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
Indemnity Insurance Company of North America Chubb Limited insurance violation 2014 TX-INS $30,599
PlainsCapital Bank and PrimeLending Hilltop Holdings banking violation 2011 FED $30,780
SunTrust Bank Truist Financial economic sanction violation 2005 OFAC $30,800
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2016 NH-BSR $30,800
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2006 WHD $30,928
Mercury Casualty Company Mercury General Corporation insurance violation 2019 NY-DFS $31,000
Homesite Insurance Company American Family Insurance insurance violation 2020 VT-FIN $31,000
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2016 MD-INS $31,100
ALLSTATE INSURANCE & ALLSTATE INDEMNITY CO Allstate insurance violation 2003 VA-INS $31,300
Security National Insurance Co. Zurich Insurance insurance violation 2002 FL-OFR $31,500
Santander Securities, LLC Banco Santander investor protection violation 2018 NH-BSR $31,562
Banco Bilbao Vizcaya Puerto Rico Banco Bilbao Vizcaya Argentaria wage and hour violation 2006 WHD $31,571
SUN LIFE ASSURANCE CO OF CANADA Sun Life Financial environmental violation 2005 EPA $31,635
Wells Fargo Bank NA Wells Fargo wage and hour violation 2011 WHD $31,770
Permanent General Assurance Corp. American Family Insurance insurance violation 2009 CO-INS $31,900
AIU INSURANCE COMPANY American International Group insurance violation 2012 VA-INS $31,900
New England Life Insurance Co. Brighthouse Financial insurance violation 2006 CO-INS $32,000
Progressive Northwestern Insurance Co. and Progressive Direct Insurance Co. Progressive insurance violation 2010 ID-INS $32,000
Nationwide General Insurance Company Nationwide insurance violation 2014 NY-DFS $32,000
American Zurich Insurance Company Zurich Insurance insurance violation 2010 TX-INS $32,000
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2015 TX-INS $32,000
Sentinel Insurance Company, Ltd Hartford Financial Services insurance violation 2016 TX-INS $32,000
XL Insurance America, Inc. AXA insurance violation 2018 TX-INS $32,000
Liberty Mutual Fire Insurance Company Liberty Mutual Insurance insurance violation 2019 TX-INS $32,000
National Life Insurance Company National Life Group wage and hour violation 2014 WHD $32,087
Safety National Casualty Corporation Tokio Marine insurance violation 2014 TX-INS $32,109
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2017 MSHA $32,300
HSBC Bank USA, N.A. HSBC economic sanction violation 2013 OFAC $32,400
Zurich American Insurance Company Zurich Insurance insurance violation 2017 TX-INS $32,400
Liberty Mutual Group Liberty Mutual Insurance insurance violation 2007 AK-INS $32,500
Alpha Property & Casualty Insurance Co. Kemper insurance violation 2003 FL-OFR $32,500
Allstate Insurance Co. Allstate insurance violation 2018 MD-INS $32,500
Arch Insurance Company Arch Capital insurance violation 2016 TX-INS $32,500
The Huntington National Bank Huntington Bancshares wage and hour violation 2013 WHD $32,553
S&T BANK S&T Bancorp banking violation 2010 FDIC $32,640
LIBERTY INSURANCE CORPORATION Liberty Mutual Insurance insurance violation 2015 VA-INS $32,675
Prospect Mortgage Company, LLC Homebridge Financial Services consumer protection violation 2010 CT-BKG $33,000
Nationwide General Insurance Co. et al. Nationwide insurance violation 2018 MD-INS $33,000
Great American Alliance Insurance Co. American Financial Group insurance violation 2014 MO-INS $33,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America investor protection violation 2006 VA-SEC $33,000
First Niagara Bank KeyCorp consumer protection violation 2003 NY-AG $33,500
US Bank NA U.S. Bancorp consumer protection violation 2003 NY-AG $33,500
USAA Federal Savings Bank USAA consumer protection violation 2003 NY-AG $33,500
Wells Fargo Financial Bank Wells Fargo consumer protection violation 2003 NY-AG $33,500
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2013 CA-DBO $33,520
Bank of Hampton Roads Union Bankshares Corp. banking violation 2011 FED $33,600
Bank of the West BNP Paribas wage and hour violation 2015 WHD $33,750
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 WA-FIN $33,753
Swineford National Bank Fulton Financial banking violation 2013 OCC $33,880
Washington Federal Washington Federal Inc. consumer protection violation 2013 CFPB $34,000
United Services Automobile Association et al. USAA insurance violation 2016 DE-INS $34,000
