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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 Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Wheelabrator Falls Inc.Macquarieenvironmental violation2005PA-ENV$106,849
Wheelabrator Portsmouth Inc.Macquarieenvironmental violation2016VA-ENV$7,669
GOODRICH AVIATION TECH SRV INCMacquarieenvironmental violation2004WA-ENV$9,000
Macquarie Capital (USA) Inc.Macquarieinvestor protection violation2015FINRA$2,950,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000
Wheelabrator South Broward, Inc.Macquarieenvironmental violation2021FL-DEP$78,000
The Gas Company, LLCMacquarieenvironmental violation2021EPA$230,000
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2012CA-SCAQMD$8,900
Mercury Air CentersMacquarieenvironmental violation2011CA-SCAQMD$5,500
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2009CA-SCAQMD$7,500
Mercury Air CentersMacquarieenvironmental violation2006CA-SCAQMD$11,750
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2006CA-SCAQMD$9,000
Mercury Air CentersMacquarieenvironmental violation2006CA-SCAQMD$10,000
Cleco PowerMacquarieutility administrative violation2004LA-PSC$18,000,000
Waddell & Reed, LLCMacquarieinvestor protection violation2022SEC$200,000
WHEELABRATOR SHASTA ENERGY CO.Macquarieworkplace safety or health violation2000OSHA$10,275
WHEELABRATOR SHASTA ENERGY CO, INCMacquarieworkplace safety or health violation2010OSHA$10,000
WHEELABRATOR PORTSMOUTHMacquarieworkplace safety or health violation2010OSHA$6,890
WHEELABRATOR ENERGY COMPANY, INCORPORATEDMacquarieworkplace safety or health violation2011OSHA$15,000
CINCINNATI BELL TELEPHONEMacquarieworkplace safety or health violation2012OSHA$13,500
THE GAS COMPANY, LLCMacquarieworkplace safety or health violation2013OSHA$7,000
THE GAS COMPANY, LLCMacquarieworkplace safety or health violation2013OSHA$10,500
WHEELABRATOR SAUGUS, INC.Macquarieworkplace safety or health violation2017OSHA$17,600
CLECO CORPORATIONMacquarieworkplace safety or health violation2017OSHA$8,626
CLECO CORPORATIONMacquarieworkplace safety or health violation2017OSHA$5,545
WHEELABRATOR MILLBURY INC.Macquarieworkplace safety or health violation2018OSHA$9,472
WHEELABRATOR CONCORD INC.Macquarieworkplace safety or health violation2019OSHA$7,100
WHEELABRATOR NORTH ANDOVERMacquarieworkplace safety or health violation2019OSHA$7,500
GAS COMPANY LLCMacquarieworkplace safety or health violation2020OSHA$9,832
Big Cajun 2 - Louisiana Generating LLCMacquarieenvironmental violation2005EPA$19,250
Louisiana GeneratingMacquarieenvironmental violation2013EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $3,500,000
The Gas Company LLC (dba Hawaii Gas)Macquarieenvironmental violation2014EPA$155,000
Kevin NishimuraMacquarieenvironmental violation2021EPA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $230,000
Cleco CorpMacquarieworkplace safety or health violation2012MSHA$9,310
Manulife Financial CorporationManulife Financialinvestor protection violation2004DOJ_ANTITRUST$1,000,000
John Hancock Investment Management Services, LLCManulife Financialinvestor protection violation2007SEC$19,787,879
John Hancock Assignment Co.Manulife Financialtax violations2014CT-AG$38,910
John Hancock Life Insurance Co.Manulife Financialinvestor protection violation2014MA-AG$550,000
John Hancock Life Insurance Co.Manulife Financialconsumer protection violation2013MA-AG$40,000
John Hancock Life Insurance Co.Manulife Financialinsurance violation2011MULTI-AG$3,000,000
John Hancock Life Insurance Co.Manulife Financialinsurance violation2011CA-INS$70,000
John Hancock Life Insurance Co. (USA) et al.Manulife Financialinsurance violation2012MN-FIN$200,000
John Hancock Life Insurance Co. (USA) et al.Manulife Financialinsurance violation2015MN-FIN$900,000
John Hancock Life & Health Insurance Co.Manulife Financialinsurance violation2016MN-FIN$5,000
John Hancock Variable Life Insurance Co.Manulife Financialinsurance violation2006MO-INS$11,040
John Hancock Life Insurance Co.Manulife Financialinsurance violation2013MT-FIN$5,000
John Hancock Life Insurance Company of New YorkManulife Financialinsurance violation2017NY-DFS$73,000
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2017OR-FIN$36,500
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2018OR-FIN$49,000
John Hancock Life Insurance CompanyManulife Financialinsurance violation2020VA-INS$60,600
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2019VT-FIN$800,000
