Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$325,206,110,617
Number of Records: 
5,976
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$82,700,046,034213
JPMorgan Chase$34,530,243,993154
Citigroup$25,045,655,764120
Wells Fargo$21,199,943,231179
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,582,95017
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.
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Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
General Casualty Company of Wisconsin QBE Insurance insurance violation 2014 SD-INS $5,000
General Casualty Company of Wisconsin QBE Insurance insurance violation 2014 TX-INS $7,000
General Casualty Company of Wisconsin QBE Insurance insurance violation 2003 WI-INS $6,500
General Casualty Company of Wisconsin QBE Insurance insurance violation 2010 WI-INS $8,000
General Motors Acceptance Corp. Ally Financial discriminatory practices (non-employment) 2004 private lawsuit-federal $9,600,000
General Revenue Corporation Navient wage and hour violation 2007 WHD $13,854
Generali U.S. Branch Assicurazioni Generali insurance violation 2017 MULTI-FIN $492,000
GENWORTH LIFE AND ANNUITY INS Genworth Financial insurance violation 2014 VA-INS $13,000
GENWORTH LIFE AND ANNUITY INSURANCE CO Genworth Financial insurance violation 2006 VA-INS $12,000
Genworth Life and Annuity Insurance Co. Genworth Financial insurance violation 2010 FL-OFR $18,000
Genworth Life and Annuity Insurance Co. Genworth Financial insurance violation 2014 FL-OFR $10,500
Genworth Life and Annuity Insurance Co. Genworth Financial insurance violation 2011 MT-INS $5,000
Genworth Life and Annuity Insurance Company Genworth Financial insurance violation 2011 UT-INS $6,000
Genworth Life Insurance Co. Genworth Financial insurance violation 2014 MULTI-AG $1,900,000
Genworth Life Insurance Co. Genworth Financial insurance violation 2016 MD-INS $37,800
Genworth Life Insurance Co. Genworth Financial insurance violation 2016 MN-FIN $7,500
Genworth Life Insurance Co. Genworth Financial insurance violation 2012 WI-INS $65,000
Genworth Life Insurance Company Genworth Financial insurance violation 2019 NJ-DBI $10,000
Genworth Life Insurance Company Genworth Financial insurance violation 2019 SD-INS $5,000
Genworth Mortgage Insurance Corp. Genworth Financial insurance violation 2015 MN-FIN $90,000
GEORGIA CASH AMERICA, INC. FirstCash workplace safety or health violation 2015 OSHA $10,920
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2011 MD-INS $5,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2013 MD-INS $14,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2017 MD-INS $8,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2000 WA-INS $350,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2020 NC-INS $3,635,665
Gerber Life Insurance Company Western & Southern Financial Group wage and hour violation 2009 WHD $172,799
German American Bancorp German American Bancorp banking violation 2013 FDIC $70,000
German American Bancorp German American Bancorp banking violation 2012 FDIC $15,000
GFI Securities LLC BGC Partners foreign exchange market manipulation 2019 NY-AG $5,000,000
GFI Securities LLC BGC Partners investor protection violation 2019 SEC $4,300,000
GFI Securities, LLC BGC Partners investor protection violation 2019 CFTC $10,000,000
Gibraltar Private Bank & Trust Co. Gibraltar Private Bank and Trust banking violation 2016 OCC $2,500,000
Gibraltar Private Bank and Trust Company Gibraltar Private Bank and Trust anti-money-laundering deficiencies 2016 FINCEN $4,000,000
Glencore Ltd. Glencore environmental violation 2013 EPA $98,954
Global Futures & Forex, Ltd. GAIN Capital Holdings investor protection violation 2014 CFTC $200,000
Globe Life & Accident Insurance Co. Globe Life Inc. insurance violation 2012 KS-INS $17,250
Globe Life and Accident Insurance Co. Globe Life Inc. insurance violation 2014 CO-INS $12,100
Globe Life and Accident Insurance Co. Globe Life Inc. insurance violation 2001 FL-OFR $6,000
Globe Life and Accident Insurance Co. Globe Life Inc. insurance violation 2008 ID-INS $26,000
Globe Life and Accident Insurance Co. Globe Life Inc. insurance violation 2017 ME-INS $250,000
Globe Life And Accident Insurance Compan Globe Life Inc. insurance violation 2002 OR-FIN $5,000
Globe Life and Accident Insurance Company Globe Life Inc. insurance violation 2013 UT-INS $10,000
Globe Life and Accident Insurance Company Globe Life Inc. insurance violation 2019 VA-INS $15,000
Globe Life and Accident Insurance Company of Omaha, Nebraska Globe Life Inc. insurance violation 2019 MULTI-FIN $3,300,000
Globe Life Insurance Company of New York Globe Life Inc. insurance violation 2017 NY-DFS $538,375
