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 Year Agency Penalty Amountsort icon
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
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
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
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
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
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
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
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $5,900
AMERICAN INTERNATIONAL GROUP American International Group workplace safety or health violation 2003 OSHA $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 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
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2012 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
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2014 MD-INS $6,000
United of Omaha Life Insurance Co. Mutual of Omaha insurance violation 2000 ME-INS $6,000
Hartford Accident and Indemnity Co. Hartford Financial Services insurance violation 2001 MN-FIN $6,000
United Services Automobile Association et al. USAA insurance violation 2007 MO-INS $6,000
Transamerica Life Insurance Co. Aegon insurance violation 2019 MO-INS $6,000
Investment Centers of America Inc. LPL Financial investor protection violation 2006 ND-SEC $6,000
MoneyGram Payment Systems, Inc. MoneyGram International consumer protection violation 2008 NE-DBF $6,000
Ticor Title Insurance Company Fidelity National Financial insurance violation 2007 OR-FIN $6,000
First American Title Insurance Company of Oregon First American Financial insurance violation 2008 OR-FIN $6,000
Progressive Classic Insurance Company Progressive insurance violation 2013 OR-FIN $6,000
Conseco Life Insurance Company CNO Financial insurance violation 2004 SC-INS $6,000
Hartford Fire Insurance Company Hartford Financial Services insurance violation 2008 TX-INS $6,000
Travelers Casualty and Surety Company Travelers insurance violation 2012 TX-INS $6,000
Federal Insurance Company Chubb Limited insurance violation 2013 TX-INS $6,000
The Netherlands Insurance Company Liberty Mutual Insurance insurance violation 2014 TX-INS $6,000
Ace American Insurance Company Chubb Limited insurance violation 2015 TX-INS $6,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2015 TX-INS $6,000
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2015 TX-INS $6,000
American Guarantee and Liability Insurance Company Zurich Insurance insurance violation 2015 TX-INS $6,000
New Hampshire Insurance Company American International Group insurance violation 2016 TX-INS $6,000
American Zurich Insurance Company Zurich Insurance insurance violation 2017 TX-INS $6,000
National Interstate Insurance Company American Financial Group insurance violation 2017 TX-INS $6,000
Hartford Casualty Insurance Company Hartford Financial Services insurance violation 2019 TX-INS $6,000
The Phoenix Insurance Company Travelers insurance violation 2019 TX-INS $6,000
Lincoln National life Insurance Company Lincoln National insurance violation 2011 UT-INS $6,000
Genworth Life and Annuity Insurance Company Genworth Financial insurance violation 2011 UT-INS $6,000
Sentry Insurance A Mutual Company Sentry Insurance insurance violation 2011 UT-INS $6,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)