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 Typesort icon Year Agency Penalty Amount
Safety National Casualty Corp. Tokio Marine insurance violation 2021 TX-INS $9,500
Travelers Indemnity Co. Travelers insurance violation 2021 TX-INS $23,500
Liberty Insurance Corp. Liberty Mutual Insurance insurance violation 2021 TX-INS $7,000
Travelers Indemnity Co. Travelers insurance violation 2021 TX-INS $5,000
Trumbull Insurance Co. Hartford Financial Services insurance violation 2021 TX-INS $7,500
New Hampshire Insurance Co. American International Group insurance violation 2021 TX-INS $7,500
Ace American Insurance Co. Chubb Limited insurance violation 2021 TX-INS $5,000
QBE Insurance Corp. QBE Insurance insurance violation 2021 TX-INS $10,000
Standard Fire Insurance Co. Travelers insurance violation 2021 TX-INS $7,500
Arch Insurance Co. Arch Capital insurance violation 2021 TX-INS $6,000
Insurance Company of the State of Pennsylvania American International Group insurance violation 2021 TX-INS $9,000
Sagamore Insurance Co. Protective Insurance Corp. insurance violation 2021 TX-INS $20,000
New Hampshire Insurance Co. American International Group insurance violation 2021 TX-INS $15,000
LM Insurance Corp. Liberty Mutual Insurance insurance violation 2021 TX-INS $40,000
New Hampshire Insurance Co. American International Group insurance violation 2021 TX-INS $6,000
Accident Fund General Insurance Co. AF Group insurance violation 2021 TX-INS $5,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2021 TX-INS $5,000
Liberty Insurance Corp. Liberty Mutual Insurance insurance violation 2021 TX-INS $14,000
Arch Insurance Co. Arch Capital insurance violation 2021 TX-INS $69,000
Hartford Fire Insurance Co. Hartford Financial Services insurance violation 2021 TX-INS $5,000
Accident Fund National Insurance Co. AF Group insurance violation 2021 TX-INS $7,500
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2021 WA-INS $100,000
LIFEWISE HEALTH PLAN OF WASHINGTON Premera Blue Cross insurance violation 2021 WA-INS $10,000
Nationwide General Insurance Co. Nationwide insurance violation 2021 WA-INS $35,000
Foremost Insurance Company Grand Rapids Michigan Zurich Insurance insurance violation 2021 WA-INS $75,000
Transamerica Life Insurance Co. Aegon insurance violation 2021 WA-INS $30,000
State Farm Fire and Casualty Co. State Farm Insurance insurance violation 2021 WI-INS $10,000
SAC Capital SAC Capital insider trading 2013 USAO $1,800,000,000
Barclays Bank PLC Barclays insider trading 2007 SEC $10,943,561
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. insider trading 2006 SEC $3,755,839
Goldman Sachs & Co. Goldman Sachs illicit political contributions 2012 SEC $12,000,000
State Street Bank and Trust Company State Street Corp. illicit political contributions 2016 SEC $12,000,000
Citibank Citigroup illegal gambling business 2002 NY-AG $100,000
Citifinancial Citigroup housing program violation 2010 MULTI-FIN $1,250,000
US Bank U.S. Bancorp housing code violation 2016 CA-LACA $13,500,000
CommerceWest Bank CommerceWest Bank fraud 2015 DOJ_CRIMINAL $4,900,000
ConvergEx Group LLC Cowen Inc. fraud 2014 DOJ_CRIMINAL $43,800,000
Crawford Healthcare Management of Norfolk & Baltimore Crawford & Co. fraud 2003 DOJ_CRIMINAL $8,000,000
Banc of America Securities LLC Bank of America fraud 2007 SEC $26,000,000
State Street Corporation State Street Corp. fraud 2017 DOJ_CRIMINAL $32,300,000
Allied Home Mortgage Americus Mortgage fraud 2017 USAO $296,298,325
AmSouth Bancorporation Regions Financial fraud 2004 USAO $40,000,000
Credit Lyonnais Credit Agricole fraud 2003 USAO $100,000,000
Republic New York Securities HSBC fraud 2001 USAO $569,000,000
HSBC Holdings plc HSBC fraud 2018 DOJ_CRIMINAL $100,000,000
BMO Harris Bank, N.A. Bank of Montreal fraud 2018 USAO $10,000,000
Bank of America Bank of America fraud 2016 DC-AG $13,000,000
Bank of America Bank of America fraud 2010 DC-AG $13,502,852
Wells Fargo & Company Wells Fargo fraud 2020 DOJ_CIVIL $3,000,000,000
Vitol Inc. Vitol fraud 2020 CFTC (*) $95,700,000
JPMorgan Chase & Co. JPMorgan Chase fraud 2020 DOJ_CRIMINAL (*) $920,000,000
State Street Corporation State Street Corp. fraud 2021 USAO $115,000,000
BARCLAYS BANK PLC Barclays foreign exchange market manipulation 2015 FED $342,000,000
Citicorp Citigroup foreign exchange market manipulation 2015 DOJ_CRIMINAL $925,000,000
