Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
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$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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 Typesort icon Year Agency Penalty Amount
PHH Mortgage Corp. Ocwen Financial zoning violation 2017 NY-DFS $119,000
Barclays Bank PLC Barclays workplace whistleblower retaliation 2018 NY-DFS $15,000,000
Imperial Sugar Company Louis Dreyfus workplace safety or health violation 2010 OSHA $6,050,000
Broadspire Services, Inc. Crawford & Co. workplace safety or health violation 2011 MO-AG $28,500
CITIMORTGAGE, INC. Citigroup workplace safety or health violation 2007 OSHA $5,097
WHEELABRATOR SHASTA ENERGY CO. Macquarie workplace safety or health violation 2000 OSHA $10,275
DEPOSITORY TRUST & CLEARING CORP. Depository Trust workplace safety or health violation 2000 OSHA $13,000
ALLSTATE Allstate workplace safety or health violation 2002 OSHA $69,500
KEYBANK NATIONAL ASSOCIATION KeyCorp workplace safety or health violation 2004 OSHA $28,000
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INC Invesco workplace safety or health violation 2007 OSHA $5,200
LOUIS DREYFUS CITRUS INC. Louis Dreyfus workplace safety or health violation 2006 OSHA $9,800
INTERNATIONAL AUTOMOTIVE COMPONENTS Invesco workplace safety or health violation 2007 OSHA $5,625
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P. Louis Dreyfus workplace safety or health violation 2008 OSHA $4,050,000
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.: I Louis Dreyfus workplace safety or health violation 2008 OSHA $2,000,000
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INC Invesco workplace safety or health violation 2008 OSHA $59,000
FARMERS INSURANCE EXCHANGE Farmers Insurance Exchange workplace safety or health violation 2009 OSHA $10,000
FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS, INC Fidelity Investments workplace safety or health violation 2011 OSHA $7,000
INTERNATIONAL AUTOMOTIVE COMPONENTS Invesco workplace safety or health violation 2009 OSHA $6,000
ALLO COMMUNICATIONS Nelnet workplace safety or health violation 2011 OSHA $10,500
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P. Louis Dreyfus workplace safety or health violation 2011 OSHA $13,600
BANK OF AMERICA Bank of America workplace safety or health violation 2011 OSHA $6,600
THE HARTFORD FINANCIAL SERVICES GROUP, INC. Hartford Financial Services workplace safety or health violation 2011 OSHA $5,600
WHEELABRATOR SHASTA ENERGY CO, INC Macquarie workplace safety or health violation 2010 OSHA $10,000
WHEELABRATOR PORTSMOUTH Macquarie workplace safety or health violation 2010 OSHA $6,890
INTERNATIONAL AUTOMOTIVE COMPONENTS Invesco workplace safety or health violation 2010 OSHA $8,750
GS ASSET MANAGEMENT First Merchants Corp. workplace safety or health violation 2011 OSHA $23,400
IAC Invesco workplace safety or health violation 2013 OSHA $9,025
WHEELABRATOR ENERGY COMPANY, INCORPORATED Macquarie workplace safety or health violation 2011 OSHA $15,000
IAC SPARTANBURG Invesco workplace safety or health violation 2011 OSHA $7,277
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLC Invesco workplace safety or health violation 2011 OSHA $5,850
PROGRESSIVE, INC. Progressive workplace safety or health violation 2012 OSHA $29,000
COMMUNICORP INC. Aflac workplace safety or health violation 2011 OSHA $9,900
UNUM GROUP CORPORATION Unum workplace safety or health violation 2011 OSHA $5,400
IAC MADISONVILLE LLC Invesco workplace safety or health violation 2014 OSHA $5,000
IAC DAYTON LLC Invesco workplace safety or health violation 2013 OSHA $5,775
DITECH INC Ditech Holding Corporation workplace safety or health violation 2014 OSHA $5,880
INTERNATIONAL AUTOMOTIVE COMPONENTS Invesco workplace safety or health violation 2014 OSHA $5,000
IAC SPRINGFIELD, LLC Invesco workplace safety or health violation 2014 OSHA $9,100
IAC MADISONVILLE LLC Invesco workplace safety or health violation 2014 OSHA $7,500
IAC HURON, LLC Invesco workplace safety or health violation 2011 OSHA $20,940
AMERICAN FAMILY INSURANCE American Family Insurance workplace safety or health violation 2012 OSHA $12,500
STATE FARM INSURANCE State Farm Insurance workplace safety or health violation 2012 OSHA $8,160
THE KEMPER COMPANY Kemper workplace safety or health violation 2012 OSHA $9,800
