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
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
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $5,500
New Hampshire Insurance Co. American International Group insurance violation 2020 TX-INS $5,500
Scott Danahy Naylon Co. Inc. Financial Institutions Inc. wage and hour violation 2005 WHD $5,495
Bowie Refined Coal, LLC Trafigura workplace safety or health violation 2020 MSHA $5,469
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 KY-FIN $5,465
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,460
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2015 NE-DBF $5,450
Pacific Resources Benefits Advisors, LLC Brown & Brown tax violations 2014 CT-AG $5,400
New Hampshire Insurance Co. American International Group insurance violation 2002 FL-OFR $5,400
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2012 NE-DBF $5,400
UNUM GROUP CORPORATION Unum workplace safety or health violation 2011 OSHA $5,400
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $5,395
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $5,390
IAC Springfield, LLC Invesco Family and Medical Leave Act 2015 WHD $5,377
HSBC North America Inc HSBC wage and hour violation 2006 WHD $5,357
Bristol West Insurance Co. Zurich Insurance insurance violation 2008 ID-INS $5,330
LM Insurance Corporation Liberty Mutual Insurance insurance violation 2014 TX-INS $5,325
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2014 MSHA $5,305
Group Hospitalization & Medical Services, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $5,300
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2017 TX-INS $5,300
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,300
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2005 MSHA $5,300
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $5,300
Lansing Trade Group LLC Lansing Trade Group environmental violation 2016 EPA $5,296
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,280
Ace American Insurance Company Chubb Limited insurance violation 2017 TX-INS $5,255
City National Bank Royal Bank of Canada banking violation 2010 OCC $5,250
International Matex Tank Terminals Macquarie railroad safety violation 2007 FRA $5,250
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2009 NE-DBF $5,250
DEUTSCHE BANK USA Deutsche Bank workplace safety or health violation 2013 OSHA $5,250
IMPERIAL SUGAR COMPANY Louis Dreyfus environmental violation 2009 EPA $5,240
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2019 MSHA $5,239
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $5,211
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $5,211
BUSEY BANK First Busey Corp. banking violation 2006 FDIC $5,200
United American Insurance Co. Globe Life Inc. insurance violation 2013 MD-INS $5,200
Sentry Insurance a Mutual Company Sentry Insurance insurance violation 2011 MO-INS $5,200
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INC Invesco workplace safety or health violation 2007 OSHA $5,200
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2000 MSHA $5,200
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $5,200
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $5,200
Wells Fargo Bank Wells Fargo Family and Medical Leave Act 2006 WHD $5,152
Compass Bank Banco Bilbao Vizcaya Argentaria wage and hour violation 2005 WHD $5,105
Great Plains Specialty Finance, Inc., d/b/a Check 'n go CNG Financial consumer protection violation 2016 NE-DBF $5,100
CITIMORTGAGE, INC. Citigroup workplace safety or health violation 2007 OSHA $5,097
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,080
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $5,080
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $5,080
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $5,080
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $5,080
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $5,080
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $5,080
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2015 MSHA $5,080
Twin City Fire Insurance Company Hartford Financial Services insurance violation 2014 TX-INS $5,079
Univest Corporation of Pennsylvania Univest Financial Family and Medical Leave Act 2016 WHD $5,076
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $5,049
American Express Bank Ltd. American Express economic sanction violation 2004 OFAC $5,041
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,040
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,040
J P Morgan Chase JPMorgan Chase Family and Medical Leave Act 2007 WHD $5,008
Keybank National Association KeyCorp banking violation 2015 OCC $5,005
IMTT BAYONNE Macquarie railroad safety violation 2014 FRA $5,000
Peter Cremer Company Cremer railroad safety violation 2011 FRA $5,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2005 FAA $5,000
UBS (USA) Inc UBS economic sanction violation 2003 OFAC $5,000
TD Banknorth Toronto-Dominion Bank labor relations violation 2006 NLRB $5,000
IMTT Bayonne Macquarie railroad safety violation 2003 FRA $5,000
International Matex Tank Terminals Macquarie railroad safety violation 2006 FRA $5,000
LANSING TRADE GROUP Lansing Trade Group railroad safety violation 2017 FRA $5,000
Bankers Life and Casualty Company CNO Financial privacy violation 2002 KY-AG $5,000
Discover Financial Services, Inc./Millenium Teleservices, Inc. Discover Financial Services privacy violation 2002 KY-AG $5,000
HealthNow New York Highmark Inc. consumer protection violation 2005 NY-AG $5,000
PNC Bank PNC Financial Services privacy violation 2002 KY-AG $5,000
Aon Risk Services Inc. of Washington Aon insurance violation 2002 AK-INS $5,000
Farmers Insurance Exchange et al. Farmers Insurance Exchange insurance violation 2013 AR-INS $5,000
Prospect Mortgage, LLC Homebridge Financial Services consumer protection violation 2011 AR-SEC $5,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2019 AR-SEC $5,000
Accident Fund Insurance Company of America AF Group insurance violation 2012 AZ-INS $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2002 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2002 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2005 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2011 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2011 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2011 CA-MHC $5,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)