Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$331,558,339,161
Number of Records: 
6,166
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$82,764,013,078219
JPMorgan Chase$35,819,302,225162
Citigroup$25,454,366,764125
Wells Fargo$21,358,750,745184
Deutsche Bank$18,286,625,30261
UBS$16,792,860,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,473,904,00028
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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 (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Primary Offense Type Year Agencysort icon Penalty Amount
Morgan Keegan & Company, Inc. Raymond James Financial investor protection violation 2016 MO-SEC $850,000
A.G. Edwards & Sons, Inc. Wells Fargo investor protection violation 2017 MO-SEC $25,672
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 MO-SEC $9,130
American Security Insurance Co. Assurant consumer protection violation 2019 MS-AG $767,394
Metropolitan Property & Casualty Co. MetLife consumer protection violation 2019 MS-AG $3,167,173
Nationwide Insurance Nationwide consumer protection violation 2008 MS-AG $40,000,000
State Farm State Farm Insurance consumer protection violation 2008 MS-AG $74,000,000
American Income Life Insurance Co. Globe Life Inc. insurance violation 2002 MS-INS $50,000
Monumental Life Insurance Co. Aegon insurance violation 2003 MS-INS $24,351
Conseco Life Insurance Co. CNO Financial insurance violation 2003 MS-INS $50,000
Seneca Ins Co. Inc. Fairfax Financial Holdings insurance violation 2004 MS-INS $5,000
Safety National Casualty Corp. Tokio Marine insurance violation 2004 MS-INS $5,000
Seneca Insurance Co. Inc. Fairfax Financial Holdings insurance violation 2004 MS-INS $5,000
Safety National Casualty Corp. Tokio Marine insurance violation 2008 MS-INS $10,000
AmSouth Investment Services, Inc. Regions Financial investor protection violation 2004 MS-SEC $225,000
MetLife Securities, Inc. MetLife investor protection violation 2006 MS-SEC $50,000
Morgan Keegan & Company, Inc. Raymond James Financial investor protection violation 2007 MS-SEC $12,500
Ameriprise Financial Services, Inc. Ameriprise Financial investor protection violation 2008 MS-SEC $150,000
Morgan Stanley Smith Barney LLC Morgan Stanley investor protection violation 2016 MS-SEC $4,743,815
Stifel, Nicolaus & Company, Inc. Stifel Financial investor protection violation 2017 MS-SEC $50,000
LPL Financial LLC LPL Financial investor protection violation 2018 MS-SEC $40,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 MS-SEC $6,000
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2002 MSHA $25,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2000 MSHA $5,200
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2001 MSHA $5,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,280
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $6,600
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $15,971
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $6,996
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $9,625
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $6,600
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $11,600
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $6,996
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $18,800
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,188
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,040
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,000
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2004 MSHA $36,800
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $25,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $8,421
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $9,288
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $5,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,040
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $9,625
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,503
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $7,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,961
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,705
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $6,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,503
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $6,458
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,745
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2004 MSHA $5,800
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $5,211
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $20,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $8,893
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $29,529
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $27,259
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,300
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2005 MSHA $5,300
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,996
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,188
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $40,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $11,500
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $40,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,080
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2005 MSHA $7,200
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $9,634
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,460
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $5,645
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $9,882
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $6,153
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $5,503
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $10,500
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $6,624
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $10,705
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $5,504
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $5,600
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2010 MSHA $15,225
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $15,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $8,574
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $15,570
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2008 MSHA $6,996
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $7,205
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $5,600
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $15,000
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $5,211
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $18,271
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $5,503
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $5,961
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $6,996
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2010 MSHA $7,578
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $9,634
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $5,504
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $5,300
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $6,458
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $18,271
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $10,437
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $5,080
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)