Globe Life Insurance Company of New York Globe Life Inc. insurance violation 2019 NY-DFS $7,769,000
GMAC Bank Ally Financial consumer protection violation 2008 NY-AG $200,000
GMAC Mortgage Ally Financial wage and hour violation 2014 private lawsuit-federal $2,000,000
GMAC Mortgage LLC dba Ditech Ally Financial consumer protection violation 2010 PA-BKG $43,000
GMAC Mortgage, LLC Ally Financial consumer protection violation 2011 AZ-DFS $7,500
GMAC Mortgage, LLC Ally Financial consumer protection violation 2010 IL-BKG $50,000
GMAC Mortgage, LLC dba Ditech Ally Financial consumer protection violation 2011 AZ-DFS $7,500
GMAC Mortgage, LLC dba Ditech Ally Financial consumer protection violation 2013 IL-BKG $15,000
Goldman Sachs Goldman Sachs mortgage abuses 2013 FED $330,000,000
Goldman Sachs Goldman Sachs toxic securities abuses 2016 DOJ $5,060,000,000
Goldman Sachs Goldman Sachs investor protection violation 2012 CFTC $1,500,000
Goldman Sachs Goldman Sachs investor protection violation 2003 SEC $9,305,382
Goldman Sachs Goldman Sachs foreign exchange market manipulation 2016 CFTC $120,000,000
Goldman Sachs Goldman Sachs mortgage abuses 2018 FED $14,000,000
Goldman Sachs Goldman Sachs investor protection violation 2002 MULTI-AG (*) $110,000,000
Goldman Sachs Goldman Sachs toxic securities abuses 2016 MULTI-AG (*) $225,000,000
Goldman Sachs Goldman Sachs employment discrimination 2019 OFCCP $9,995,000
Goldman Sachs Goldman Sachs investor protection violation 2015 NY-DFS $50,000,000
Goldman Sachs Goldman Sachs investor protection violation 2008 MULTI-FIN (*) $22,500,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2016 SEC $15,000,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2015 SEC $7,000,000
Goldman Sachs & Co. Goldman Sachs illicit political contributions 2012 SEC $12,000,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2012 SEC $22,000,000
Goldman Sachs & Co. Goldman Sachs toxic securities abuses 2010 SEC $550,000,000
Goldman Sachs & Co. Goldman Sachs toxic securities abuses 2014 FHFA $3,150,000,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2006 SEC $1,500,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2004 SEC $2,000,000
Goldman Sachs & Co. Goldman Sachs mortgage abuses 2009 MA-AG $60,000,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2003 MULTI-FIN (*) $25,000,000
Goldman Sachs & Co. LLC Goldman Sachs investor protection violation 2019 CFTC $1,000,000
Goldman Sachs Bank USA Goldman Sachs banking violation 2018 FED $90,000
Goldman Sachs Execution & Clearing LP Goldman Sachs investor protection violation 2012 CFTC $7,000,000
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs investor protection violation 2010 SEC $225,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC Goldman Sachs investor protection violation 2009 SEC $7,200,000
Goldman Sachs Execution and Clearing L.P. Goldman Sachs investor protection violation 2007 SEC $2,000,000
Goldman Sachs Group Goldman Sachs banking violation 2016 FED $36,300,000
Goldman Sachs Group Inc. Goldman Sachs foreign exchange market manipulation 2018 NY-DFS $54,750,000
Goldman Sachs Group, Inc. Goldman Sachs investor protection violation 2018 FED $54,750,000
Goldman Sachs Group, Inc. Goldman Sachs investor protection violation 2008 MULTI-AG $3,355,833,333
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2015 SEC $500,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2005 SEC $40,000,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2003 SEC $110,000,000
Goldman, Sachs & Co. Goldman Sachs data submission deficiencies 2002 SEC $1,650,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2000 SEC $5,200,000
Goldman, Sachs & Co. Goldman Sachs toxic securities abuses 2016 VA-AG $2,900,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2011 NJ-AG $959,794
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2007 FAA $7,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2005 FAA $5,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2005 FAA $90,000
Goodrich Aviation Technical Services, Inc. Macquarie wage and hour violation 2005 WHD $47,369
Grandbridge Real Estate Capital, LLC Truist Financial labor relations violation 2015 NLRB $70,000
Granite State Insurance Co. American International Group insurance violation 2010 ME-INS $11,111
GRANITE STATE INSURANCE CO. American International Group insurance violation 2012 VA-INS $19,560
GRANITE STATE INSURANCE CO. American International Group insurance violation 2018 VA-INS $152,318
Granite State Insurance Company American International Group insurance violation 2015 NY-DFS $150,000
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