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
LOUIS DREYFUS COMPANY RIVER ELEVATORS, LLC Louis Dreyfus workplace safety or health violation 2017 OSHA $8,665
LIBERTY INSURANCE CORP et al. Liberty Mutual Insurance insurance violation 2017 VA-INS $8,652
CLECO CORPORATION Macquarie workplace safety or health violation 2017 OSHA $8,626
Travelers Insurance Company Travelers insurance violation 2002 MA-INS $8,600
Hartford Underwriters Insurance Company Hartford Financial Services insurance violation 2014 NY-DFS $8,600
Bowie Resources LLC Trafigura workplace safety or health violation 2011 MSHA $8,600
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $8,574
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2010 NE-DBF $8,550
Capmark Bank Capmark Bank banking violation 2012 FDIC $8,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $8,500
Nationwide Mutual Insurance Co. Nationwide insurance violation 2007 CO-INS $8,500
Fifth Third Securities, Inc. Fifth Third Bancorp investor protection violation 2013 IN-SEC $8,500
Ragen Mackenzie Investment Services LLC Wells Fargo investor protection violation 2004 OR-FIN $8,500
Ace American Insurance Company Chubb Limited insurance violation 2012 TX-INS $8,500
XL Specialty Insurance Company AXA insurance violation 2014 TX-INS $8,500
AIG Property Casualty Company American International Group insurance violation 2015 TX-INS $8,500
New Hampshire Insurance Company American International Group insurance violation 2015 TX-INS $8,500
Twin City Fire Insurance Company Hartford Financial Services insurance violation 2017 TX-INS $8,500
Zurich American Insurance Company Zurich Insurance insurance violation 2017 TX-INS $8,500
Insurance Company of the State of Pennsylvania American International Group insurance violation 2018 TX-INS $8,500
DAIRYLAND INSURANCE CO Sentry Insurance insurance violation 2001 VA-INS $8,500
Regent Insurance Co. QBE Insurance insurance violation 2003 WI-INS $8,500
Foremost Insurance Co. Zurich Insurance insurance violation 2003 WI-INS $8,500
CASH AMERICA FirstCash workplace safety or health violation 2016 OSHA $8,500
American Family Life Assurance Company of Columbus Aflac insurance violation 2020 CT-INS $8,500
LOUIS DREYFUS CITRUS, INC. Louis Dreyfus environmental violation 2005 FL-DEP $8,500
Liberty Mutual Insurance Company Liberty Mutual Insurance insurance violation 2020 TX-INS $8,500
Indemnity Insurance Company of North America Chubb Limited insurance violation 2020 TX-INS $8,500
Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2010 IN-SEC $8,495
Provident Funding Associates, LP Provident Funding Associates wage and hour violation 2008 WHD $8,453
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $8,421
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2015 MSHA $8,421
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2018 TX-INS $8,400
CAPITAL ONE NATIONAL ASSOCIATION Capital One Financial environmental violation 2010 TX-ENV $8,400
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2014 TX-INS $8,397
HSBC Bank USA HSBC economic sanction violation 2004 OFAC $8,375
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2012 MSHA $8,349
BROADRIDGE FINANCIAL SOLUTIONS, INC. Broadridge Financial Solutions workplace safety or health violation 2019 OSHA $8,335
Transamerica Life Insurance Co. Aegon insurance violation 2017 MD-INS $8,300
Conseco Life Insurance Company CNO Financial insurance violation 2003 OR-FIN $8,300
ACE American Reinsurance Company Chubb Limited insurance violation 2006 OR-FIN $8,300
HSBC North America Inc. HSBC wage and hour violation 2006 WHD $8,273
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
International Matex Tank Terminals Macquarie railroad safety violation 2017 FRA $8,250
Louis Dreyfus Company LLC Louis Dreyfus railroad safety violation 2017 FRA $8,250
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $8,209
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $8,209
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $8,209
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2008 MSHA $8,209
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $8,209
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2014 MSHA $8,209
