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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 TypeYearAgency sort iconPenalty Amount
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2011PHMSA$74,400
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2013PHMSA$69,100
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2013PHMSA$66,400
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2013PHMSA$47,800
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2012PHMSA$36,200
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2012PHMSA$22,500
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2012PHMSA$17,500
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2012PHMSA$11,800
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2009PHMSA$7,500
Buckeye Partners LPIFM Investorsenvironmental violation2017PHMSA$50,400
Buckeye Partners LPIFM Investorsenvironmental violation2017PHMSA$193,000
Buckeye Partners, LPIFM Investorsenvironmental violation2017PHMSA$36,600
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2018PHMSA$36,600
Buckeye Partners, LPIFM Investorsenvironmental violation2020PHMSA$209,002
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2023PHMSA$441,151
Countrywide Financial Corp.Bank of Americamortgage abuses2009RI-AG$1,146,000
Freddie MacFreddie Mac (Federal Home Loan Mortgage Corporation)environmental violation2023RI-AG$460,000
Synagro Woonsocket, LLCGoldman Sachsenvironmental violation2018RI-ENV$175,000
Citizens Bank of Rhode IslandCitizens Financial Groupenvironmental violation2007RI-ENV$7,510
Fleet National BankBank of Americaenvironmental violation2000RI-ENV$18,034
SYNAGRO WOONSOCKET, LLCGoldman Sachsenvironmental violation2022RI-ENV$120,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2006RI-FIN$10,250
Lincoln Financial Advisors Corp.Lincoln Nationalinvestor protection violation2007RI-FIN$5,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2007RI-FIN$250,000
AIG National Insurance CompanyAmerican International Groupinsurance violation2008RI-FIN$10,000
National General Assurance CompanyAllstateinsurance violation2009RI-FIN$16,500
Ameriprise Advisor Services Inc.Ameriprise Financialinvestor protection violation2009RI-FIN$48,411
Travelers Indemnity Company of AmericaTravelersinsurance violation2009RI-FIN$5,000
Allstate Insurance CompanyAllstateinsurance violation2009RI-FIN$5,000
Morgan Keegan & Co. Inc.Raymond James Financialinvestor protection violation2010RI-FIN$20,000
Bankers Life & Casualty CompanyCNO Financialinsurance violation2011RI-FIN$975,000
Allstate Property & Casualty Insurance CompanyAllstateinsurance violation2012RI-FIN$8,000
MML Investors Services LLCMassachusetts Mutual Life Insuranceinvestor protection violation2012RI-FIN$250,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2013RI-FIN$5,000
National General InsuranceAllstateinsurance violation2014RI-FIN$7,500
Peerless Insurance CompanyLiberty Mutual Insuranceinsurance violation2014RI-FIN$8,000
Liberty Mutual Insurance GroupLiberty Mutual Insuranceinsurance violation2015RI-FIN$15,000
USAA General Indemnity CompanyUSAAinsurance violation2016RI-FIN$15,000
Allstate Insurance CompanyAllstateinsurance violation2016RI-FIN$10,000
Allstate Insurance CompanyAllstateinsurance violation2017RI-FIN$103,414
Nationwide Mutual Insurance CompanyNationwideinsurance violation2017RI-FIN$154,228
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2017RI-FIN$9,200
Liberty Mutual Insurance GroupLiberty Mutual Insuranceinsurance violation2017RI-FIN$139,547
Esurance Property and Casualty Insurance CompanyAllstateinsurance violation2018RI-FIN$233,963
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2018RI-FIN$175,000
Allstate Fire & Casualty Insurance CompanyAllstateinsurance violation2018RI-FIN$60,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2019RI-FIN$10,000
USAA Casualty Insurance CompanyUSAAinsurance violation2019RI-FIN$8,000
Metropolitan Property and Casualty CompanyZurich Insuranceinsurance violation2019RI-FIN$5,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2019RI-FIN$15,000
USAA Casualty Insurance CompanyUSAAinsurance violation2020RI-FIN$12,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020RI-FIN$25,000
John Hancock Life and Health Insurance CompanyManulife Financialinsurance violation2020RI-FIN$44,877
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020RI-FIN$6,500
Allstate Property & Casualty Insurance Company, et al.Allstateinsurance violation2021RI-FIN$7,500
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2022RI-FIN$10,000
XL Specialty Insurance CompanyAXAconsumer protection violation2021RI-FIN$15,000
National Casualty CompanyNationwideinsurance violation2022RI-FIN$20,000
Allstate Property and Casualty et al.Allstateinsurance violation2022RI-FIN$65,000
John Hancock Life Insurance CompanyManulife Financialinsurance violation2023RI-FIN$95,000
IAC SPARTANBURG, INCInvescoenvironmental violation2012SC-ENV$7,000
IAC Spartanburg, Inc.Invescoenvironmental violation2015SC-ENV$58,000
Buckeye Terminals LLCIFM Investorsenvironmental violation2013SC-ENV$15,000
CashCall Inc.CashCall Inc.consumer protection violation2017SC-FIN$9,650,000
Merrill Lynch Life Insurance CompanyBank of Americainsurance violation2000SC-INS$5,000
Standard Fire Insurance CompanyTravelersinsurance violation2000SC-INS$10,000
Liberty Insurance Underwriters Inc.Liberty Mutual Insuranceinsurance violation2003SC-INS$8,000
Dairyland Insurance CompanySentry Insuranceinsurance violation2003SC-INS$5,000
Conseco Life Insurance CompanyCNO Financialinsurance violation2004SC-INS$6,000
AXA Insurance CompanyAXAinsurance violation2007SC-INS$8,000
USAA Casualty Insurance Co.USAAinsurance violation2010SC-INS$7,000
American Family Home Insurance Co.Munich Reinsurance violation2011SC-INS$9,800
United Services Automobile AssociationUSAAinsurance violation2011SC-INS$8,000
Bristol West Insurance CompanyZurich Insuranceinsurance violation2011SC-INS$7,500
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2012SC-INS$10,000
AXA Art Insurance CorporationAXAinsurance violation2012SC-INS$8,000
Safeco Insurance CompanyLiberty Mutual Insuranceinsurance violation2013SC-INS$8,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2016SC-INS$90,000
Auto-Owners Insurance CompanyAuto-Owners Insuranceinsurance violation2016SC-INS$7,356
Allstate Vehicle and Property Insurance CompanyAllstateinsurance violation2018SC-INS$10,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2018SC-INS$10,000
A.G. Edwards & Sons Inc.Wells Fargoinvestor protection violation2007SC-SEC$575,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2011SC-SEC$30,000
LendingClub CorporationLendingClub Corp.investor protection violation2015SC-SEC$150,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2016SC-SEC$175,000
Branch Banking and Trust CompanyTruist Financialinvestor protection violation2016SC-SEC$97,500
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2018SC-SEC$650,000
LPL Financial LLCLPL Financialinvestor protection violation2019SC-SEC$40,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020SC-SEC$28,007
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2022SC-SEC$50,000
Countrywide Financial CorporationBank of Americamortgage abuses2009SD-AG$161,805
Nationwide Life Insurance CompanyNationwideinsurance violation2012SD-INS$40,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2013SD-INS$15,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2013SD-INS$5,000
Washington National Insurance CompanyCNO Financialinsurance violation2013SD-INS$125,000
Catlin Insurance Company Inc.AXAinsurance violation2013SD-INS$5,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.