Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$331,558,339,161
Number of Records: 
6,166
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$82,764,013,078219
JPMorgan Chase$35,819,302,225162
Citigroup$25,454,366,764125
Wells Fargo$21,358,750,745184
Deutsche Bank$18,286,625,30261
UBS$16,792,860,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,473,904,00028
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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 Yearsort icon Agency Penalty Amount
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2018 TX-INS $8,400
The Travelers Indemnity Company Travelers insurance violation 2018 TX-INS $7,500
The Travelers Indemnity Company of Connecticut Travelers insurance violation 2018 TX-INS $20,000
Catlin Insurance Company Inc. AXA insurance violation 2018 UT-INS $100,000
Lawyers Title Company Fidelity National Financial insurance violation 2018 UT-INS $93,500
Allstate Indemnity Company Allstate insurance violation 2018 UT-INS $5,000
American Family Mutual Insurance Company American Family Insurance insurance violation 2018 UT-INS $39,400
GRANITE STATE INSURANCE CO. American International Group insurance violation 2018 VA-INS $152,318
TOKIO MARINE KILN SYNDICATES, LTD. Tokio Marine insurance violation 2018 VA-INS $7,500
SELECTIVE INSURANCE CO. ET AL. Selective Insurance Group insurance violation 2018 VA-INS $10,000
LINCOLN FINANCIAL SECURITIES Lincoln National investor protection violation 2018 VA-SEC $20,000
MERCURY CASUALTY COMPANY Mercury General Corporation insurance violation 2018 VA-INS $173,650
ACADIA INSURANCE COMPANY ET AL W.R. Berkley insurance violation 2018 VA-INS $91,793
THE GENERAL AUTOMOBILE INSURANCE CO. American Family Insurance insurance violation 2018 VA-INS $66,996
LIBERTY MUTUAL FIRE INSURANCE Liberty Mutual Insurance insurance violation 2018 VA-INS $108,053
PROGRESSIVE NORTHERN INSURANCE CO. Progressive insurance violation 2018 VA-INS $1,818,318
USAA CASUALTY INSURANCE CO ET AL. USAA insurance violation 2018 VA-INS $4,396,720
ELEPHANT INSURANCE COMPANY Admiral Group insurance violation 2018 VA-INS $79,017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2018 VT-FIN $120,000
Berkley National Insurance Company W.R. Berkley insurance violation 2018 WA-INS $10,000
Ticor Title Company Fidelity National Financial insurance violation 2018 WA-INS $10,000
Unum Life Insurance Company Of America Unum insurance violation 2018 WA-INS $7,000
Lifewise Health Plan Of Washington Premera Blue Cross insurance violation 2018 WA-INS $40,000
Hartford Insurance Company The Midwest Hartford Financial Services insurance violation 2018 WA-INS $20,000
Athene Annuity And Life Company Athene Holding insurance violation 2018 WA-INS $10,000
Metropolitan Life Insurance Company MetLife insurance violation 2018 WA-INS $7,000
American Strategic Insurance Corp Progressive insurance violation 2018 WA-INS $10,000
American Family Mutual Insurance Company S.I. American Family Insurance insurance violation 2018 WA-INS $10,000
Washington National Insurance Company CNO Financial insurance violation 2018 WA-INS $7,500
Crestbrook Insurance Company Nationwide insurance violation 2018 WA-INS $50,000
Fidelity & Guaranty Life Insurance Company Fidelity National Financial insurance violation 2018 WA-INS $5,000
Amica Mutual Insurance Company Amica Mutual Insurance insurance violation 2018 WA-INS $20,000
Nationwide Agribusiness Insurance Company Nationwide insurance violation 2018 WA-INS $25,000
State Farm Life Insurance Company State Farm Insurance insurance violation 2018 WA-INS $10,000
American Automobile Insurance Company Allianz insurance violation 2018 WA-INS $10,000
Allstate Life Insurance Company Allstate insurance violation 2018 MULTI-FIN $150,000
American Family Life Insurance Company of Columbus Aflac insurance violation 2018 MULTI-FIN $2,500,000
HCC Life Insurance Company et al. Tokio Marine insurance violation 2018 MULTI-FIN $5,000,000
LPL Financial LLC LPL Financial investor protection violation 2018 MULTI-FIN $26,000,000
MLD Mortgage Inc. dba The Money Store MLD Mortgage Inc. dba The Money Store consumer protection violation 2018 MULTI-FIN $720,000
Nationwide Mutual Insurance Company Nationwide insurance violation 2018 MULTI-FIN $725,000
HIGHMARK INC. Highmark Inc. workplace safety or health violation 2018 OSHA $25,868
BROADRIDGE FINANCIAL SOLUTIONS Broadridge Financial Solutions workplace safety or health violation 2018 OSHA $15,522
WHEELABRATOR MILLBURY INC. Macquarie workplace safety or health violation 2018 OSHA $9,472
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 $8,260
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $8,260
