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
LIBERTY INSURANCE CORP., ET AL Liberty Mutual Insurance insurance violation 2009 VA-INS $6,000
Travelers Property Casualty Co. of America Travelers insurance violation 2009 VA-INS $6,000
FOREMOST INSURANCE CO. Zurich Insurance insurance violation 2010 VA-INS $6,000
Ticor Title Company Fidelity National Financial insurance violation 2017 WA-INS $6,000
INTERNATIONAL AUTOMOTIVE COMPONENTS Invesco workplace safety or health violation 2009 OSHA $6,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $6,000
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $6,000
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $6,000
Twin City Fire Insurance Co. Hartford Financial Services insurance violation 2020 TX-INS $6,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 MS-SEC $6,000
AMERICAN ECONOMY INSURANCE COMPANY Liberty Mutual Insurance insurance violation 2020 WA-INS $6,000
Imperial-Savannah, L.P. Louis Dreyfus environmental violation 2012 GA-ENV $6,000
WHEELABRATOR GLOUCESTER COMPANY L P Macquarie environmental violation 2017 NJ-ENV $6,000
CITIGROUP Citigroup environmental violation 2010 NJ-ENV $6,000
Bank of America Corporation Bank of America wage and hour violation 2004 WHD $5,972
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
Protective Life Insurance Co. Dai-ichi Life insurance violation 2004 FL-OFR $5,950
Praetorian Insurance Company QBE Insurance insurance violation 2019 MD-INS $5,920
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
DITECH INC Ditech Holding Corporation workplace safety or health violation 2014 OSHA $5,880
Illinois National Insurance Company American International Group insurance violation 2012 TX-INS $5,856
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
The Bank of New York Bank of New York Mellon economic sanction violation 2005 OFAC $5,844
Bank of America, NA Bank of America wage and hour violation 2010 WHD $5,827
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
ASURION, LLC. Asurion workplace safety or health violation 2020 OSHA $5,783
Mastercard International, Inc MasterCard wage and hour violation 2008 WHD $5,777
IAC DAYTON LLC Invesco workplace safety or health violation 2013 OSHA $5,775
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 SD-SEC $5,750
Allied Home Mortgage Capital Corp. Americus Mortgage consumer protection violation 2009 KY-FIN $5,740
Chubb Indemnity Company Chubb Limited insurance violation 2014 TX-INS $5,725
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
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
FIDELITY NATIONAL FINANCIAL, INC. Fidelity National Financial workplace safety or health violation 2015 OSHA $5,605
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
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
Lansing Trade Group LLC Lansing Trade Group environmental violation 2012 EPA $5,586
World Acceptance Corporation World Acceptance Corporation wage and hour violation 2019 WHD $5,549
CLECO CORPORATION Macquarie workplace safety or health violation 2017 OSHA $5,545
ALLIED PROPERTY & CASUALTY INSURANCE Nationwide insurance violation 2014 VA-INS $5,530
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2017 MSHA $5,517
GMAC Mortgage, LLC Ally Financial environmental violation 2010 AL-ENV $5,505
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
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
Wachovia Bank Wells Fargo economic sanction violation 2005 OFAC $5,500
American Express Company American Express economic sanction violation 2004 OFAC $5,500
Arab Banking Corp. Arab Banking Corp. economic sanction violation 2004 OFAC $5,500
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $5,500
Bank One JPMorgan Chase economic sanction violation 2004 OFAC $5,500
Citibank Citigroup economic sanction violation 2004 OFAC $5,500
Commerzbank AG Commerzbank economic sanction violation 2004 OFAC $5,500
Deutsche Bank Deutsche Bank economic sanction violation 2004 OFAC $5,500
HSBC Bank USA HSBC economic sanction violation 2004 OFAC $5,500
Credit Lyonnais, NY Credit Agricole economic sanction violation 2003 OFAC $5,500
Deutsche Bank A.G. Deutsche Bank economic sanction violation 2003 OFAC $5,500
HSBC Bank USA HSBC economic sanction violation 2003 OFAC $5,500
National City Bank PNC Financial Services economic sanction violation 2003 OFAC $5,500
Wells Fargo Bank Wells Fargo economic sanction violation 2003 OFAC $5,500
American Family Mutual Insurance Co. American Family Insurance insurance violation 2007 CO-INS $5,500
Conseco Senior Health Insurance Co. CNO Financial insurance violation 2000 FL-OFR $5,500
GREAT AMERICAN ALLIANCE INSURANCE COMPANY American Financial Group insurance violation 2001 FL-OFR $5,500
Jackson National Life Insurance Co. Prudential (UK) insurance violation 2004 FL-OFR $5,500
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
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)