THE GAS COMPANY, LLC Macquarie workplace safety or health violation 2013 OSHA $7,000
THE GAS COMPANY, LLC Macquarie workplace safety or health violation 2013 OSHA $10,500
DEUTSCHE BANK USA Deutsche Bank workplace safety or health violation 2013 OSHA $5,250
WELLS FARGO BANK #1692 Wells Fargo workplace safety or health violation 2013 OSHA $12,000
CITICORP CREDIT CARD SERVICES, INC. (USA) Citigroup workplace safety or health violation 2014 OSHA $7,650
IAC SPRINGFIELD LLC Invesco workplace safety or health violation 2014 OSHA $6,350
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLC Invesco workplace safety or health violation 2014 OSHA $6,300
GE ENERGY MANAGEMENT GRID SOLUTIONS, LLC Synchrony Financial workplace safety or health violation 2015 OSHA $22,300
THE MCCLATCHY COMPANY Chatham Asset Management workplace safety or health violation 2015 OSHA $13,500
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA INC Invesco workplace safety or health violation 2015 OSHA $6,600
WESTERN UNION Western Union workplace safety or health violation 2015 OSHA $11,000
GEORGIA CASH AMERICA, INC. FirstCash workplace safety or health violation 2015 OSHA $10,920
IMTT- BAYONNE LLC Macquarie workplace safety or health violation 2016 OSHA $87,297
CASH AMERICA FirstCash workplace safety or health violation 2016 OSHA $8,500
THE KANSAS CITY STAR Chatham Asset Management workplace safety or health violation 2016 OSHA $23,696
IAC ALBEMARLE, LLC Invesco workplace safety or health violation 2017 OSHA $7,000
WHEELABRATOR SAUGUS, INC. Macquarie workplace safety or health violation 2017 OSHA $17,600
CLECO CORPORATION Macquarie workplace safety or health violation 2017 OSHA $8,626
LOUIS DREYFUS COMPANY RIVER ELEVATORS, LLC Louis Dreyfus workplace safety or health violation 2017 OSHA $8,665
CITIZENS FINANCIAL GROUP, INC. Citizens Financial Group workplace safety or health violation 2017 OSHA $6,338
CLECO CORPORATION Macquarie workplace safety or health violation 2017 OSHA $5,545
HIGHMARK INC. Highmark Inc. workplace safety or health violation 2018 OSHA $25,868
BROADRIDGE FINANCIAL SOLUTIONS Broadridge Financial Solutions workplace safety or health violation 2018 OSHA $15,522
WHEELABRATOR MILLBURY INC. Macquarie workplace safety or health violation 2018 OSHA $9,472
BROADRIDGE FINANCIAL SOLUTIONS, INC. Broadridge Financial Solutions workplace safety or health violation 2019 OSHA $8,335
IMTT-BAYONNE Macquarie workplace safety or health violation 2019 OSHA $121,446
WHEELABRATOR CONCORD INC. Macquarie workplace safety or health violation 2019 OSHA $7,100
WHEELABRATOR NORTH ANDOVER Macquarie workplace safety or health violation 2019 OSHA $7,500
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2002 MSHA $25,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2000 MSHA $5,200
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2001 MSHA $5,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,280
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $6,600
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $15,971
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $6,996
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $9,625
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $6,600
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $11,600
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $6,996
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $18,800
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,188
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,040
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,000
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2004 MSHA $36,800
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $25,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $8,421
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $9,288
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $5,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,040
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $9,625
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,503
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $7,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,961
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,705
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $6,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,503
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $6,458
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)