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
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2017 WA-INS $10,000
Ameritas Life Insurance Corp Ameritas Mutual Holding Company insurance violation 2017 WA-INS $10,000
Depositors Insurance Company Nationwide insurance violation 2017 WA-INS $10,000
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
Athene Annuity And Life Company Athene Holding insurance violation 2018 WA-INS $10,000
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
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
American General Life Insurance Company American International Group insurance violation 2020 WA-INS $10,000
National Union Fire Ins Co. of Pittsburgh American International Group insurance violation 2003 WI-INS $10,000
National Union Fire Ins Co. of Pittsburgh American International Group insurance violation 2003 WI-INS $10,000
Universal Underwriters Service Corp. Zurich Insurance insurance violation 2008 WI-INS $10,000
Nationwide Life Insurance Co. Nationwide insurance violation 2020 CT-INS $10,000
Travelers Property Casualty Co. of America Travelers insurance violation 2020 TX-INS $10,000
Sentinel Insurance Company, Ltd. Hartford Financial Services insurance violation 2020 TX-INS $10,000
Arch Insurance Co. Arch Capital insurance violation 2020 WA-INS $10,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $10,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $10,000
Selective Insurance Company of America Selective Insurance Group insurance violation 2020 OR-FIN $10,000
CONTINENTAL WESTERN INSURANCE COMPANY W.R. Berkley insurance violation 2020 WA-INS $10,000
AMERICAN ECONOMY INSURANCE COMPANY ET AL. Liberty Mutual Insurance insurance violation 2020 WA-INS $10,000
Trafigura Beheer B.V. Amsterdam Trafigura environmental violation 2012 CA-ARB $10,000
Glencore Glencore environmental violation 2006 CA-ARB $10,000
California Physicians' Service dba. Blue Shield of California California Physicians' Service insurance violation 2020 CA-MHC $10,000
HANOVER INSURANCE GROUP Hanover Insurance environmental violation 2002 MA-ENV $10,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2021 MN-FIN $10,000
Travelers Home and Marine Insurance Company Travelers insurance violation 2021 WA-INS $10,000
UBS International Inc. UBS investor protection violation 2005 FINRA $10,000
UBS Securities, L.L.C. UBS investor protection violation 2004 FINRA $10,000
BancBoston Robertson Stephens Bank of America investor protection violation 2001 FINRA $10,000
J.P. Morgan Securities, Inc. JPMorgan Chase investor protection violation 2001 FINRA $10,000
Spear, Leeds & Kellogg Goldman Sachs investor protection violation 2001 FINRA $10,000
Chase Securities, Inc. JPMorgan Chase investor protection violation 2001 FINRA $10,000
Prudential Securities, Inc. Wells Fargo investor protection violation 2001 FINRA $10,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $10,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $10,000
Oscar Health Plan of California Mulberry Health insurance violation 2021 CA-MHC $10,000
E-Trade Financial Corporate Services, Inc. Morgan Stanley consumer protection violation 2021 CT-BKG $10,000
Transamerica Life Insurance Company Aegon insurance violation 2020 CT-INS $10,000
American General Life Insurance Company American International Group insurance violation 2020 CT-INS $10,000
Standard Insurance Company Meiji Yasuda Life Insurance insurance violation 2020 CT-INS $10,000
Principal Life Insurance Company Principal Financial insurance violation 2020 CT-INS $10,000
American Guarantee and Liability Insurance Company Zurich Insurance insurance violation 2020 CT-INS $10,000
IMTT - BAYONNE Macquarie environmental violation 2021 NJ-ENV $10,000
United Services Automobile Association et al. USAA insurance violation 2021 VA-INS $10,000
PREMERA BLUE CROSS Premera Blue Cross insurance violation 2021 WA-INS $10,000
HSBC SECURITIES USA INC HSBC insurance violation 2021 WA-INS $10,000
State Farm Fire & Casualty Co State Farm Insurance insurance violation 2021 WI-INS $10,000
Fannie Mae Fannie Mae campaign finance violation 2004 FEC $10,000
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $10,000
QBE Insurance Corp. QBE Insurance insurance violation 2021 TX-INS $10,000
LIFEWISE HEALTH PLAN OF WASHINGTON Premera Blue Cross insurance violation 2021 WA-INS $10,000
State Farm Fire and Casualty Co. State Farm Insurance insurance violation 2021 WI-INS $10,000
FARMERS INSURANCE EXCHANGE Farmers Insurance Exchange workplace safety or health violation 2009 OSHA $10,000
WHEELABRATOR SHASTA ENERGY CO, INC Macquarie workplace safety or health violation 2010 OSHA $10,000
NEOVIA LOGISTICS DISTRIBUTION, LLC Goldman Sachs workplace safety or health violation 2018 OSHA $10,000
MORGAN STANLEY Morgan Stanley environmental violation 2014 EPA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,000
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 OK-SEC $9,968
Ace American Insurance Company Chubb Limited insurance violation 2015 TX-INS $9,900
Indemnity Insurance Company of North America Chubb Limited insurance violation 2019 TX-INS $9,900
COMMUNICORP INC. Aflac workplace safety or health violation 2011 OSHA $9,900
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $9,882
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $9,882
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $9,882
Solium Financial Services Morgan Stanley investor protection violation 2021 DC-DISB $9,879
Allianz Life Insurance Company of North America Allianz insurance violation 2017 MD-INS $9,850
GAS COMPANY LLC Macquarie workplace safety or health violation 2020 OSHA $9,832
Allied Home Mortgage Capital Corporation Americus Mortgage wage and hour violation 2005 WHD $9,830
Vitol Inc. Vitol environmental violation 2016 EPA $9,814
Metropolitan Life Insurance Co. MetLife insurance violation 2015 MD-INS $9,800
American Family Home Insurance Co. Munich Re insurance violation 2011 SC-INS $9,800
LOUIS DREYFUS CITRUS INC. Louis Dreyfus workplace safety or health violation 2006 OSHA $9,800
THE KEMPER COMPANY Kemper workplace safety or health violation 2012 OSHA $9,800
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $9,800
The Standard Fire Insurance Company Travelers insurance violation 2014 TX-INS $9,795
International Matex Tank Terminals Macquarie railroad safety violation 2002 FRA $9,750
Combined Insurance Company of America Chubb Limited insurance violation 2006 FL-OFR $9,750
JP Morgan Chase Bank JPMorgan Chase economic sanction violation 2004 OFAC $9,748
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2012 MSHA $9,732
Barclays Capital Inc. Barclays wage and hour violation 2009 WHD $9,707
Great Plains Specialty Finance, Inc. dba Check 'n Go CNG Financial consumer protection violation 2020 NE-DBF $9,700
Teachers Insurance & Annuity Assoc of America TIAA wage and hour violation 2017 WHD $9,678
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2020 TX-INS $9,675
MASS MUTUAL INSTITUTIONAL FUNDS Massachusetts Mutual Life Insurance workplace safety or health violation 2020 OSHA $9,639
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $9,634
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $9,634
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $9,634
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $9,634
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $9,634
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $9,634
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)