Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$344,899,848,624
Number of Records: 
6,989
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$82,898,016,192264
JPMorgan Chase$36,107,446,133199
Citigroup$25,540,645,217156
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
UBS$16,854,318,334101
Goldman Sachs$16,399,485,79387
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,148,363,95019
Credit Suisse$10,732,400,12649


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
Nyrstar Gordonsville, LLC Trafigura workplace safety or health violation 2018 MSHA $8,947
Illinois National Insurance Company American International Group insurance violation 2012 TX-INS $8,900
Wheelabrator Norwalk Energy Co. Inc. Macquarie environmental violation 2012 CA-SCAQMD $8,900
Nyrstar Gordonsville, LLC Trafigura workplace safety or health violation 2014 MSHA $8,893
Hanmi Bank Hanmi Financial Corp. banking violation 2007 FED $8,835
Waddell & Reed, Inc. Macquarie investor protection violation 2003 FL-OFR $8,800
U.S. BANCORP DBA US BANK MT. VERNON IL OFFICE U.S. Bancorp workplace safety or health violation 2015 OSHA $8,775
Protective Life Insurance Co. Dai-ichi Life insurance violation 2000 FL-OFR $8,750
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $8,750
Indemnity Insurance Company of North America Chubb Limited insurance violation 2017 TX-INS $8,750
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLC Louis Dreyfus environmental violation 2016 IN-ENV $8,750
INTERNATIONAL AUTOMOTIVE COMPONENTS Invesco workplace safety or health violation 2010 OSHA $8,750
Discover Financial Services Discover Financial Services economic sanction violation 2010 OFAC $8,720
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
Nyrstar Gordonsville, LLC Trafigura workplace safety or health violation 2014 MSHA $8,600
Nyrstar Tennessee Mines, Strawberry Plains LLC Trafigura workplace safety or health violation 2014 MSHA $8,600
Courier Printing Company Chatham Asset Management environmental violation 2016 TN-ENV $8,555
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2010 NE-DBF $8,550
SYNAGRO-WWT, INC. Goldman Sachs workplace safety or health violation 2019 OSHA $8,525
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
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
Protective Insurance Co. Protective Insurance Corp. insurance violation 2021 TX-INS $8,500
CASH AMERICA FirstCash workplace safety or health violation 2016 OSHA $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
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
Buckeye Pipe Line Company, L.P. IFM Investors environmental violation 2012 EPA $8,397
HSBC Bank USA HSBC economic sanction violation 2004 OFAC $8,375
BROADRIDGE FINANCIAL SOLUTIONS, INC. Broadridge Financial Solutions workplace safety or health violation 2019 OSHA $8,335
Banner Life Insurance Co. Legal & General Group PLC insurance violation 2011 MD-INS $8,300
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
HSBC North America Inc. HSBC wage and hour violation 2006 WHD $8,273
Louis Dreyfus Company LLC Louis Dreyfus railroad safety violation 2017 FRA $8,250
Acadia Insurance Co. W.R. Berkley insurance violation 2021 TX-INS $8,250
Nyrstar Gordonsville, LLC Trafigura workplace safety or health violation 2014 MSHA $8,209
Nyrstar Gordonsville, LLC Trafigura workplace safety or health violation 2014 MSHA $8,209
Nyrstar Gordonsville, LLC Trafigura workplace safety or health violation 2014 MSHA $8,209
Nyrstar Gordonsville, LLC Trafigura workplace safety or health violation 2014 MSHA $8,209
Nyrstar Gordonsville, LLC Trafigura workplace safety or health violation 2014 MSHA $8,209
PNC Bank PNC Financial Services economic sanction violation 2005 OFAC $8,200
Jackson National Life Insurance Co. Jackson Financial insurance violation 2015 MD-INS $8,200
BUCKEYE PORT READING TERMINAL LLC IFM Investors environmental violation 2009 NJ-ENV $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
Nyrstar Gordonsville, LLC Trafigura workplace safety or health violation 2019 MSHA $8,016
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
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
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
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
AXA Insurance Company AXA insurance violation 2007 SC-INS $8,000
United Services Automobile Association USAA insurance violation 2011 SC-INS $8,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)