Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$332,924,888,663
Number of Records: 
6,731
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$82,885,116,051259
JPMorgan Chase$35,851,377,155190
Citigroup$25,535,002,360154
Wells Fargo$21,428,596,719217
Deutsche Bank$18,341,457,30276
UBS$16,845,624,16097
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,447,392,62644


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 LLC Louis Dreyfus railroad safety violation 2018 FRA $6,000
Interactive Brokers, LLC Interactive Brokers Group investor protection violation 2013 AR-SEC $6,000
Ticor Title Company of California Fidelity National Financial insurance violation 2018 CA-INS $6,000
Commerce and Industry Insurance Co. American International Group insurance violation 2005 CO-INS $6,000
Old Republic Insurance Co. Old Republic International insurance violation 2006 CO-INS $6,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2006 CO-INS $6,000
Nationwide Mutual Fire Insurance Co. Nationwide insurance violation 2007 CO-INS $6,000
Nationwide Property and Casualty Insurance Co. Nationwide insurance violation 2007 CO-INS $6,000
PHH Mortgage Corp. dba Century Mortgage Ocwen Financial consumer protection violation 2009 CT-BKG $6,000
Life Insurance Company of the Southwest National Life Group insurance violation 2014 DE-INS $6,000
The Travelers Indemnity Company of America et al. Travelers insurance violation 2020 DE-INS $6,000
STANDARD GUARANTY INSURANCE COMPANY Assurant insurance violation 2001 FL-OFR $6,000
Globe Life and Accident Insurance Co. Globe Life Inc. insurance violation 2001 FL-OFR $6,000
Ace American Insurance Co. Chubb Limited insurance violation 2003 FL-OFR $6,000
Continental Western Insurance Co. W.R. Berkley insurance violation 2012 KS-INS $6,000
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2016 KY-FIN $6,000
Axa Insurance Co. AXA insurance violation 2019 LA-INS $6,000
Zurich Direct Zurich Insurance insurance violation 2002 MA-INS $6,000
Harleysville Worcester Insurance Company Nationwide insurance violation 2002 MA-INS $6,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2013 MD-INS $6,000
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2014 MD-INS $6,000
United of Omaha Life Insurance Co. Mutual of Omaha insurance violation 2000 ME-INS $6,000
Hartford Accident and Indemnity Co. Hartford Financial Services insurance violation 2001 MN-FIN $6,000
United Services Automobile Association et al. USAA insurance violation 2007 MO-INS $6,000
Transamerica Life Insurance Co. Aegon insurance violation 2019 MO-INS $6,000
Investment Centers of America Inc. LPL Financial investor protection violation 2006 ND-SEC $6,000
MoneyGram Payment Systems, Inc. MoneyGram International consumer protection violation 2008 NE-DBF $6,000
Ticor Title Insurance Company Fidelity National Financial insurance violation 2007 OR-FIN $6,000
First American Title Insurance Company of Oregon First American Financial insurance violation 2008 OR-FIN $6,000
Progressive Classic Insurance Company Progressive insurance violation 2013 OR-FIN $6,000
Conseco Life Insurance Company CNO Financial insurance violation 2004 SC-INS $6,000
Hartford Fire Insurance Company Hartford Financial Services insurance violation 2008 TX-INS $6,000
Travelers Casualty and Surety Company Travelers insurance violation 2012 TX-INS $6,000
Federal Insurance Company Chubb Limited insurance violation 2013 TX-INS $6,000
The Netherlands Insurance Company Liberty Mutual Insurance insurance violation 2014 TX-INS $6,000
Ace American Insurance Company Chubb Limited insurance violation 2015 TX-INS $6,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2015 TX-INS $6,000
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2015 TX-INS $6,000
American Guarantee and Liability Insurance Company Zurich Insurance insurance violation 2015 TX-INS $6,000
New Hampshire Insurance Company American International Group insurance violation 2016 TX-INS $6,000
American Zurich Insurance Company Zurich Insurance insurance violation 2017 TX-INS $6,000
National Interstate Insurance Company American Financial Group insurance violation 2017 TX-INS $6,000
Hartford Casualty Insurance Company Hartford Financial Services insurance violation 2019 TX-INS $6,000
The Phoenix Insurance Company Travelers insurance violation 2019 TX-INS $6,000
Lincoln National life Insurance Company Lincoln National insurance violation 2011 UT-INS $6,000
Genworth Life and Annuity Insurance Company Genworth Financial insurance violation 2011 UT-INS $6,000
Sentry Insurance A Mutual Company Sentry Insurance insurance violation 2011 UT-INS $6,000
State Farm Mutual Automobile Insurance Company State Farm Insurance insurance violation 2007 VA-INS $6,000
United Services Automobile Association USAA insurance violation 2007 VA-INS $6,000
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
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
DENCO II LLC Babcock & Brown environmental violation 2014 MN-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
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
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
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2014 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 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
AMERICAN INTERNATIONAL GROUP American International Group workplace safety or health violation 2003 OSHA $5,900
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $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
Phoenix Insurance Company Travelers insurance violation 2014 TX-INS $5,750
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
American Express Travel Related Services Co. American Express wage and hour violation 2021 WHD $5,663
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
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)