ace American Insurance Co. Chubb Limited insurance violation 2003 FL-OFR $6,000
Continental Western Insurance Co. W.R. Berkley insurance violation 2012 KS-INS $6,000
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2016 KY-FIN $6,000
Axa Insurance Co. AXA insurance violation 2019 LA-INS $6,000
Zurich Direct Zurich Insurance insurance violation 2002 MA-INS $6,000
Harleysville Worcester Insurance Company Nationwide insurance violation 2002 MA-INS $6,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2013 MD-INS $6,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)