Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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 Agency Penalty Amountsort icon
AMICA MUTUAL INSURANCE COMPANY Amica Mutual Insurance insurance violation 2002 VA-INS $14,000
UNUM LIFE INSURANCE COMPANY Unum insurance violation 2003 VA-INS $14,000
AMERIPRISE FINANCIAL SERVICES, INC. Ameriprise Financial investor protection violation 2016 VA-SEC $14,000
Bank of North Georgia Synovus Financial environmental violation 2011 GA-ENV $14,000
Liberty Insurance Corp. Liberty Mutual Insurance insurance violation 2021 TX-INS $14,000
Prosper Marketplace Prosper Marketplace investor protection violation 2015 IN-SEC $13,957
The Home Loan Center, LLC LendingTree wage and hour violation 2004 WHD $13,903
ZURICH AMERICAN INS CO Zurich Insurance wage and hour violation 2018 IL-DOL $13,865
General Revenue Corporation Navient wage and hour violation 2007 WHD $13,854
Fireman' Fund Insurance Co. Allianz insurance violation 2002 FL-OFR $13,850
Sentry Insurance, A Mutual Company Sentry Insurance insurance violation 2012 TX-INS $13,750
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2017 TX-INS $13,750
Prospect Mortgage LLC Homebridge Financial Services wage and hour violation 2010 WHD $13,728
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P. Louis Dreyfus workplace safety or health violation 2011 OSHA $13,600
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2011 MSHA $13,600
Bank of America Bank of America economic sanction violation 2004 OFAC $13,573
American Zurich Insurance Company Zurich Insurance insurance violation 2016 TX-INS $13,571
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2015 MSHA $13,510
Allianz Life Insurance Company of North America Allianz insurance violation 2019 DE-INS $13,500
Great Plains Specialty Finance, Inc. d/b/a Check 'n Go CNG Financial consumer protection violation 2019 NE-DBF $13,500
Accident Fund Insurance Company of America AF Group insurance violation 2018 TX-INS $13,500
Everest National Insurance Company Everest Re Group insurance violation 2019 TX-INS $13,500
NEW YORK LIFE INSURANCE CO New York Life Insurance insurance violation 2002 VA-INS $13,500
THE MCCLATCHY COMPANY Chatham Asset Management workplace safety or health violation 2015 OSHA $13,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2016 MSHA $13,441
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2016 MSHA $13,426
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $13,348
Nationwide Insurance Nationwide wage and hour violation 2011 WHD $13,331
United States Fidelity and Guaranty Company Travelers insurance violation 2014 TX-INS $13,307
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2008 MSHA $13,268
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $13,268
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2016 MSHA $13,221
Lincoln Life Assurance Company of Boston Lincoln National insurance violation 2016 MD-INS $13,200
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $13,007
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $13,007
Wheelabrator Westchester, L.P. Macquarie labor relations violation 2005 NLRB $13,000
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2017 AR-SEC $13,000
Mutual of Omaha Insurance Co. Mutual of Omaha insurance violation 2007 FL-OFR $13,000
Property and Casualty Insurance Company of Hartford Hartford Financial Services insurance violation 2008 FL-OFR $13,000
Liberty Mutual Insurance Co. Liberty Mutual Insurance insurance violation 2010 KS-INS $13,000
Great American Insurance Co. American Financial Group insurance violation 2017 KS-INS $13,000
New England Life Insurance Company Brighthouse Financial insurance violation 2005 MA-INS $13,000
Group Hospitalization & Medical Services, Inc. CareFirst of Maryland insurance violation 2014 MD-INS $13,000
American International Specialty Lines Insurance Co. American International Group insurance violation 2005 NJ-DBI $13,000
Hartford Insurance Company of the Midwest Hartford Financial Services insurance violation 2012 TX-INS $13,000
Hartford Casualty Insurance Company Hartford Financial Services insurance violation 2016 TX-INS $13,000
Travelers Casualty & Surety Company Travelers insurance violation 2017 TX-INS $13,000
GENWORTH LIFE AND ANNUITY INS Genworth Financial insurance violation 2014 VA-INS $13,000
Metropolitan Property and Casualty Insurance Company Zurich Insurance insurance violation 2021 VT-FIN $13,000
DEPOSITORY TRUST & CLEARING CORP. Depository Trust workplace safety or health violation 2000 OSHA $13,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 TN-SEC $12,994
