Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$20,847,113,321
Number of Records: 
756
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
Morgan Stanley$9,755,070,712124
Ocwen Financial$2,546,423,80428
Rabobank$1,220,536,2598
State Street Corp.$1,098,869,17417
Western Union$802,359,50812
Ally Financial$669,319,62315
ING$619,000,0003
TD Ameritrade$473,210,80010
American Express$359,868,54630
Ameriprise Financial$308,951,27248


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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Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
WHEELABRATOR NORWALK ENERGY CO Macquarie environmental violation 2009 EPA $7,500
MORGAN STANLEY - 140 58TH ST Morgan Stanley environmental violation 2003 EPA $7,500
GMAC Mortgage, LLC dba Ditech Ally Financial consumer protection violation 2011 AZ-DFS $7,500
GMAC Mortgage, LLC Ally Financial consumer protection violation 2011 AZ-DFS $7,500
Lincoln Life & Annuity Company of New York Lincoln National insurance violation 2019 CT-INS $7,500
Fidelity Brokerage Services LLC Fidelity Investments investor protection violation 2011 IN-SEC $7,500
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2010 WI-INS $7,500
WHEELABRATOR NORTH ANDOVER Macquarie workplace safety or health violation 2019 OSHA $7,500
Morgan Stanley Capital Group, Inc. Morgan Stanley environmental violation 2002 EPA $7,500
IMTT, INC. Macquarie railroad safety violation 2014 FRA $7,200
WHEELABRATOR CONCORD INC. Macquarie workplace safety or health violation 2019 OSHA $7,100
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2007 FAA $7,000
Edward D. Jones & Co. LP Jones Financial investor protection violation 2003 ND-SEC $7,000
USAA Casualty Insurance Co. USAA insurance violation 2010 SC-INS $7,000
AMERICAN HEALTH & LIFE INSURANCE CO OneMain Holdings insurance violation 2005 VA-INS $7,000
FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS, INC Fidelity Investments workplace safety or health violation 2011 OSHA $7,000
THE GAS COMPANY, LLC Macquarie workplace safety or health violation 2013 OSHA $7,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 VT-FIN $6,900
WHEELABRATOR PORTSMOUTH Macquarie workplace safety or health violation 2010 OSHA $6,890
IMTT BAYONNE 340171219400099 Macquarie environmental violation 2011 EPA $6,300
United Services Automobile Association USAA insurance violation 2018 OR-FIN $6,200
Gas Incorporated Macquarie motor vehicle safety violation 2012 FMCSA $6,140
IMTT BAYONNE 340171219400046 Macquarie environmental violation 2002 EPA $6,000
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2017 EPA $6,000
MORGAN STANLEY - 2000 WESTCHESTER AVE Morgan Stanley environmental violation 2011 EPA $6,000
PHH Mortgage Corp. dba Century Mortgage Ocwen Financial consumer protection violation 2009 CT-BKG $6,000
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2016 KY-FIN $6,000
United Services Automobile Association et al. USAA insurance violation 2007 MO-INS $6,000
Lincoln National life Insurance Company Lincoln National insurance violation 2011 UT-INS $6,000
United Services Automobile Association USAA insurance violation 2007 VA-INS $6,000
Mastercard International, Inc MasterCard wage and hour violation 2008 WHD $5,777
IMTT BAYONNE Macquarie railroad safety violation 2008 FRA $5,625
CLECO CORPORATION Macquarie workplace safety or health violation 2017 OSHA $5,545
American Express Company American Express economic sanction violation 2004 OFAC $5,500
International Matex Tank Terminals Macquarie railroad safety violation 2007 FRA $5,250
American Express Bank Ltd. American Express economic sanction violation 2004 OFAC $5,041
IMTT BAYONNE Macquarie railroad safety violation 2014 FRA $5,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2005 FAA $5,000
IMTT Bayonne Macquarie railroad safety violation 2003 FRA $5,000
International Matex Tank Terminals Macquarie railroad safety violation 2006 FRA $5,000
WHEELABRATOR RIDGE ENERGY INC. 121050021600035 Macquarie environmental violation 2004 EPA $5,000
Discover Financial Services, Inc./Millenium Teleservices, Inc. Discover Financial Services privacy violation 2002 KY-AG $5,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2019 AR-SEC $5,000
ING USA Annuity and Life Insurance Co. Voya Financial insurance violation 2007 CO-INS $5,000
United Services Automobile Association USAA insurance violation 2001 KS-INS $5,000
PHH Mortgage Corp. Ocwen Financial consumer protection violation 2011 KY-FIN $5,000
USAA Casualty Insurance Co. et al. USAA insurance violation 2014 MD-INS $5,000
Solium Financial Services, LLC Morgan Stanley investor protection violation 2020 ME-SEC $5,000
American Express Financial Advisors, Inc. Ameriprise Financial investor protection violation 2002 MN-FIN $5,000
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2006 MN-FIN $5,000
ING Financial Partners, Inc. Voya Financial investor protection violation 2012 MN-FIN $5,000
USAA Casualty Insurance Co. USAA insurance violation 2014 MN-FIN $5,000
ReliaStar Insurance Co. Voya Financial insurance violation 2017 MN-FIN $5,000
USAA General Indemnity Company USAA insurance violation 2018 OR-FIN $5,000
Lincoln Financial Advisors Corp. Lincoln National investor protection violation 2007 RI-FIN $5,000
United Services Automobile Association USAA insurance violation 2006 VA-INS $5,000
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