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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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.

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CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
IAC ALBEMARLE, LLCInvescoworkplace safety or health violation2017OSHA$7,000
BUCKEYE PARTNERS, L.P.IFM Investorsworkplace safety or health violation2017OSHA$7,000
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$7,000
JPMorgan Chase Bank, NAJPMorgan Chasewage and hour violation2009WHD$6,996
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$6,996
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2012TX-INS$6,960
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020VT-FIN$6,900
WHEELABRATOR PORTSMOUTHMacquarieworkplace safety or health violation2010OSHA$6,890
ZENITH INSURANCE COMPANYFairfax Financial Holdingsinsurance violation2001FL-OFR$6,850
Heritage Bank of CommerceHeritage Commerce Corp.banking violation2008FED$6,840
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2017TX-INS$6,825
Netherlands Insurance CompanyLiberty Mutual Insuranceinsurance violation2014TX-INS$6,801
Florida Central Railroad3i Infrastructure PLCrailroad safety violation2013FRA$6,800
Imperial Sugar CompanyLouis Dreyfusenvironmental violation2003TX-ENV$6,800
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$6,800
Buckeye Terminals, LLCIFM Investorsenvironmental violation2012EPA$6,766
IAC Group North AmericaInvescoenvironmental violation2016NC-ENV$6,751
Franklin American Mortgage CompanyCitizens Financial Groupconsumer protection violation2010PA-BKG$6,750
Old Republic InsuranceOld Republic Internationalinsurance violation2021TX-INS$6,750
THEO. DAVIS SONS, INCORPORATEDChatham Asset Managementworkplace safety or health violation2013OSHA$6,750
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$6,725
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$6,725
IFCO SYSTEMS, NORTH AMERICATriton Investments Advisersworkplace safety or health violation2012OSHA$6,720
NEW YORK LIFE INSURANCE COMPANYNew York Life Insuranceworkplace safety or health violation2023OSHA$6,697
J P Morgan Chase BankJPMorgan Chasewage and hour violation2005WHD$6,688
Bank OneJPMorgan Chaseeconomic sanction violation2004OFAC$6,682
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2014TX-INS$6,662
Societe GeneraleSociete Generaleeconomic sanction violation2003OFAC$6,600
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2018MD-INS$6,600
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2020VA-INS$6,600
BANK OF AMERICABank of Americaworkplace safety or health violation2011OSHA$6,600
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA INCInvescoworkplace safety or health violation2015OSHA$6,600
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2009MSHA$6,600
World Acceptance Corporation, IncWorld Acceptance Corporationwage and hour violation2019WHD$6,582
Wells Fargo Bank, National AssociationWells Fargowage and hour violation2005CA-LCO$6,572
Stewart Title CompanyStewart Information Servicesinsurance violation2023IN-INS$6,570
Bankers Life and Casualty Co.CNO Financialinsurance violation2007IN-INS$6,569
JP Morgan ChaseJPMorgan Chaseenvironmental violation2011TX-ENV$6,555
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$6,550
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2006AK-INS$6,530
Universal Underwriters Insurance Co.Zurich Insuranceinsurance violation2007MO-INS$6,530
RR DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2014OSHA$6,510
Bank of AmericaBank of AmericaFamily and Medical Leave Act2008WHD$6,500
Noble Americas CorporationVitolrailroad safety violation2017FRA$6,500
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2017AK-DBS$6,500
Principal Life Insurance Co.Principal Financialinsurance violation2002FL-OFR$6,500
United Insurance Co. of AmericaKemperinsurance violation2007IN-INS$6,500
National Casualty CompanyNationwideinsurance violation2000MA-INS$6,500
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2008OR-FIN$6,500
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2014TX-INS$6,500
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$6,500
Marsh USA, Inc.Marsh & McLennaninsurance violation2016TX-INS$6,500
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2019TX-INS$6,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2019TX-INS$6,500
First American Title Insurance CompanyFirst American Financialinsurance violation2016UT-INS$6,500
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2010WA-INS$6,500
General Casualty Company of WisconsinQBE Insuranceinsurance violation2003WI-INS$6,500
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2003WI-INS$6,500
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020NM-SEC$6,500
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020RI-FIN$6,500
BROADRIDGE FINANCIAL SOLUTIONS INCBroadridge Financial Solutionsenvironmental violation2008NJ-ENV$6,500
Harleysville Worcester Insurance CompanyNationwideinsurance violation2020CT-INS$6,500
Coinbase, Inc.Coinbase Global Inc.consumer protection violation2021FL-OFR$6,500
Accident Fund General Insurance Co.AF Groupinsurance violation2021TX-INS$6,500
Progressive Direct Insurance CompanyProgressiveinsurance violation2021DE-INS$6,500
First American Financial Corp.First American Financialenvironmental violation2002CA-SCAQMD$6,500
Ace American Insurance Co.Chubb Limitedinsurance violation2022TX-INS$6,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$6,500
XL Insurance America Inc.AXAinsurance violation2022TX-INS$6,500
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2023CA-MHC$6,500
Arch Insurance CompanyArch Capitalinsurance violation2022CT-INS$6,500
Security National Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$6,500
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$6,500
Accident Fund General Insurance CompanyAF Groupinsurance violation2018TX-INS$6,400
RR DONNELLEYChatham Asset Managementworkplace safety or health violation2011OSHA$6,400
Metropolitan Life Insurance CompanyMetLifeFamily and Medical Leave Act2009WHD$6,375
Sun Life Assurance Company of Canada (U.S.)Sun Life Financialwage and hour violation2009WHD$6,366
TMX Finance, LLCTMX Financewage and hour violation2016WHD$6,353
RR DONNELLEY ATLANTAChatham Asset Managementworkplace safety or health violation2014OSHA$6,352
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2013MSHA$6,351
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2020TX-INS$6,350
Allstate InsuranceAllstatewage and hour violation2015MI-LEO$6,350
IAC SPRINGFIELD LLCInvescoworkplace safety or health violation2014OSHA$6,350
CITIZENS FINANCIAL GROUP, INC.Citizens Financial Groupworkplace safety or health violation2017OSHA$6,338
Reliance Standard Life Insurance Co.Tokio Marineinsurance violation2009KS-INS$6,300
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$6,300
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2018TX-INS$6,300
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2023TX-INS$6,300
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLCInvescoworkplace safety or health violation2014OSHA$6,300
BOYD CORPORATIONGoldman Sachsworkplace safety or health violation2019OSHA$6,300
Transamerica Life Insurance Co.Aegoninsurance violation2012CO-INS$6,270
FEDERAL INSURANCE COMPANYChubb Limitedinsurance violation2017VA-INS$6,261
Trustmark National BankTrustmarkbanking violation2012OCC$6,250
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$6,250
Ace Fire Underwriters Insurance CompanyChubb Limitedinsurance violation2022TX-INS$6,250
Liberty Mutual Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$6,250
UBS Financial Services Inc.UBSwage and hour violation2018WHD$6,246
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2021MSHA$6,232
Bank of AmericaBank of Americawage and hour violation2008WHD$6,209
East Penn Railroad3i Infrastructure PLCrailroad safety violation2010FRA$6,200
United Services Automobile AssociationUSAAinsurance violation2018OR-FIN$6,200
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.