Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$336,354,784,532
Number of Records: 
7,048
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$82,901,469,908264
JPMorgan Chase$36,060,746,133196
Citigroup$25,540,645,217156
Wells Fargo$21,874,892,841221
Deutsche Bank$18,341,457,30276
UBS$16,854,236,33499
Goldman Sachs$16,386,580,99666
NatWest Group PLC$13,516,771,85733
BNP Paribas$12,147,863,95019
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
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2009 TX-INS $7,500
New Hampshire Insurance Company American International Group insurance violation 2009 TX-INS $7,500
Old Republic Insurance Company Old Republic International insurance violation 2009 TX-INS $7,500
Great American Alliance Insurance Company American Financial Group insurance violation 2014 TX-INS $7,500
The Travelers Indemnity Company Travelers insurance violation 2015 TX-INS $7,500
Old Republic National Title Insurance Company Old Republic International insurance violation 2016 TX-INS $7,500
Ace American Insurance Company Chubb Limited insurance violation 2018 TX-INS $7,500
The Travelers Indemnity Company Travelers insurance violation 2018 TX-INS $7,500
New Hampshire Insurance Company American International Group insurance violation 2019 TX-INS $7,500
AMERICAN FAMILY LIFE ASSURANCE Aflac insurance violation 2003 VA-INS $7,500
PRUDENTIAL INSURANCE COMPANY Prudential Financial insurance violation 2004 VA-INS $7,500
PRUCO LIFE INSURANCE CO Prudential Financial insurance violation 2004 VA-INS $7,500
CONSECO SENIOR HEALTH INS. CNO Financial insurance violation 2005 VA-INS $7,500
VICTORIA FIRE AND CASUALTY INSURANCE Nationwide insurance violation 2009 VA-INS $7,500
UNITED OF OMAHA LIFE INSURANCE Mutual of Omaha insurance violation 2012 VA-INS $7,500
TOKIO MARINE KILN SYNDICATES, LTD. Tokio Marine insurance violation 2018 VA-INS $7,500
Chicago Insurance Company Allianz insurance violation 2010 WA-INS $7,500
Fidelity & Guaranty Life Insurance Company Fidelity National Financial insurance violation 2012 WA-INS $7,500
Washington National Insurance Company CNO Financial insurance violation 2018 WA-INS $7,500
American Family Connect Property And Casualty Insurance Company American Family Insurance insurance violation 2019 WA-INS $7,500
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2010 WI-INS $7,500
Prudential Insurance Company of America Prudential Financial insurance violation 2012 WI-INS $7,500
The Standard Insurance Co. Meiji Yasuda Life Insurance insurance violation 2020 CT-INS $7,500
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $7,500
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $7,500
Hartford Casualty Insurance Company Hartford Financial Services insurance violation 2020 TX-INS $7,500
CMFG Life Insurance Company CUNA Mutual insurance violation 2021 VA-INS $7,500
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $7,500
Schupp & Grochmal, LLC Schupp & Grochmal investor protection violation 2020 CT-SEC $7,500
AMERICAN HEALTH AND LIFE INSURANCE COMPANY OneMain Holdings insurance violation 2021 MO-INS $7,500
Provident Life and Accident Insurance Co. Unum insurance violation 2021 CT-INS $7,500
Trumbull Insurance Co. Hartford Financial Services insurance violation 2021 TX-INS $7,500
New Hampshire Insurance Co. American International Group insurance violation 2021 TX-INS $7,500
Standard Fire Insurance Co. Travelers insurance violation 2021 TX-INS $7,500
Accident Fund National Insurance Co. AF Group insurance violation 2021 TX-INS $7,500
Oscar Health Plan of California Mulberry Health insurance violation 2021 CA-MHC $7,500
Allstate Property & Casualty Insurance Company, et al. Allstate insurance violation 2021 RI-FIN $7,500
Unitrin Direct Property & Casualty Company Kemper insurance violation 2021 TX-INS $7,500
Allstate Fire & Casualty Insurance Company et al. Allstate insurance violation 2021 WA-INS $7,500
R. R. Donnelley & Sons Co. Chatham Asset Management environmental violation 2013 CA-SCAQMD $7,500
Wheelabrator Norwalk Energy Co. Inc. Macquarie environmental violation 2009 CA-SCAQMD $7,500
Credit Suisse Energy LLC Credit Suisse utility service violation 2017 TX-PUC $7,500
R R DONNELLEY Chatham Asset Management workplace safety or health violation 2009 OSHA $7,500
IAC MADISONVILLE LLC Invesco workplace safety or health violation 2014 OSHA $7,500
WHEELABRATOR NORTH ANDOVER Macquarie workplace safety or health violation 2019 OSHA $7,500
Morgan Stanley Capital Group, Inc. Morgan Stanley environmental violation 2002 EPA $7,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2010 MSHA $7,500
