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
General Casualty Company of Wisconsin QBE Insurance insurance violation 2003 WI-INS $6,500
Hartford Insurance Company of the Midwest Hartford Financial Services insurance violation 2003 WI-INS $6,500
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 NM-SEC $6,500
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 RI-FIN $6,500
BROADRIDGE FINANCIAL SOLUTIONS INC Broadridge Financial Solutions environmental violation 2008 NJ-ENV $6,500
Harleysville Worcester Insurance Company Nationwide insurance violation 2020 CT-INS $6,500
Accident Fund General Insurance Co. AF Group insurance violation 2021 TX-INS $6,500
Progressive Direct Insurance Company Progressive insurance violation 2021 DE-INS $6,500
First American Financial Corp. First American Financial environmental violation 2002 CA-SCAQMD $6,500
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $6,500
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $6,500
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2010 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $6,458
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2008 MSHA $6,458
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $6,458
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $6,458
Bowie Resources LLC Trafigura workplace safety or health violation 2014 MSHA $6,458
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2014 MSHA $6,458
Bowie Resources LLC Trafigura workplace safety or health violation 2011 MSHA $6,458
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $6,458
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2015 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2015 MSHA $6,458
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2015 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $6,418
Accident Fund General Insurance Company AF Group insurance violation 2018 TX-INS $6,400
RR DONNELLEY Chatham Asset Management workplace safety or health violation 2011 OSHA $6,400
Metropolitan Life Insurance Company MetLife Family and Medical Leave Act 2009 WHD $6,375
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2017 MSHA $6,367
Sun Life Assurance Company of Canada (U.S.) Sun Life Financial wage and hour violation 2009 WHD $6,366
TMX Finance, LLC TMX Finance wage and hour violation 2016 WHD $6,353
RR DONNELLEY ATLANTA Chatham Asset Management workplace safety or health violation 2014 OSHA $6,352
Marsh & McLennan Agency LLC Marsh & McLennan insurance violation 2020 TX-INS $6,350
IAC SPRINGFIELD LLC Invesco workplace safety or health violation 2014 OSHA $6,350
CITIZENS FINANCIAL GROUP, INC. Citizens Financial Group workplace safety or health violation 2017 OSHA $6,338
Reliance Standard Life Insurance Co. Tokio Marine insurance violation 2009 KS-INS $6,300
LM Insurance Corporation Liberty Mutual Insurance insurance violation 2016 TX-INS $6,300
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2018 TX-INS $6,300
Sherwin Alumina, L.P. Glencore environmental violation 2003 TX-ENV $6,300
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLC Invesco workplace safety or health violation 2014 OSHA $6,300
BOYD CORPORATION Goldman Sachs workplace safety or health violation 2019 OSHA $6,300
Transamerica Life Insurance Co. Aegon insurance violation 2012 CO-INS $6,270
FEDERAL INSURANCE COMPANY Chubb Limited insurance violation 2017 VA-INS $6,261
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $6,257
Trustmark National Bank Trustmark banking violation 2012 OCC $6,250
UBS Financial Services Inc. UBS wage and hour violation 2018 WHD $6,246
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2016 MSHA $6,225
Bank of America Bank of America wage and hour violation 2008 WHD $6,209
United Services Automobile Association USAA insurance violation 2018 OR-FIN $6,200
ERIE INSURANCE EXCHANGE Erie Indemnity insurance violation 2003 VA-INS $6,200
New Hampshire Insurance Co. American International Group insurance violation 2021 TX-INS $6,200
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,188
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,188
ELEPHANT INSURANCE COMPANY Admiral Group insurance violation 2013 VA-INS $6,154
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $6,153
National City Mortgage, Co. PNC Financial Services wage and hour violation 2004 WHD $6,150
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2019 MSHA $6,148
Gas Incorporated Macquarie motor vehicle safety violation 2012 FMCSA $6,140
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $6,115
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2015 NE-DBF $6,100
Virginia Surety Company, Inc. Assurant insurance violation 2007 OR-FIN $6,100
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $6,100
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $6,100
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2015 MSHA $6,062
Louis Dreyfus Company LLC Louis Dreyfus railroad safety violation 2016 FRA $6,000
CNG FINANCIAL CORPORATION CNG Financial labor relations violation 2001 NLRB $6,000
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
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)