Marsh USA Inc Marsh & McLennan insurance violation 2018 NY-DFS $12,950
WHEELABRATOR GLOUCESTER COMPANY L P Macquarie environmental violation 2016 NJ-ENV $12,900
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $12,855
Great Plains Specialty Finance, Inc. d/b/a Check 'n Go CNG Financial consumer protection violation 2019 NE-DBF $12,850
Bank of America Bank of America wage and hour violation 2005 WHD $12,824
Ace Cash Express, Inc. ACE Cash Express wage and hour violation 2005 WHD $12,796
Illinois National Insurance Company American International Group insurance violation 2014 TX-INS $12,774
American Heritage Life Insurance Co. Allstate insurance violation 2000 FL-OFR $12,750
Key Bank National Association KeyCorp wage and hour violation 2008 WHD $12,691
HSBC North America Inc. HSBC wage and hour violation 2006 WHD $12,685
The Gas Company Llc Macquarie motor vehicle safety violation 2017 FMCSA $12,650
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2019 MSHA $12,632
Prosper Marketplace, Inc. Prosper Marketplace investor protection violation 2009 CT-SEC $12,602
GUARANTEED RATE, INC. Guaranteed Rate Inc. wage and hour violation 2015 WHD $12,548
Old National Bank Old National Bancorp banking violation 2004 OCC $12,500
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2008 AZ-DFS $12,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2009 CA-MHC $12,500
Allstate Insurance Co. et al. Allstate insurance violation 2019 DE-INS $12,500
GREAT AMERICAN ASSURANCE COMPANY American Financial Group insurance violation 2001 FL-OFR $12,500
Amex Assurance Co. American Express insurance violation 2005 FL-OFR $12,500
First American Title First American Financial insurance violation 2014 IN-INS $12,500
American Home Assurance Company American International Group insurance violation 2003 MA-INS $12,500
Hartford Life and Accident Insurance Co. Hartford Financial Services insurance violation 2011 MD-INS $12,500
Group Hospitalization & Medical Services, Inc. CareFirst of Maryland insurance violation 2013 MD-INS $12,500
Group Hospitalization & Medical Services, Inc. CareFirst of Maryland insurance violation 2013 MD-INS $12,500
Austin Mutual Insurance Co. and Northern Mutual Insurance Co. American Family Insurance insurance violation 2002 MN-FIN $12,500
Morgan Keegan & Company, Inc. Raymond James Financial investor protection violation 2007 MS-SEC $12,500
Companion Life Insurance Co. BlueCross BlueShield of South Carolina insurance violation 2012 MT-INS $12,500
Pruco Securities, LLC Prudential Financial investor protection violation 2006 NE-DBF $12,500
Edward D. Jones & Co., L.P. Jones Financial consumer protection violation 2013 NE-DBF $12,500
Old Republic Insurance Company Old Republic International insurance violation 2010 TX-INS $12,500
Old Republic Insurance Company Old Republic International insurance violation 2014 TX-INS $12,500
New Hampshire Insurance Company American International Group insurance violation 2016 TX-INS $12,500
Commerce and Industry Insurance Company American International Group insurance violation 2016 TX-INS $12,500
Esurance Property and Casualty Insurance Company Allstate insurance violation 2018 TX-INS $12,500
Hartford Fire Insurance Company Hartford Financial Services insurance violation 2019 TX-INS $12,500
UNUM Life Insurance Company of America Unum insurance violation 2021 CT-INS $12,500
AMERICAN FAMILY INSURANCE American Family Insurance workplace safety or health violation 2012 OSHA $12,500
Bowie Resources LLC Trafigura workplace safety or health violation 2014 MSHA $12,500
Bank Of America NA Bank of America environmental violation 2005 TX-ENV $12,480
Heartland Payment Systems, LLC dba HPS Heartland Payroll Solutions, Inc. Global Payments Inc. consumer protection violation 2019 CT-BKG $12,450
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $12,321
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $12,321
Branch Banking and Trust Company Truist Financial wage and hour violation 2011 WHD $12,314
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2003 ND-SEC $12,303
Pioneer Credit Recovery, Inc. Navient tax violations 2013 CT-AG $12,255
Safety First Insurance Co. Tokio Marine insurance violation 2013 MO-INS $12,250
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $12,248
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $12,248
Allstate Insurance Company Allstate insurance violation 2003 IN-INS $12,220
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)