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 Parentsort icon Primary Offense Type Year Agency Penalty Amount
Globe Life and Accident Insurance Company Globe Life Inc. insurance violation 2019 VA-INS $15,000
American Income Life Insurance Company Globe Life Inc. insurance violation 2013 WA-INS $75,000
Globe Life and Accident Insurance Company of Omaha, Nebraska Globe Life Inc. insurance violation 2019 MULTI-FIN $3,300,000
Liberty National Life Insurance Company Globe Life Inc. discriminatory practices (non-employment) 2006 private lawsuit-federal $9,350,000
American Income Life Insurance Company Globe Life Inc. insurance violation 2020 VA-INS $18,000
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 & 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 Goldman Sachs investor protection violation 2012 CFTC $1,500,000
Goldman Sachs Execution & Clearing LP Goldman Sachs investor protection violation 2012 CFTC $7,000,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2015 SEC $500,000
Goldman Sachs Group Goldman Sachs banking violation 2016 FED $36,300,000
Goldman Sachs Execution and Clearing L.P. Goldman Sachs investor protection violation 2007 SEC $2,000,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2006 SEC $1,500,000
Goldman, Sachs & Co. Goldman Sachs investor protection violation 2005 SEC $40,000,000
Spear, Leeds & Kellogg Specialists LLC Goldman Sachs investor protection violation 2004 SEC $45,272,478
Goldman Sachs Goldman Sachs investor protection violation 2003 SEC $9,305,382
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 Goldman Sachs foreign exchange market manipulation 2016 CFTC $120,000,000
Goldman Sachs Bank USA Goldman Sachs banking violation 2018 FED $90,000
Goldman Sachs Goldman Sachs mortgage abuses 2018 FED $14,000,000
Goldman Sachs Group, Inc. Goldman Sachs investor protection violation 2018 FED $54,750,000
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 & Co. Goldman Sachs investor protection violation 2004 SEC $2,000,000
Spear, Leeds & Kellogg, L.P. Goldman Sachs investor protection violation 2003 SEC $450,000
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 & Co. Goldman Sachs mortgage abuses 2009 MA-AG $60,000,000
Goldman Sachs Group, Inc. Goldman Sachs investor protection violation 2008 MULTI-AG $3,355,833,333
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
Goldman Sachs Goldman Sachs employment discrimination 2019 OFCCP $9,995,000
Goldman Sachs & Co. LLC Goldman Sachs investor protection violation 2019 CFTC $1,000,000
Goldman Sachs Goldman Sachs investor protection violation 2015 NY-DFS $50,000,000
Goldman Sachs Group Inc. Goldman Sachs foreign exchange market manipulation 2018 NY-DFS $54,750,000
Goldman Sachs Goldman Sachs investor protection violation 2008 MULTI-FIN (*) $22,500,000
Goldman Sachs & Co. Goldman Sachs investor protection violation 2003 MULTI-FIN (*) $25,000,000
Goldman Sachs Group Inc. Goldman Sachs Foreign Corrupt Practices Act 2020 DOJ_CRIMINAL $2,921,088,000
Goldman Sachs Group, Inc. Goldman Sachs banking violation 2020 FED $154,000,000
Goldman Sachs Group Goldman Sachs investor protection violation 2020 NY-DFS $150,000,000
Goldman Sachs Group Inc. Goldman Sachs Foreign Corrupt Practices Act 2020 SEC (*) $1,006,000,000
GREAT SOUTHERN BANK Great Southern Bancorp banking violation 2011 FDIC $21,935
Great Western Bank Great Western Bancorp banking violation 2013 FDIC $40,810
GUARANTEED RATE, INC. Guaranteed Rate Inc. wage and hour violation 2015 WHD $12,548
GUARANTEED RATE INC Guaranteed Rate Inc. wage and hour violation 2015 IL-DOL $7,291
Guaranteed Rate INC Guaranteed Rate Inc. wage and hour violation 2015 WHD $184,423
Guaranteed Rate Inc. Guaranteed Rate Inc. False Claims Act and related 2020 DOJ_CIVIL $15,060,000
Guaranteed Rate, Inc. Guaranteed Rate Inc. consumer protection violation 2017 CA-DFPI $50,000
