Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$325,206,110,617
Number of Records: 
5,976
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$82,700,046,034213
JPMorgan Chase$34,530,243,993154
Citigroup$25,045,655,764120
Wells Fargo$21,199,943,231179
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,582,95017
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.
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Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $8,209
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2008 MSHA $8,209
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $8,209
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2014 MSHA $8,209
Bowie Resources LLC Trafigura workplace safety or health violation 2014 MSHA $8,209
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $8,209
Bowie Resources LLC Trafigura workplace safety or health violation 2011 MSHA $8,209
PNC Bank PNC Financial Services economic sanction violation 2005 OFAC $8,200
Jackson National Life Insurance Co. Prudential (UK) insurance violation 2015 MD-INS $8,200
CitiFinancial, Inc. Citigroup consumer protection violation 2003 FL-OFR $8,199
STATE FARM INSURANCE State Farm Insurance workplace safety or health violation 2012 OSHA $8,160
Hartford Accident and Indemnity Company Hartford Financial Services insurance violation 2016 VA-INS $8,131
Bowie Refined Coal, LLC Trafigura workplace safety or health violation 2017 MSHA $8,094
IMTT, INC. Macquarie railroad safety violation 2011 FRA $8,000
International Matex Tank Terminals Macquarie railroad safety violation 2009 FRA $8,000
International Matex Tank Terminals Macquarie railroad safety violation 2009 FRA $8,000
International Matex Tank Terminals Macquarie railroad safety violation 2012 FRA $8,000
Peter Cremer Company Cremer railroad safety violation 2013 FRA $8,000
NEW YORK COMMUNITY BANK New York Community Bancorp banking violation 2004 FDIC $8,000
SCOTIABANK DE PUERTO RICO Scotiabank banking violation 2003 FDIC $8,000
INTERNATIONAL MATEX TANK TERMINALS Macquarie railroad safety violation 2008 FRA $8,000
INTERNATIONAL MATEX TANK TERMINALS Macquarie railroad safety violation 2008 FRA $8,000
IMTT BAYONNE Macquarie railroad safety violation 2016 FRA $8,000
IMTT BAYONNE Macquarie railroad safety violation 2016 FRA $8,000
Wells Fargo Fund Distributor, LLC Wells Fargo consumer protection violation 2014 CA-DBO $8,000
Pruco Life Insurance Co. Prudential Financial insurance violation 2015 CA-INS $8,000
American National Insurance Co. American National Insurance insurance violation 2017 DE-INS $8,000
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2019 DE-INS $8,000
Travelers Indemnity Co. Travelers insurance violation 2003 FL-OFR $8,000
Zurich American Insurance Co. Zurich Insurance insurance violation 2008 FL-OFR $8,000
Amex Assurance Co. American Express insurance violation 2008 FL-OFR $8,000
Workmen's Auto Insurance Company Mercury General Corporation insurance violation 2003 IN-INS $8,000
Progressive Casualty Insurance Company Progressive insurance violation 2003 IN-INS $8,000
Bankers Life & Casualty Co. CNO Financial insurance violation 2009 KS-INS $8,000
PHH Mortgage Corp. Ocwen Financial consumer protection violation 2010 KY-FIN $8,000
American National Life Insurance Company of Texas American National Insurance insurance violation 2011 MD-INS $8,000
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2013 MD-INS $8,000
Fidelity & Guaranty Life Insurance Co. FGL Holdings insurance violation 2014 MD-INS $8,000
The Standard Fire Insurance Co. Travelers insurance violation 2015 MD-INS $8,000
Empire Fire and Marine Insurance Co. et al. Zurich Insurance insurance violation 2015 MD-INS $8,000
LM General Insurance Co. et al. Liberty Mutual Insurance insurance violation 2015 MD-INS $8,000
Selective Insurance Company of South Carolina et al. Selective Insurance Group insurance violation 2016 MD-INS $8,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2017 MD-INS $8,000
North Pointe Insurance Co. QBE Insurance insurance violation 2014 MO-INS $8,000
Liberty Insurance Corp. Liberty Mutual Insurance insurance violation 2016 MO-INS $8,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2006 ND-SEC $8,000
Progressive Classic Insurance Company Progressive insurance violation 2005 OR-FIN $8,000
AMCO Insurance Company Nationwide insurance violation 2010 OR-FIN $8,000
Allied Home Mortgage Capital Corporation Americus Mortgage consumer protection violation 2009 PA-BKG $8,000
Allstate Property & Casualty Insurance Company Allstate insurance violation 2012 RI-FIN $8,000