Asset Acceptance, LLC Encore Capital Group Family and Medical Leave Act 2014 WHD $7,450
BUSEY BANK First Busey Corp. banking violation 2010 FDIC $7,445
Navy Federal Credit Union Navy Federal Credit Union environmental violation 2017 VA-ENV $7,426
AON SERVICE CORPORATION Aon wage and hour violation 2017 WHD $7,406
Citicorp Vendor Finance Ltd Citigroup economic sanction violation 2004 OFAC $7,379
The Prudential Insurance Company of America Prudential Financial insurance violation 2006 MO-INS $7,373
Auto-Owners Insurance Company Auto-Owners Insurance insurance violation 2016 SC-INS $7,356
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2016 MSHA $7,305
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $7,300
GUARANTEED RATE INC Guaranteed Rate Inc. wage and hour violation 2015 IL-DOL $7,291
IAC SPARTANBURG Invesco workplace safety or health violation 2011 OSHA $7,277
California United Bank PacWest Bancorp economic sanction violation 2004 OFAC $7,250
Regions Financial Corporation Regions Financial Family and Medical Leave Act 2021 WHD $7,210
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $7,205
IMTT, INC. Macquarie railroad safety violation 2014 FRA $7,200
Sentry Insurance, A Mutual Company Sentry Insurance insurance violation 2010 TX-INS $7,200
GREAT AMERICAN INSURANCE COMPANY ET AL American Financial Group insurance violation 2006 VA-INS $7,200
GREAT AMERICAN INSURANCE COMPANY ET AL American Financial Group insurance violation 2006 VA-INS $7,200
LOUIS DREYFUS CITRUS, INC. Louis Dreyfus environmental violation 2006 FL-DEP $7,200
IMPERIAL SUGAR CO. Louis Dreyfus workplace safety or health violation 2010 OSHA $7,200
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2005 MSHA $7,200
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $7,176
LITTON LOAN SERVICING LP Ocwen Financial environmental violation 2010 OR-ENV $7,125
Hartford Casualty Insurance Company Hartford Financial Services insurance violation 2014 NY-DFS $7,100
Hartford Insurance Company of Illinois Hartford Financial Services insurance violation 2014 NY-DFS $7,100
WHEELABRATOR CONCORD INC. Macquarie workplace safety or health violation 2019 OSHA $7,100
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $7,100
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America wage and hour violation 2006 WHD $7,060
Ace Cash Express ACE Cash Express consumer protection violation 2009 OH-BKG $7,050
AFB&T Synovus Financial banking violation 2009 FDIC $7,040
Philadelphia Indemnity Insurance Company Tokio Marine insurance violation 2000 MA-INS $7,040
Hanover Insurance Company Hanover Insurance insurance violation 2001 MA-INS $7,040
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2020 TX-INS $7,025
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2007 FAA $7,000
THE COLUMBIA BANK Fulton Financial banking violation 2002 FDIC $7,000
Hanmi Bank Hanmi Financial Corp. economic sanction violation 2004 OFAC $7,000
Progressive Northern Insurance Co. Progressive insurance violation 2016 DE-INS $7,000
Nationwide Financial Services Nationwide consumer protection violation 2008 FL-OFR $7,000
American General Life and Accident Insurance Co. American International Group insurance violation 2011 MD-INS $7,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2015 MD-INS $7,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2019 MD-INS $7,000
Allied Property and Casualty Insurance Co. Nationwide insurance violation 2008 MN-FIN $7,000
AmTrust Insurance Company of Kansas, Inc. AmTrust Financial Services insurance violation 2019 MN-FIN $7,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2016 MO-INS $7,000
Edward D. Jones & Co. LP Jones Financial investor protection violation 2003 ND-SEC $7,000
Ace Cash Express, Inc., ACE Cash Express consumer protection violation 2010 NE-DBF $7,000
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2012 NE-DBF $7,000
Nationwide Property & Casualty Insurance Company Nationwide insurance violation 2015 NY-DFS $7,000
USAA Casualty Insurance Co. USAA insurance violation 2010 SC-INS $7,000
Virginia Surety Company, Inc. Assurant insurance violation 2008 TX-INS $7,000
XL Insurance America Inc. AXA insurance violation 2011 TX-INS $7,000
Liberty Mutual Fire Insurance Company Liberty Mutual Insurance insurance violation 2013 TX-INS $7,000
Chubb Indemnity Insurance Company Chubb Limited insurance violation 2013 TX-INS $7,000
General Casualty Company of Wisconsin QBE Insurance insurance violation 2014 TX-INS $7,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)