Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$323,889,987,491
Number of Records: 
5,839
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$82,695,676,034210
JPMorgan Chase$34,517,828,993151
Citigroup$25,045,655,764120
Wells Fargo$21,139,073,231172
Deutsche Bank$17,995,700,77855
UBS$16,782,800,91082
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,332,95016
Credit Suisse$10,409,957,62631


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
Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2013 MD-INS $8,000
Fidelity & Guaranty Life Insurance Co. FGL Holdings insurance violation 2014 MD-INS $8,000
The Standard Fire Insurance Co. Travelers insurance violation 2015 MD-INS $8,000
Empire Fire and Marine Insurance Co. et al. Zurich Insurance insurance violation 2015 MD-INS $8,000
LM General Insurance Co. et al. Liberty Mutual Insurance insurance violation 2015 MD-INS $8,000
Selective Insurance Company of South Carolina et al. Selective Insurance Group insurance violation 2016 MD-INS $8,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2017 MD-INS $8,000
North Pointe Insurance Co. QBE Insurance insurance violation 2014 MO-INS $8,000
Liberty Insurance Corp. Liberty Mutual Insurance insurance violation 2016 MO-INS $8,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2006 ND-SEC $8,000
Progressive Classic Insurance Company Progressive insurance violation 2005 OR-FIN $8,000
AMCO Insurance Company Nationwide insurance violation 2010 OR-FIN $8,000
Allied Home Mortgage Capital Corporation Americus Mortgage consumer protection violation 2009 PA-BKG $8,000
Allstate Property & Casualty Insurance Company Allstate insurance violation 2012 RI-FIN $8,000
Peerless Insurance Company Liberty Mutual Insurance insurance violation 2014 RI-FIN $8,000
USAA Casualty Insurance Company USAA insurance violation 2019 RI-FIN $8,000
AXA Insurance Company AXA insurance violation 2007 SC-INS $8,000
United Services Automobile Association USAA insurance violation 2011 SC-INS $8,000
AXA Art Insurance Corporation AXA insurance violation 2012 SC-INS $8,000
Safeco Insurance Company Liberty Mutual Insurance insurance violation 2013 SC-INS $8,000
Standard Fire Insurance Company Travelers insurance violation 2010 TX-INS $8,000
Accident Fund Insurance Co. of America AF Group insurance violation 2011 TX-INS $8,000
The Netherlands Insurance Company Liberty Mutual Insurance insurance violation 2012 TX-INS $8,000
Wausau Underwriters Insurance Company Liberty Mutual Insurance insurance violation 2013 TX-INS $8,000
Property and Casualty Insurance Company of Hartford Hartford Financial Services insurance violation 2014 TX-INS $8,000
Illinois National Insurance Company American International Group insurance violation 2015 TX-INS $8,000
Travelers Casualty and Surety Company Travelers insurance violation 2015 TX-INS $8,000
Wausau Underwriters Insurance Company Liberty Mutual Insurance insurance violation 2015 TX-INS $8,000
Liberty Mutual Fire Insurance Company Liberty Mutual Insurance insurance violation 2016 TX-INS $8,000
Berkley National Insurance Company W.R. Berkley insurance violation 2016 TX-INS $8,000
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2016 TX-INS $8,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2019 TX-INS $8,000
Hartford Fire Insurance Company Hartford Financial Services insurance violation 2019 TX-INS $8,000
RELIASTAR LIFE INSURANCE CO. Voya Financial insurance violation 2007 VA-INS $8,000
Allstate Insurance Company and Allstate Indemnity Company Allstate insurance violation 2007 VA-INS $8,000
American Economy Insurance Company Liberty Mutual Insurance insurance violation 2009 VA-INS $8,000
METROPOLITAN LIFE INSURANCE MetLife insurance violation 2010 VA-INS $8,000
Selective Insurance Company of America Selective Insurance Group insurance violation 2011 VA-INS $8,000
PEERLESS INSURANCE COMPANY Liberty Mutual Insurance insurance violation 2012 VA-INS $8,000
NATIONAL UNION FIRE INSURANCE American International Group insurance violation 2014 VA-INS $8,000
ALLIED INSURANCE COMPANY OF AMERICA Nationwide insurance violation 2016 VA-INS $8,000
Old Republic Title Ltd Old Republic International insurance violation 2012 WA-INS $8,000
Jackson National Life Insurance Company Prudential (UK) insurance violation 2016 WA-INS $8,000
Lincoln National Life Insurance Company The Lincoln National insurance violation 2020 WA-INS $8,000
Austin Mutual Insurance Co. American Family Insurance insurance violation 2007 WI-INS $8,000