Peerless Insurance Company Liberty Mutual Insurance insurance violation 2014 RI-FIN $8,000
USAA Casualty Insurance Company USAA insurance violation 2019 RI-FIN $8,000
AXA Insurance Company AXA insurance violation 2007 SC-INS $8,000
United Services Automobile Association USAA insurance violation 2011 SC-INS $8,000
AXA Art Insurance Corporation AXA insurance violation 2012 SC-INS $8,000
Safeco Insurance Company Liberty Mutual Insurance insurance violation 2013 SC-INS $8,000
Standard Fire Insurance Company Travelers insurance violation 2010 TX-INS $8,000
Accident Fund Insurance Co. of America AF Group insurance violation 2011 TX-INS $8,000
The Netherlands Insurance Company Liberty Mutual Insurance insurance violation 2012 TX-INS $8,000
Wausau Underwriters Insurance Company Liberty Mutual Insurance insurance violation 2013 TX-INS $8,000
Property and Casualty Insurance Company of Hartford Hartford Financial Services insurance violation 2014 TX-INS $8,000
Illinois National Insurance Company American International Group insurance violation 2015 TX-INS $8,000
Travelers Casualty and Surety Company Travelers insurance violation 2015 TX-INS $8,000
Wausau Underwriters Insurance Company Liberty Mutual Insurance insurance violation 2015 TX-INS $8,000
Liberty Mutual Fire Insurance Company Liberty Mutual Insurance insurance violation 2016 TX-INS $8,000
Berkley National Insurance Company W.R. Berkley insurance violation 2016 TX-INS $8,000
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2016 TX-INS $8,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2019 TX-INS $8,000
Hartford Fire Insurance Company Hartford Financial Services insurance violation 2019 TX-INS $8,000
RELIASTAR LIFE INSURANCE CO. Voya Financial insurance violation 2007 VA-INS $8,000
Allstate Insurance Company and Allstate Indemnity Company Allstate insurance violation 2007 VA-INS $8,000
American Economy Insurance Company Liberty Mutual Insurance insurance violation 2009 VA-INS $8,000
METROPOLITAN LIFE INSURANCE MetLife insurance violation 2010 VA-INS $8,000
Selective Insurance Company of America Selective Insurance Group insurance violation 2011 VA-INS $8,000
PEERLESS INSURANCE COMPANY Liberty Mutual Insurance insurance violation 2012 VA-INS $8,000
NATIONAL UNION FIRE INSURANCE American International Group insurance violation 2014 VA-INS $8,000
ALLIED INSURANCE COMPANY OF AMERICA Nationwide insurance violation 2016 VA-INS $8,000
Old Republic Title Ltd Old Republic International insurance violation 2012 WA-INS $8,000
Jackson National Life Insurance Company Prudential (UK) insurance violation 2016 WA-INS $8,000
Lincoln National Life Insurance Company The Lincoln National insurance violation 2020 WA-INS $8,000
Austin Mutual Insurance Co. American Family Insurance insurance violation 2007 WI-INS $8,000
General Casualty Company of Wisconsin QBE Insurance insurance violation 2010 WI-INS $8,000
Fidelity National Financial, Inc Fidelity National Financial wage and hour violation 2004 WHD $7,945
Ace Fire Underwriters Insurance Company Chubb Limited insurance violation 2010 OR-FIN $7,900
American Home Assurance Company American International Group insurance violation 2014 TX-INS $7,848
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2010 MSHA $7,840
Ruesch International, Inc. Western Union economic sanction violation 2004 OFAC $7,811
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $7,800
Huntington Bancshares Incorporated Huntington Bancshares Family and Medical Leave Act 2015 WHD $7,788
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $7,774
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LL 180850010200073 Louis Dreyfus environmental violation 2013 EPA $7,750
Continental Western Insurance Co. W.R. Berkley insurance violation 2007 MO-INS $7,708
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $7,707
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $7,700
WHEELABRATOR PORTSMOUTH INC - RDF FACILITY Macquarie environmental violation 2016 EPA $7,669
CITICORP CREDIT CARD SERVICES, INC. (USA) Citigroup workplace safety or health violation 2014 OSHA $7,650
Bank of Hawaii Bank of Hawaii wage and hour violation 2018 WHD $7,631
Marsh & McLennan Agency LLC Marsh & McLennan insurance violation 2018 TX-INS $7,600
HSBC Bank HSBC wage and hour violation 2006 WHD $7,599
ProEquities, Inc. Dai-ichi Life investor protection violation 2018 CT-SEC $7,590
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2010 MSHA $7,578
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