Hartford Underwriters Insurance Co. et al. Hartford Financial Services insurance violation 2020 DE-INS $34,000
Commerce and Industry Insurance Company American International Group insurance violation 2015 TX-INS $34,000
New Hampshire Insurance Company American International Group insurance violation 2015 TX-INS $34,000
Ally Financial Inc Ally Financial wage and hour violation 2017 WHD $34,169
National City Bank PNC Financial Services banking violation 2009 OCC $34,265
National Western Life Insurance Co. National Western Life insurance violation 2019 CO-INS $34,500
First American Title Insurance Co. First American Financial insurance violation 2012 MO-INS $34,500
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $34,623
Vantiv LLC Worldpay wage and hour violation 2014 WA-DLI $34,780
Allianz Life Insurance Company of North America Allianz insurance violation 2006 CO-INS $34,800
Raymond James Financial Services, Inc. Raymond James Financial investor protection violation 2011 NJ-AG $35,000
Citigroup Global Markets, Inc. Citigroup investor protection violation 2015 AK-DBS $35,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $35,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2015 CT-SEC $35,000
Morgan Stanley & Co. Inc. Morgan Stanley investor protection violation 2008 MD-SEC $35,000
Hartford Casualty Insurance Co. et al. Hartford Financial Services insurance violation 2014 MD-INS $35,000
Unum Life Insurance Company of America Unum insurance violation 2015 MD-INS $35,000
Auto-Owners Insurance Co. and Owners Insurance Co. Auto-Owners Insurance insurance violation 2019 MN-FIN $35,000
Esurance Property and Casualty Co. and Esurance Insurance Co. Allstate insurance violation 2019 MN-FIN $35,000
American Express Travel Related Services Company, Inc. American Express consumer protection violation 2011 NE-DBF $35,000
Morgan Stanley Smith Barney Morgan Stanley investor protection violation 2012 NH-BSR $35,000
Citigroup Global Markets Inc. Citigroup investor protection violation 2015 NH-BSR $35,000
Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2016 NH-BSR $35,000
State Farm Indemnity Co. State Farm Insurance insurance violation 2004 NJ-DBI $35,000
Quicken Loans Inc. Quicken Loans consumer protection violation 2011 OH-BKG $35,000
Union Security Insurance Company Assurant insurance violation 2016 SD-INS $35,000
Zurich American Insurance Company Zurich Insurance insurance violation 2012 TX-INS $35,000
Liberty Mutual Fire Insurance Company Liberty Mutual Insurance insurance violation 2015 TX-INS $35,000
American Bankers Insurance Company of Florida Assurant insurance violation 2017 TX-INS $35,000
STATE FARM FIRE, ET AL. State Farm Insurance insurance violation 2008 VA-INS $35,000
Liberty Mutual Fire Insurance Company Liberty Mutual Insurance insurance violation 2010 WA-INS $35,000
INTERNATIONAL AUTOMOTIVE COMPONENTS A/K/A LEAR COR Invesco environmental violation 2012 EPA $35,000
Vitol Vitol environmental violation 2017 EPA $35,000
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $35,000
Zurich American Insurance Company Zurich Insurance insurance violation 2016 TX-INS $35,012
Safeco Insurance Company of America et al. Liberty Mutual Insurance insurance violation 2005 FL-OFR $35,350
Zurich American Insurance Co. et al. Zurich Insurance insurance violation 2013 ME-INS $35,350
SunTrust Mortgage, Inc. Truist Financial discriminatory practices (non-employment) 2013 HUD $36,000
American Bankers Insurance Company of Florida Assurant insurance violation 2011 AZ-INS $36,000
First American Title Insurance Co. First American Financial insurance violation 2019 DE-INS $36,000
Transamerica Premier Life Insurance Co. Aegon insurance violation 2019 MO-INS $36,000
Federal Insurance Company Chubb Limited insurance violation 2013 TX-INS $36,000
ALLSTATE FIRE & CASUALTY ET AL Allstate insurance violation 2009 VA-INS $36,000
HSBC North America HSBC environmental violation 2010 EPA $36,083
21st Century Centennial Insurance Company Zurich Insurance insurance violation 2015 NY-DFS $36,500
John Hancock Life Insurance Company (U.S.A.) Manulife Financial insurance violation 2017 OR-FIN $36,500
TMX Finance LLC TMX Finance Family and Medical Leave Act 2012 WHD $36,596
AMCO Insurance Co. Nationwide insurance violation 2016 MO-INS $36,750
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2004 MSHA $36,800
LIBERTY MUTUAL INSURANCE CO., ET AL Liberty Mutual Insurance insurance violation 2004 VA-INS $37,000
Download results as CSV or XML