Guaranteed Rate, Inc. Guaranteed Rate Inc. consumer protection violation 2014 MA-BKG $25,000
Guardian Life Guardian Life Insurance insurance violation 2015 MULTI-AG $2,000,000
Guardian Life Insurance Company of America Guardian Life Insurance discriminatory practices (non-employment) 2009 NY-AG $500,000
The Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2007 MA-AG $20,000
Berkshire Life Insurance Company of America Guardian Life Insurance insurance violation 2019 CT-INS $7,500
The Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2008 FL-OFR $10,500
Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2000 NY-DFS $250,000
Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2016 NY-DFS $50,000
The Guardian Insurance & Annuity Company, Inc. Guardian Life Insurance insurance violation 2019 NY-DFS $442,589
Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2018 SC-INS $10,000
THE GUARDIAN LIFE INSURANCE CO Guardian Life Insurance insurance violation 2004 VA-INS $27,000
THE GUARDIAN LIFE INSURANCE CO Guardian Life Insurance insurance violation 2010 VA-INS $62,000
Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2020 WA-INS $5,000
Guggenheim Partners Investment Management LLC Guggenheim Partners investor protection violation 2015 SEC $20,000,000
H & R Block H&R Block wage and hour violation 2015 WHD $257,577
H & R Block H&R Block wage and hour violation 2014 WHD $128,872
H&R Block Eastern Enterprises Inc H&R Block wage and hour violation 2014 WHD $24,928
H & R Block H&R Block wage and hour violation 2003 CA-LCO $12,000
H&R Block H&R Block wage and hour violation 2013 private lawsuit-federal $221,400
H&R Block H&R Block wage and hour violation 2012 private lawsuit-state $7,500,000
H&R Block H&R Block wage and hour violation 2012 private lawsuit-federal $35,000,000
H&R Block H&R Block wage and hour violation 2010 private lawsuit-federal $1,400,000
H&R Block H&R Block consumer protection violation 2003 MULTI-AG $3,300,000
H&R Block H&R Block consumer protection violation 2009 CA-AG $4,850,000
H&R Block H&R Block consumer protection violation 2010 NY-AG $12,150,000
H&R Block H&R Block consumer protection violation 2008 NY-AG $245,000
H&R Block Financial Advisors H&R Block privacy violation 2001 MO-AG $15,000
H&R Block, Inc. H&R Block discriminatory practices (non-employment) 2011 MA-AG $125,000,000
H&R Block H&R Block consumer protection violation 2002 NY-NYCDCWP $4,000,000
FIRST NBC BANK Hancock Whitney Corp. benefit plan administrator violation 2011 EBSA $10,001
Hanmi Bank Hanmi Financial Corp. banking violation 2007 FED $8,835
Hanmi Bank Hanmi Financial Corp. economic sanction violation 2004 OFAC $7,000
Hanover Insurance Co. Hanover Insurance consumer protection violation 2009 MA-AG $415,000
Hanover Insurance Group Hanover Insurance consumer protection violation 2010 MA-AG $2,500,000
Hanover Insurance Company Hanover Insurance insurance violation 2001 MA-INS $7,040
The Hanover Insurance Co. Hanover Insurance insurance violation 2015 MN-FIN $7,500
Hanover Insurance Co. Hanover Insurance insurance violation 2004 NJ-DBI $40,000
Hanover Insurance Company Hanover Insurance insurance violation 2011 TX-INS $15,000
The Hanover Insurance Company Hanover Insurance insurance violation 2019 TX-INS $20,000
The Hanover Insurance Co. Hanover Insurance insurance violation 2014 WI-INS $5,000
HANOVER INSURANCE GROUP Hanover Insurance environmental violation 2002 MA-ENV $10,000
Navigators Insurance Company Hartford Financial Services economic sanction violation 2015 OFAC $271,815
Hartford Financial Services Group, Inc. Hartford Financial Services investor protection violation 2006 SEC $55,000,000
Hartford Fire Insurance Company Hartford Financial Services wage and hour violation 2010 WHD $25,448
Hartford Fire Insurance Hartford Financial Services wage and hour violation 2016 private lawsuit-federal $2,650,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)