Bowie Resources LLC Trafigura workplace safety or health violation 2014 MSHA $8,209
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $8,209
Bowie Resources LLC Trafigura workplace safety or health violation 2011 MSHA $8,209
PNC Bank PNC Financial Services economic sanction violation 2005 OFAC $8,200
Jackson National Life Insurance Co. Prudential (UK) insurance violation 2015 MD-INS $8,200
CitiFinancial, Inc. Citigroup consumer protection violation 2003 FL-OFR $8,199
STATE FARM INSURANCE State Farm Insurance workplace safety or health violation 2012 OSHA $8,160
Hartford Accident and Indemnity Company Hartford Financial Services insurance violation 2016 VA-INS $8,131
Bowie Refined Coal, LLC Trafigura workplace safety or health violation 2017 MSHA $8,094
IMTT, INC. Macquarie railroad safety violation 2011 FRA $8,000
International Matex Tank Terminals Macquarie railroad safety violation 2009 FRA $8,000
International Matex Tank Terminals Macquarie railroad safety violation 2009 FRA $8,000
International Matex Tank Terminals Macquarie railroad safety violation 2012 FRA $8,000
Peter Cremer Company Cremer railroad safety violation 2013 FRA $8,000
NEW YORK COMMUNITY BANK New York Community Bancorp banking violation 2004 FDIC $8,000
SCOTIABANK DE PUERTO RICO Scotiabank banking violation 2003 FDIC $8,000
INTERNATIONAL MATEX TANK TERMINALS Macquarie railroad safety violation 2008 FRA $8,000
INTERNATIONAL MATEX TANK TERMINALS Macquarie railroad safety violation 2008 FRA $8,000
IMTT BAYONNE Macquarie railroad safety violation 2016 FRA $8,000
IMTT BAYONNE Macquarie railroad safety violation 2016 FRA $8,000
Wells Fargo Fund Distributor, LLC Wells Fargo consumer protection violation 2014 CA-DFPI $8,000
Pruco Life Insurance Co. Prudential Financial insurance violation 2015 CA-INS $8,000
American National Insurance Co. American National Insurance insurance violation 2017 DE-INS $8,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2019 DE-INS $8,000
Travelers Indemnity Co. Travelers insurance violation 2003 FL-OFR $8,000
Zurich American Insurance Co. Zurich Insurance insurance violation 2008 FL-OFR $8,000
Amex Assurance Co. American Express insurance violation 2008 FL-OFR $8,000
Workmen's Auto Insurance Company Mercury General Corporation insurance violation 2003 IN-INS $8,000
Progressive Casualty Insurance Company Progressive insurance violation 2003 IN-INS $8,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2009 KS-INS $8,000
PHH Mortgage Corp. Ocwen Financial consumer protection violation 2010 KY-FIN $8,000
American National Life Insurance Company of Texas American National Insurance insurance violation 2011 MD-INS $8,000
Thrivent Financial For Lutherans Thrivent Financial insurance violation 2012 MD-INS $8,000
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2013 MD-INS $8,000
Fidelity & Guaranty Life Insurance Co. Fidelity National Financial insurance violation 2014 MD-INS $8,000
The Standard Fire Insurance Co. Travelers insurance violation 2015 MD-INS $8,000
Empire Fire and Marine Insurance Co. et al. Zurich Insurance insurance violation 2015 MD-INS $8,000
LM General Insurance Co. et al. Liberty Mutual Insurance insurance violation 2015 MD-INS $8,000
Selective Insurance Company of South Carolina et al. Selective Insurance Group insurance violation 2016 MD-INS $8,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2017 MD-INS $8,000
North Pointe Insurance Co. QBE Insurance insurance violation 2014 MO-INS $8,000
Liberty Insurance Corp. Liberty Mutual Insurance insurance violation 2016 MO-INS $8,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2006 ND-SEC $8,000
Progressive Classic Insurance Company Progressive insurance violation 2005 OR-FIN $8,000
AMCO Insurance Company Nationwide insurance violation 2010 OR-FIN $8,000
Allied Home Mortgage Capital Corporation Americus Mortgage consumer protection violation 2009 PA-BKG $8,000
Allstate Property & Casualty Insurance Company Allstate insurance violation 2012 RI-FIN $8,000
Peerless Insurance Company Liberty Mutual Insurance insurance violation 2014 RI-FIN $8,000
USAA Casualty Insurance Company USAA insurance violation 2019 RI-FIN $8,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)