General Casualty Company of Wisconsin QBE Insurance insurance violation 2010 WI-INS $8,000
Bowie Refined Coal, LLC Trafigura workplace safety or health violation 2017 MSHA $8,094
Hartford Accident and Indemnity Company Hartford Financial Services insurance violation 2016 VA-INS $8,131
STATE FARM INSURANCE State Farm Insurance workplace safety or health violation 2012 OSHA $8,160
CitiFinancial, Inc. Citigroup consumer protection violation 2003 FL-OFR $8,199
PNC Bank PNC Financial Services economic sanction violation 2005 OFAC $8,200
Jackson National Life Insurance Co. Prudential (UK) insurance violation 2015 MD-INS $8,200
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $8,209
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $8,209
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $8,209
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2008 MSHA $8,209
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $8,209
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2014 MSHA $8,209
Bowie Resources LLC Trafigura workplace safety or health violation 2014 MSHA $8,209
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $8,209
Bowie Resources LLC Trafigura workplace safety or health violation 2011 MSHA $8,209
International Matex Tank Terminals Macquarie railroad safety violation 2017 FRA $8,250
Louis Dreyfus Company LLC Louis Dreyfus railroad safety violation 2017 FRA $8,250
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $8,260
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $8,260
HSBC North America Inc. HSBC wage and hour violation 2006 WHD $8,273
Transamerica Life Insurance Co. Aegon insurance violation 2017 MD-INS $8,300
Conseco Life Insurance Company CNO Financial insurance violation 2003 OR-FIN $8,300
ACE American Reinsurance Company Chubb Limited insurance violation 2006 OR-FIN $8,300
BROADRIDGE FINANCIAL SOLUTIONS, INC. Broadridge Financial Solutions workplace safety or health violation 2019 OSHA $8,335
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2012 MSHA $8,349
HSBC Bank USA HSBC economic sanction violation 2004 OFAC $8,375
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2014 TX-INS $8,397
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2018 TX-INS $8,400
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $8,421
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2015 MSHA $8,421
Provident Funding Associates, LP Provident Funding Associates wage and hour violation 2008 WHD $8,453
Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2010 IN-SEC $8,495
Capmark Bank Capmark Bank banking violation 2012 FDIC $8,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $8,500
Nationwide Mutual Insurance Co. Nationwide insurance violation 2007 CO-INS $8,500
Fifth Third Securities, Inc. Fifth Third Bancorp investor protection violation 2013 IN-SEC $8,500
Ragen Mackenzie Investment Services LLC Wells Fargo investor protection violation 2004 OR-FIN $8,500
Ace American Insurance Company Chubb Limited insurance violation 2012 TX-INS $8,500
XL Specialty Insurance Company AXA insurance violation 2014 TX-INS $8,500
AIG Property Casualty Company American International Group insurance violation 2015 TX-INS $8,500
New Hampshire Insurance Company American International Group insurance violation 2015 TX-INS $8,500
Twin City Fire Insurance Company Hartford Financial Services insurance violation 2017 TX-INS $8,500
Zurich American Insurance Company Zurich Insurance insurance violation 2017 TX-INS $8,500
Insurance Company of the State of Pennsylvania American International Group insurance violation 2018 TX-INS $8,500
DAIRYLAND INSURANCE CO Sentry Insurance insurance violation 2001 VA-INS $8,500
Regent Insurance Co. QBE Insurance insurance violation 2003 WI-INS $8,500
Foremost Insurance Co. Zurich Insurance insurance violation 2003 WI-INS $8,500
CASH AMERICA FirstCash workplace safety or health violation 2016 OSHA $8,500
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2010 NE-DBF $8,550
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $8,574
Travelers Insurance Company Travelers insurance violation 2002 MA-INS $8,600
Hartford Underwriters Insurance Company Hartford Financial Services insurance violation 2014 NY-DFS $8,600
Bowie Resources LLC Trafigura workplace safety or health violation 2011 MSHA $8,600
CLECO CORPORATION Macquarie workplace safety or health violation 2017 OSHA $8,626
LIBERTY INSURANCE CORP et al. Liberty Mutual Insurance insurance violation 2017 VA-INS $8,652
Download results as CSV or XML