JPMorgan Chase & Co. JPMorgan Chase foreign exchange market manipulation 2015 DOJ_CRIMINAL $550,000,000
Barclays PLC Barclays foreign exchange market manipulation 2015 DOJ_CRIMINAL $710,000,000
Royal Bank of Scotland plc NatWest Group PLC foreign exchange market manipulation 2015 DOJ_CRIMINAL $395,000,000
Goldman Sachs Goldman Sachs foreign exchange market manipulation 2016 CFTC $120,000,000
BNP Paribas S.A. BNP Paribas foreign exchange market manipulation 2017 FED $246,000,000
BNP Paribas USA Inc. BNP Paribas foreign exchange market manipulation 2018 DOJ_ANTITRUST $90,000,000
Barclays PLC Barclays foreign exchange market manipulation 2018 DOJ_CRIMINAL $12,896,011
BGC Financial LP BGC Partners foreign exchange market manipulation 2019 NY-AG $7,500,000
GFI Securities LLC BGC Partners foreign exchange market manipulation 2019 NY-AG $5,000,000
Barclays Bank PLC Barclays foreign exchange market manipulation 2015 NY-DFS $485,000,000
Barclays Bank PLC Barclays foreign exchange market manipulation 2015 NY-DFS $150,000,000
BNP Paribas S.A. BNP Paribas foreign exchange market manipulation 2017 NY-DFS $350,000,000
Credit Suisse AG Credit Suisse foreign exchange market manipulation 2017 NY-DFS $135,000,000
Goldman Sachs Group Inc. Goldman Sachs foreign exchange market manipulation 2018 NY-DFS $54,750,000
Deutsche Bank AG Deutsche Bank foreign exchange market manipulation 2018 NY-DFS $205,000,000
Standard Chartered Bank Standard Chartered foreign exchange market manipulation 2019 NY-DFS $40,000,000
Aon Corporation Aon Foreign Corrupt Practices Act 2011 DOJ_CRIMINAL $1,760,000
BNY Mellon Bank of New York Mellon Foreign Corrupt Practices Act 2015 SEC $14,800,000
Allianz SE Allianz Foreign Corrupt Practices Act 2012 SEC $12,396,423
Aon Corporation Aon Foreign Corrupt Practices Act 2011 SEC $14,545,020
Och-Ziff Capital Management Group LLC Sculptor Capital Management Foreign Corrupt Practices Act 2016 DOJ_CRIMINAL $213,000,000
Och-Ziff Capital Management Group Sculptor Capital Management Foreign Corrupt Practices Act 2016 SEC $199,045,167
JPMorgan Chase & Co. JPMorgan Chase Foreign Corrupt Practices Act 2016 SEC $130,000,000
Omega Advisors Omega Advisors Foreign Corrupt Practices Act 2007 USAO $500,000
Credit Suisse (Hong Kong) Limited Credit Suisse Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $47,029,916
Societe Generale S.A. Societe Generale Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $860,000
Legg Mason Inc. Franklin Resources Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $64,200,000
Legg Mason Inc. Franklin Resources Foreign Corrupt Practices Act 2018 SEC $34,500,000
Credit Suisse Group AG Credit Suisse Foreign Corrupt Practices Act 2018 SEC $29,700,000
Deutsche Bank AG Deutsche Bank Foreign Corrupt Practices Act 2019 SEC $16,178,850
Barclays PLC Barclays Foreign Corrupt Practices Act 2019 SEC $6,308,726
World Acceptance Corporation World Acceptance Corporation Foreign Corrupt Practices Act 2020 SEC $21,700,000
Vitol Inc. Vitol Foreign Corrupt Practices Act 2020 DOJ_CRIMINAL $135,000,000
Goldman Sachs Group Inc. Goldman Sachs Foreign Corrupt Practices Act 2020 DOJ_CRIMINAL $2,921,088,000
Goldman Sachs Group Inc. Goldman Sachs Foreign Corrupt Practices Act 2020 SEC (*) $1,006,000,000
Deutsche Bank Deutsche Bank Foreign Corrupt Practices Act 2021 DOJ_CRIMINAL $87,091,424
Deutsche Bank AG Deutsche Bank Foreign Corrupt Practices Act 2021 SEC $43,000,000
American Family Life Assurance Co., known as Aflac Aflac Family and Medical Leave Act 2012 WHD $16,882
Univest Corporation of Pennsylvania Univest Financial Family and Medical Leave Act 2016 WHD $5,076
Wells Fargo Bank, N. A. Wells Fargo Family and Medical Leave Act 2016 WHD $11,874
BMO Harris Bank N.A. Bank of Montreal Family and Medical Leave Act 2015 WHD $11,304
IAC Springfield, LLC Invesco Family and Medical Leave Act 2015 WHD $5,377
TitleMax of Missouri, Inc. TMX Finance Family and Medical Leave Act 2015 WHD $11,648
Huntington Bancshares Incorporated Huntington Bancshares Family and Medical Leave Act 2015 WHD $7,788
Asset Acceptance, LLC Encore Capital Group Family and Medical Leave Act 2014 WHD $7,450
TMX Finance LLC TMX Finance Family and Medical Leave Act 2012 WHD $36,596
State Farm Mutual Automobile Insurance Compan State Farm Insurance Family and Medical Leave Act 2010 WHD $27,787
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)