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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 TypeYearAgencyPenalty Amount sort icon
QBE Insurance CorporationQBE Insuranceinsurance violation2008OR-FIN$17,700
WHEELABRATOR SAUGUS, INC.Macquarieworkplace safety or health violation2017OSHA$17,600
Lincoln Financial Group Trust Company, Inc.Lincoln Nationalwage and hour violation2018WHD$17,567
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2012PHMSA$17,500
United Casualty Insurance Company of AmericaKemperinsurance violation2005FL-OFR$17,500
Progressive Classic Insurance Co. et al.Progressiveinsurance violation2016MD-INS$17,500
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2015MN-FIN$17,500
Hartford Life and Accident Insurance CompanyHartford Financial Servicesinsurance violation2006OR-FIN$17,500
Western Sky Financial, LLCCashCall Inc.consumer protection violation2012OR-FIN$17,500
Great American Insurance Company of New YorkAmerican Financial Groupinsurance violation2004PA-INS$17,500
Ace American Insurance CompanyChubb Limitedinsurance violation2008TX-INS$17,500
Federal Insurance Co.Chubb Limitedinsurance violation2011TX-INS$17,500
Pacific Indemnity CompanyChubb Limitedinsurance violation2013TX-INS$17,500
Life Insurance Company Of The SouthwestNational Life Groupinsurance violation2014WA-INS$17,500
Allied Property & Casualty Insurance Company et al.Nationwideinsurance violation2020VA-INS$17,500
WHEELABRATOR BALTIMOREMacquarieenvironmental violation2003MD-ENV$17,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$17,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$17,500
Hanover Insurance CompanyHanover Insuranceinsurance violation2023TX-INS$17,500
Nyrstar Clarksville Inc.Trafiguraenvironmental violation2023TN-ENV$17,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$17,500
Louis Dreyfus Company Agricultural Industries LLCLouis Dreyfusenvironmental violation2021IN-ENV$17,400
Banco Popular North America, Inc.Popular Inc.wage and hour violation2004WHD$17,363
Prudential Equity Group, LLCPrudential Financialinvestor protection violation2004FINRA$17,306
JP Morgan Chase & Co.JPMorgan Chaseeconomic sanction violation2004OFAC$17,303
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2001CO-INS$17,250
Globe Life & Accident Insurance Co.Globe Life Inc.insurance violation2012KS-INS$17,250
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2006ND-SEC$17,204
Travelers Property and Casualty Company of AmericaTravelersinsurance violation2014TX-INS$17,012
ASI SERVICESProgressiveaviation safety violation2015FAA$17,000
Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2018DE-INS$17,000
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2018DE-INS$17,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2004ND-SEC$17,000
Eaton Vance Income Fund of BostonMorgan Stanleyinvestor protection violation2006NE-DBF$17,000
Navigators Insurance CompanyHartford Financial Servicesinsurance violation2012OR-FIN$17,000
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2010TX-INS$17,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2016TX-INS$17,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2019TX-INS$17,000
FREEDOM MORTGAGE CORPORATIONFreedom Mortgageconsumer protection violation2016VA-FIN$17,000
XL Insurance America, Inc.AXAinsurance violation2021TX-INS$17,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$17,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2024TX-INS$17,000
Ace American Insurance CompanyChubb Limitedinsurance violation2024TX-INS$17,000
Safety National Casualty CorporationTokio Marineinsurance violation2023TX-INS$17,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$17,000
RR DONNELLY COMPANYChatham Asset Managementworkplace safety or health violation2012OSHA$17,000
American Family Life Assurance Co., known as AflacAflacFamily and Medical Leave Act2012WHD$16,882
IAC GREENVILLE, LLCInvescoenvironmental violation2013EPA$16,870
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2009MSHA$16,830
Glacier BankGlacier Bancorpbanking violation2020FDIC$16,750
Sentinel Insurance Company, Ltd.Hartford Financial Servicesinsurance violation2014NY-DFS$16,700
JP Morgan Chase Bank N.AJPMorgan Chaseemployment discrimination2022CA-CRD$16,698
American Express Travel Related Services Co., