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
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
Buckeye Terminals IFM Investors environmental violation 2019 CA-ARB $6,000
Imperial-Savannah, L.P. Louis Dreyfus environmental violation 2012 GA-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
Buckeye Texas HUB LLC IFM Investors environmental violation 2018 TX-RRC $6,000
State Farm Mutual Automobile Insurance Company State Farm Insurance insurance violation 2021 MN-FIN $6,000
Arch Insurance Co. Arch Capital insurance violation 2021 TX-INS $6,000
New Hampshire Insurance Co. American International Group insurance violation 2021 TX-INS $6,000
Great American Life Insurance Company Massachusetts Mutual Life Insurance insurance violation 2021 CT-INS $6,000
American Zurich Insurance Company Zurich Insurance insurance violation 2022 TX-INS $6,000
GARNER PRINTING Chatham Asset Management workplace safety or health violation 2001 OSHA $6,000
INTERNATIONAL AUTOMOTIVE COMPONENTS Invesco workplace safety or health violation 2009 OSHA $6,000
IFCO SYSTEMS, NORTH AMERICA #409 Triton Investments Advisers workplace safety or health violation 2014 OSHA $6,000
RR DONNELLEY Chatham Asset Management workplace safety or health violation 2016 OSHA $6,000
Nyrstar Gordonsville, LLC Trafigura workplace safety or health violation 2018 MSHA $5,997
Bank of America Corporation Bank of America wage and hour violation 2004 WHD $5,972
Nyrstar Gordonsville, LLC Trafigura workplace safety or health violation 2010 MSHA $5,961
Nyrstar Gordonsville, LLC Trafigura workplace safety or health violation 2015 MSHA $5,961
Protective Life Insurance Co. Dai-ichi Life insurance violation 2004 FL-OFR $5,950
R.R. DONNELLEY & SONS COMPANY Chatham Asset Management workplace safety or health violation 2012 OSHA $5,950
IFCO SYSTEMS NORTH AMERICA, INC. Triton Investments Advisers workplace safety or health violation 2011 OSHA $5,950
Praetorian Insurance Company QBE Insurance insurance violation 2019 MD-INS $5,920
Nyrstar Tennessee Mines, Strawberry Plains LLC Trafigura workplace safety or health violation 2018 MSHA $5,903
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
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
Buckeye Pipe Line Company LP, IFM Investors environmental violation 2014 EPA $5,813
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
ASURION, LLC. Asurion workplace safety or health violation 2020 OSHA $5,783
Mastercard International, Inc MasterCard wage and hour violation 2008 WHD $5,777
Nyrstar Tennessee Mines, Strawberry Plains LLC Trafigura workplace safety or health violation 2019 MSHA $5,776
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
SYNAGRO TECHNOLOGIES, INC. Goldman Sachs workplace safety or health violation 2004 OSHA $5,725
BUCKEYE PERTH AMBOY TERMINAL LLC IFM Investors environmental violation 2007 NJ-ENV $5,700
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
Nyrstar Gordonsville, LLC Trafigura workplace safety or health violation 2015 MSHA $5,645
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
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2015 NE-DBF $5,600
THE HARTFORD FINANCIAL SERVICES GROUP, INC. Hartford Financial Services workplace safety or health violation 2011 OSHA $5,600
IFCO SYSTEMS Triton Investments Advisers workplace safety or health violation 2007 OSHA $5,550
World Acceptance Corporation World Acceptance Corporation wage and hour violation 2019 WHD $5,549
CLECO CORPORATION Macquarie workplace safety or health violation 2017 OSHA $5,545
ALLIED PROPERTY & CASUALTY INSURANCE Nationwide insurance violation 2014 VA-INS $5,530
GMAC Mortgage, LLC Ally Financial environmental violation 2010 AL-ENV $5,505
Nyrstar Gordonsville, LLC Trafigura workplace safety or health violation 2010 MSHA $5,503
Union Bank of California Mitsubishi UFJ Financial Group economic sanction violation 2005 OFAC $5,500
Wachovia Bank Wells Fargo economic sanction violation 2005 OFAC $5,500
American Express Company American Express economic sanction violation 2004 OFAC $5,500
Arab Banking Corp. Arab Banking Corp. economic sanction violation 2004 OFAC $5,500
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $5,500
Bank One JPMorgan Chase economic sanction violation 2004 OFAC $5,500
Citibank Citigroup economic sanction violation 2004 OFAC $5,500
Commerzbank AG Commerzbank economic sanction violation 2004 OFAC $5,500
Deutsche Bank Deutsche Bank economic sanction violation 2004 OFAC $5,500
HSBC Bank USA HSBC economic sanction violation 2004 OFAC $5,500
Credit Lyonnais, NY Credit Agricole economic sanction violation 2003 OFAC $5,500
Deutsche Bank A.G. Deutsche Bank economic sanction violation 2003 OFAC $5,500
HSBC Bank USA HSBC economic sanction violation 2003 OFAC $5,500
National City Bank PNC Financial Services economic sanction violation 2003 OFAC $5,500
Wells Fargo Bank Wells Fargo economic sanction violation 2003 OFAC $5,500
American Family Mutual Insurance Co. American Family Insurance insurance violation 2007 CO-INS $5,500
Conseco Senior Health Insurance Co. CNO Financial insurance violation 2000 FL-OFR $5,500
GREAT AMERICAN ALLIANCE INSURANCE COMPANY American Financial Group insurance violation 2001 FL-OFR $5,500
Jackson National Life Insurance Co. Jackson Financial insurance violation 2004 FL-OFR $5,500
Fireman's Fund Insurance Co. Allianz insurance violation 2007 FL-OFR $5,500
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2010 MD-INS $5,500
United of Omaha Life Insurance Co. Mutual of Omaha insurance violation 2011 MD-INS $5,500
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2011 MD-INS $5,500
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2014 MD-INS $5,500
Liberty Mutual Insurance Co. et al. Liberty Mutual Insurance insurance violation 2015 MD-INS $5,500
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2009 NE-DBF $5,500
Securian Financial Services, Inc. Securian Financial consumer protection violation 2013 NE-DBF $5,500
Hartford Casualty Insurance Corporation Hartford Financial Services insurance violation 2011 TX-INS $5,500
American Home Assurance Company American International Group insurance violation 2013 TX-INS $5,500
Zurich American Insurance Company Zurich Insurance insurance violation 2014 TX-INS $5,500
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
New Hampshire Insurance Co. American International Group insurance violation 2020 TX-INS $5,500
Everest National Insurance Company Everest Re Group insurance violation 2021 TX-INS $5,500
Mercury Air Centers Macquarie environmental violation 2011 CA-SCAQMD $5,500
New Hampshire Insurance Company American International Group insurance violation 2021 TX-INS $5,500
RR DONNELLEY Chatham Asset Management workplace safety or health violation 2015 OSHA $5,500
Scott Danahy Naylon Co. Inc. Financial Institutions Inc. wage and hour violation 2005 WHD $5,495
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 KY-FIN $5,465
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)