John Hancock Life Insurance CompanyManulife Financialinsurance violation2012MULTI-FIN$13,300,000
John Hancock Life Insurance CompanyManulife Financialdiscriminatory practices (non-employment)2009private lawsuit-federal$24,400,000
John Hancock Life and Health Insurance CompanyManulife Financialinsurance violation2020RI-FIN$44,877
John Hancock Life Insurance Co.Manulife Financialinsurance violation2021DE-INS$5,000
MANULIFE FINANCIALManulife Financialenvironmental violation2008MA-ENV$18,030
John Hancock Life Insurance CompanyManulife Financialbenefit plan administrator violation2021private lawsuit-federal$14,000,000
John Hancock Life & Health Insurance CompanyManulife Financialinsurance violation2022NY-DFS$26,300,000
John Hancock Life Insurance CompanyManulife Financialconsumer protection violation2022private lawsuit-federal$123,074,128
John Hancock Life Insurance CompanyManulife Financialconsumer protection violation2019private lawsuit-federal$91,250,000
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2022CT-INS$68,000
John Hancock Life Insurance CompanyManulife Financialinsurance violation2023RI-FIN$95,000
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2023VA-INS$8,800
Seabury & Smith Inc.Marsh & McLennaneconomic sanction violation2005OFAC$46,341
Guy Carpenter & Company, IncMarsh & McLennaneconomic sanction violation2003OFAC$50,000
Mercer HR Services, LLCMarsh & McLennanwage and hour violation2006WHD$49,474
Marsh & McLennan Companies, Inc.Marsh & McLennanbenefit plan administrator violation2010private lawsuit-federal$35,000,000
Marsh & McLennan Companies, Inc.Marsh & McLennankickbacks and bribery2009CT-AG$2,400,000
Marsh & McLennan Companies, Inc.Marsh & McLennanprice-fixing or anti-competitive practices2005MULTI-AG$850,000,000
Marsh and McLennanMarsh & McLennaninvestor protection violation2009MULTI-AG$400,000,000
Marsh and McLennanMarsh & McLennanprice-fixing or anti-competitive practices2009MULTI-AG$7,000,000
MercerMarsh & McLennanaccounting fraud or deficiencies2010AK-AG$500,000,000
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2006AK-INS$6,530
Seabury & Smith, Inc.Marsh & McLennaninsurance violation2009AK-INS$39,378
Marsh USA Inc.Marsh & McLennaninsurance violation2015AK-INS$25,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2016AK-INS$10,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2019AK-INS$20,000
Marsh USA Inc.Marsh & McLennaninsurance violation2019AK-INS$30,000
Marsh USA Inc.Marsh & McLennaninsurance violation2009MN-FIN$325,000
Marsh & McLennan Agency, LLCMarsh & McLennaninsurance violation2014NJ-DBI$15,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2015NJ-DBI$50,000
Marsh USA IncMarsh & McLennaninsurance violation2018NY-DFS$12,950
Marsh USA, Inc.Marsh & McLennaninsurance violation2005OR-FIN$75,000
Seabury & Smith Inc.Marsh & McLennaninsurance violation2007PA-INS$25,000
Marsh USA Inc.Marsh & McLennaninsurance violation2008PA-INS$50,000
Marsh USA Inc.Marsh & McLennaninsurance violation2011TX-INS$121,189
Marsh USA, Inc.Marsh & McLennaninsurance violation2016TX-INS$6,500
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2017TX-INS$6,825
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2018TX-INS$7,600
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2020TX-INS$6,350
MARSH USA, INC.Marsh & McLennaninsurance violation2006VA-INS$150,000
Jardine Lloyd Thompson Group Holdings Ltd.Marsh & McLennanForeign Corrupt Practices Act2022DOJ_CRIMINAL$29,081,951
Marsh USA Inc.Marsh & McLennaninsurance violation2023AK-INS$55,000
Marsh USA, Inc.Marsh & McLennaninsurance violation2022TX-INS$5,200
Marsh & McLennan Companies Inc.Marsh & McLennanprice-fixing or anti-competitive practices2009private lawsuit-federal$69,000,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2023AK-INS$20,000
Marsh USA Inc.Marsh & McLennaninsurance violation2023NY-DFS$123,100
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insuranceinvestor protection violation2012SEC$1,625,000
Massachusetts Mutual Life Insurance Co.Massachusetts Mutual Life Insurancebenefit plan administrator violation2016private lawsuit-federal$30,900,000
Massachusetts Mutual Life Insurance Co.Massachusetts Mutual Life Insurancebenefit plan administrator violation2015private lawsuit-federal$9,475,000
Great American LifeMassachusetts Mutual Life Insuranceinsurance violation2016MULTI-AG$400,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.