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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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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CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
National Life Insurance CompanyNational Life Groupwage and hour violation2014WHD$32,087
Total System Services IncGlobal Payments Inc.wage and hour violation2014WHD$32,095
Safety National Casualty CorporationTokio Marineinsurance violation2014TX-INS$32,109
American General Life Insurance CompanyAmerican International Groupinsurance violation2021MD-INS$32,250
RR DONNELLEY AND SONS, INC.Chatham Asset Managementworkplace safety or health violation2023OSHA$32,262
HSBC Bank USA, N.A.HSBCeconomic sanction violation2013OFAC$32,400
Zurich American Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$32,400
Corpus Christi Alumina LLCGlencoreenvironmental violation2021TX-ENV$32,400
Liberty Mutual GroupLiberty Mutual Insuranceinsurance violation2007AK-INS$32,500
United Service Automobile Association et al.USAAinsurance violation2019DE-INS$32,500
Alpha Property & Casualty Insurance Co.Kemperinsurance violation2003FL-OFR$32,500
Allstate Insurance Co.Allstateinsurance violation2018MD-INS$32,500
Arch Insurance CompanyArch Capitalinsurance violation2016TX-INS$32,500
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2009FINRA$32,500
First Union Brokerage Services, Inc.Wells Fargoinvestor protection violation2001FINRA$32,500
United Services Automobile AssociationUSAAinsurance violation2021CT-INS$32,500
USAA Indemnity Co.USAAinsurance violation2021CT-INS$32,500
The Huntington National BankHuntington Bancshareswage and hour violation2013WHD$32,553
S&T BANKS&T Bancorpbanking violation2010FDIC$32,640
LIBERTY INSURANCE CORPORATIONLiberty Mutual Insuranceinsurance violation2015VA-INS$32,675
Prospect Mortgage Company, LLCHomebridge Financial Servicesconsumer protection violation2010CT-BKG$33,000
Nationwide General Insurance Co. et al.Nationwideinsurance violation2018MD-INS$33,000
Great American Alliance Insurance Co.American Financial Groupinsurance violation2014MO-INS$33,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2006VA-SEC$33,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$33,400
First Niagara BankKeyCorpconsumer protection violation2003NY-AG$33,500
US Bank NAU.S. Bancorpconsumer protection violation2003NY-AG$33,500
USAA Federal Savings BankUSAAconsumer protection violation2003NY-AG$33,500
Wells Fargo Financial BankWells Fargoconsumer protection violation2003NY-AG$33,500
Wheelabrator Putnam IncorporatedMacquarieenvironmental violation2003CT-ENV$33,500
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013CA-DFPI$33,520
Bank of Hampton RoadsAtlantic Union Banksharesbanking violation2011FED$33,600
Bank of the WestBank of Montrealwage and hour violation2015WHD$33,750
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020WA-FIN$33,753
Swineford National BankFulton Financialbanking violation2013OCC$33,880
Washington FederalWashington Federal Inc.consumer protection violation2013CFPB$34,000
United Services Automobile Association et al.USAAinsurance violation2016DE-INS$34,000
Hartford Underwriters Insurance Co. et al.Hartford Financial Servicesinsurance violation2020DE-INS$34,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$34,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$34,000
LendingTree, LLCLendingTreeconsumer protection violation2021MA-BKG$34,000
Metropolitan Group Property & Casualty Insurance CompanyZurich Insuranceinsurance violation2022CT-INS$34,000
Ally Financial IncAlly Financialwage and hour violation2017WHD$34,169
National City BankPNC Financial Servicesbanking violation2009OCC$34,265
Durango Midstream, LLCMorgan Stanleyenvironmental violation2023NM-ENV$34,320
Northwestern MutualNorthwestern Mutualwage and hour violation2016MI-LEO$34,371
National Western Life Insurance Co.National Western Lifeinsurance violation2019CO-INS$34,500
First American Title Insurance Co.First American Financialinsurance violation2012MO-INS$34,500
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$34,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$34,500
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$34,623
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2006CO-INS$34,800
NEOVIA LOGISTICSGoldman Sachsaviation safety violation2016FAA$35,000
Midfirst BankMidFirst Bankbanking violation2019OCC$35,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2011NJ-AG$35,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2015AK-DBS$35,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015CT-SEC$35,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2008MD-SEC$35,000
Hartford Casualty Insurance Co. et al.Hartford Financial Servicesinsurance violation2014MD-INS$35,000
Unum Life Insurance Company of AmericaUnuminsurance violation2015MD-INS$35,000
Auto-Owners Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2019MN-FIN$35,000
Esurance Property and Casualty Co. and Esurance Insurance Co.Allstateinsurance violation2019MN-FIN$35,000
American Express Travel Related Services Company, Inc.American Expressconsumer protection violation2011NE-DBF$35,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2012NH-BSR$35,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015NH-BSR$35,000
Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2016NH-BSR$35,000
State Farm Indemnity Co.State Farm Insuranceinsurance violation2004NJ-DBI$35,000
Quicken Loans Inc.Rocket Companies Inc.consumer protection violation2011OH-BKG$35,000
Union Security Insurance CompanyAssurantinsurance violation2016SD-INS$35,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2012TX-INS$35,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2015TX-INS$35,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2017TX-INS$35,000
STATE FARM FIRE, ET AL.State Farm Insuranceinsurance violation2008VA-INS$35,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2010WA-INS$35,000
American Family Mutual Insurance Co. and American Family Insurance Co.American Family Insuranceinsurance violation2020MN-FIN$35,000
Nationwide General Insurance Co.Nationwideinsurance violation2021WA-INS$35,000
Affinity Insurance Services, Inc.Aoninsurance violation2021AK-INS$35,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2021MN-FIN$35,000
NATIONWIDE GENERAL INSURANCE COMPANYNationwideinsurance violation2022WA-INS$35,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$35,000
SPENCER PRESS OF MAINE INC.Chatham Asset Managementworkplace safety or health violation2005OSHA$35,000
INTERNATIONAL AUTOMOTIVE COMPONENTS A/K/A LEAR CORInvescoenvironmental violation2012EPA$35,000
VitolVitolenvironmental violation2017EPA$35,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2016TX-INS$35,012
Safeco Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2005FL-OFR$35,350
Zurich American Insurance Co. et al.Zurich Insuranceinsurance violation2013ME-INS$35,350
SunTrust Mortgage, Inc.Truist Financialdiscriminatory practices (non-employment)2013HUD$36,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2011AZ-DIFI$36,000
First American Title Insurance Co.First American Financialinsurance violation2019DE-INS$36,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2019MO-INS$36,000
Federal Insurance CompanyChubb Limitedinsurance violation2013TX-INS$36,000
ALLSTATE FIRE & CASUALTY ET ALAllstateinsurance violation2009VA-INS$36,000
Buckeye Albany Terminal LLCIFM Investorsenvironmental violation2014NY-ENV$36,000
HSBC North AmericaHSBCenvironmental violation2010EPA$36,083
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$36,151
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2012PHMSA$36,200
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2022OSHA$36,250
Mid-Century Insurance Company and Truck Insurance ExchangeZurich Insuranceinsurance violation2023VA-INS$36,497
21st Century Centennial Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$36,500
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2017OR-FIN$36,500
USAA Casualty Insurance Co.USAAinsurance violation2021CT-INS$36,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.