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 $10,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $14,459
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $5,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $9,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $13,348
Travelers Indemnity Company Travelers discriminatory practices (non-employment) 2018 private lawsuit-federal $450,000
ZURICH AMERICAN INS CO Zurich Insurance wage and hour violation 2018 IL-DOL $13,865
PRUDENTIAL INS CO OF AMER Prudential Financial environmental violation 2018 PA-ENV $9,000
BOWIE REFINED COAL LLC Trafigura environmental violation 2018 KY-ENV $12,200
International-Matex Tank Terminals, LLC Macquarie environmental violation 2018 LA-ENV $25,673
Deutsche Bank Americas Holding Corp. Deutsche Bank benefit plan administrator violation 2019 private lawsuit-federal $21,900,000
Citigroup, Inc. Citigroup benefit plan administrator violation 2019 private lawsuit-federal $6,900,000
Enova International, Inc. Enova International consumer protection violation 2019 CFPB $3,200,000
USAA Federal Savings Bank USAA consumer protection violation 2019 CFPB $15,500,000
Asurion, LLC Asurion employment discrimination 2019 EEOC $50,000
Wintrust Financial Corporation Wintrust Financial Corp. banking violation 2019 FED $1,012,500
PHH Mortgage Corporation Ocwen Financial Servicemembers Civil Relief Act 2019 DOJ_RIGHTS $750,000
Citibank, N.A. Citigroup banking violation 2019 OCC $25,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2019 SEC $8,014,000
Wells Fargo Securities Wells Fargo investor protection violation 2019 SEC $812,500
Wedbush Securities Inc. Wedbush Securities investor protection violation 2019 SEC $250,000
BB&T Securities Truist Financial investor protection violation 2019 SEC $5,709,753
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2019 SEC $17,363,847
RBC Capital Markets, LLC Royal Bank of Canada investor protection violation 2019 SEC $11,715,395
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2019 SEC $2,971,462
First Republic Investment Management, Inc. First Republic Bank investor protection violation 2019 SEC $1,005,194
Stifel and Nicolaus & Company, Incorporated Stifel Financial investor protection violation 2019 SEC $6,037,175
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2019 SEC $241,227
Sorrento Pacific Financial, LLC Atria Wealth Solutions investor protection violation 2019 SEC $49,162
CUSO Financial Services, L.P. Atria Wealth Solutions investor protection violation 2019 SEC $296,750
AXA Advisors, LLC Equitable Holdings investor protection violation 2019 SEC $1,134,152
BB&T Securities, LLC Truist Financial investor protection violation 2019 SEC $376,059
Next Financial Group, Inc. Atria Wealth Solutions investor protection violation 2019 SEC $1,405,349
Bok Financial Securities, Inc. BOK Financial investor protection violation 2019 SEC $197,801
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2019 SEC $3,389,174
Principal Securities, Inc. Principal Financial investor protection violation 2019 SEC $1,764,624
Transamerica Financial Advisors, Inc. Aegon investor protection violation 2019 SEC $6,023,072
Comerica Securities, Inc. Comerica investor protection violation 2019 SEC $186,377
Santander Securities LLC Banco Santander investor protection violation 2019 SEC $270,539
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. Oppenheimer Holdings investor protection violation 2019 SEC $3,528,377
LPL Financial LLC LPL Financial investor protection violation 2019 SEC $9,333,516
TIAA-CREF Individual & Institutional Services, LLC TIAA investor protection violation 2019 SEC $2,395,722
Raymond James Financial Services Advisors, Inc. Raymond James Financial investor protection violation 2019 SEC $6,877,048
ProEquities, Inc. Dai-ichi Life investor protection violation 2019 SEC $1,852,383
Umpqua Bank Umpqua Holdings employment screening violation 2019 private lawsuit-federal $325,000
Freedom Mortgage Corporation Freedom Mortgage mortgage abuses 2019 CFPB $1,750,000
Banca IMI Securities Corp. Intesa Sanpaolo price-fixing or anti-competitive practices 2019 DOJ_ANTITRUST $2,000,000
UniCredit Group UniCredit economic sanction violation 2019 DOJ_CRIMINAL $413,536,632
Standard Chartered Bank Standard Chartered economic sanction violation 2019 DOJ_CRIMINAL $292,210,160
Zurich Life Insurance Company Ltd Zurich Insurance tax violations 2019 DOJ_TAX $5,115,000
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2019 EBSA $10,001
UniCredit, S.p.A. UniCredit banking violation 2019 FED $158,000,000
Standard Chartered plc Standard Chartered banking violation 2019 FED $164,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)