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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
American Family Home Insurance Co.Munich Reinsurance violation2011SC-INS$9,800
LOUIS DREYFUS CITRUS INC.Louis Dreyfusworkplace safety or health violation2006OSHA$9,800
THE KEMPER COMPANYKemperworkplace safety or health violation2012OSHA$9,800
Vitol Inc.Vitolenvironmental violation2016EPA$9,814
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2005WHD$9,830
GAS COMPANY LLCMacquarieworkplace safety or health violation2020OSHA$9,832
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2017MD-INS$9,850
Solium Financial ServicesMorgan Stanleyinvestor protection violation2021DC-DISB$9,879
Ace American Insurance CompanyChubb Limitedinsurance violation2015TX-INS$9,900
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2019TX-INS$9,900
COMMUNICORP INC.Aflacworkplace safety or health violation2011OSHA$9,900
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$9,942
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2009MSHA$9,951
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020OK-SEC$9,968
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2023MSHA$9,979
First Niagara Bank, National AssociationKeyCorpbanking violation2011OCC$10,000
NYRSTAR CLARKSVILLE, INC.Trafigurarailroad safety violation2009FRA$10,000
BB&TTruist Financialeconomic sanction violation2007OFAC$10,000
Bank of ChinaBank of Chinaeconomic sanction violation2004OFAC$10,000
Piccari Press, Inc.Chatham Asset Managementlabor relations violation2003NLRB$10,000
Buckeye PartnersIFM Investorsrailroad safety violation2017FRA$10,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$10,000
Allstate Insurance Co.Allstateprivacy violation2003PA-AG$10,000
Metropolitan Life Insurance Co.MetLifeprivacy violation2012CT-AG$10,000
Mutual of OmahaMutual of Omahaconsumer protection violation2002NY-AG$10,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2016AK-INS$10,000
Securian Financial Services, Inc.Securian Financialinvestor protection violation2020AK-DBS$10,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2013AR-INS$10,000
Allied Home Mortgage Capital Corp.Americus Mortgageinvestor protection violation2009AR-SEC$10,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2010AZ-DIFI$10,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2011AZ-DIFI$10,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2018CA-MHC$10,000
Cash America Advance, Inc.FirstCashpayday lending violation2019CA-DFPI$10,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2007CO-INS$10,000
Continental American Insurance Co.Aflacinsurance violation2019CT-INS$10,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2014DE-INS$10,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2004FL-OFR$10,000
Western Union International Services LLCWestern Unionconsumer protection violation2019FL-OFR$10,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2014IA-INS$10,000
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2008ID-INS$10,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2005IL-SEC$10,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2011IN-SEC$10,000
Continental Western Insurance Co.W.R. Berkleyinsurance violation2008KS-INS$10,000
The Travelers Indemnity Co. et al.Travelersinsurance violation2010KS-INS$10,000
Allstate Fire and Casualty Co.Allstateinsurance violation2014KS-INS$10,000
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2015KS-INS$10,000
Auto-Owners (Mutual) Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2019KS-INS$10,000
Homeward Residential, Inc.Ocwen Financialconsumer protection violation2015KY-FIN$10,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2017LA-INS$10,000
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019LA-INS$10,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2008MD-SEC$10,000
Allstate Indemnity Co. et al.Allstateinsurance violation2010MD-INS$10,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2011MD-INS$10,000
AMEX Assurance Co.American Expressinsurance violation2011MD-INS$10,000
State Farm Mutual Automobile Insurance Co. et al.State Farm Insuranceinsurance violation2011MD-INS$10,000
Praetorian Insurance Co. and Redland Insurance Co.QBE Insuranceinsurance violation2011MD-INS$10,000
Praetorian Insurance Co. and Stonington Insurance Co.QBE Insuranceinsurance violation2013MD-INS$10,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2014MD-INS$10,000
The Standard Fire Insurance Co.Travelersinsurance violation2015MD-INS$10,000
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2015MD-INS$10,000
Twin City Fire Insurance Co. et al.Hartford Financial Servicesinsurance violation2016MD-INS$10,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2016MD-INS$10,000
Travelers Commercial Insurance Co. et al.Travelersinsurance violation2017MD-INS$10,000
QBE Insurance Co. and Praetorian Insurance Co.QBE Insuranceinsurance violation2017MD-INS$10,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2018MD-INS$10,000
Washington National Life Insurance Co.CNO Financialinsurance violation2001ME-INS$10,000
Conseco Health Insurance Co.CNO Financialinsurance violation2004ME-INS$10,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2010ME-SEC$10,000
Metropolitan Property and Casualty Insurance Co. et al.Zurich Insuranceinsurance violation2001MN-FIN$10,000
Allstate Insurance Co.Allstateinsurance violation2001MN-FIN$10,000
Fortis Insurance Co. and John Alden Life Insurance Co.Assurantinsurance violation2002MN-FIN$10,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2002MN-FIN$10,000
Horace Mann Insurance Co.Horace Mann Educators Corp.insurance violation2002MN-FIN$10,000
Illinois Farmers Insurance Co.Zurich Insuranceinsurance violation2003MN-FIN$10,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2003MN-FIN$10,000
Berthel Fisher & CompanyBerthel Fisherinvestor protection violation2003MN-FIN$10,000
Fortis Insurance Co.Assurantinsurance violation2005MN-FIN$10,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceinsurance violation2012MN-FIN$10,000
Allstate Insurance Co.Allstateinsurance violation2014MN-FIN$10,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2014MN-FIN$10,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2015MN-FIN$10,000
American General Life Insurance Co.American International Groupinsurance violation2015MN-FIN$10,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2015MN-FIN$10,000
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2016MN-FIN$10,000
Travelers Home and Marine Insurance Co.Travelersinsurance violation2016MN-FIN$10,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2016MN-FIN$10,000
Safeco Surplus Lines Insurance Co.Liberty Mutual Insuranceinsurance violation2017MN-FIN$10,000
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co.CNO Financialinsurance violation2018MN-FIN$10,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019MN-FIN$10,000
Austin Mutual Insurance Co.American Family Insuranceinsurance violation2019MN-FIN$10,000
The Travelers Indemnity Co.Travelersinsurance violation2019MN-FIN$10,000
American Modern Home Insurance Co.Munich Reinsurance violation2015MO-INS$10,000
Safety National Casualty Corp.Tokio Marineinsurance violation2008MS-INS$10,000
Allstate Fire and Casualty Insurance Co. et al.Allstateinsurance violation2017MT-FIN$10,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2014ND-INS$10,000
Cadaret, Grant & Co., Inc.Atria Wealth Solutionsinvestor protection violation2008NE-DBF$10,000
Ameriprise Financial Services Inc.Ameriprise Financialconsumer protection violation2013NE-DBF$10,000
Seterus, Inc.Mr. Cooper Groupconsumer protection violation2014NH-BKG$10,000
AON Risk Services IncAoninsurance violation2004NJ-DBI$10,000
21st Century National Insurance CompanyZurich Insuranceinsurance violation2010NJ-DBI$10,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2012NJ-DBI$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.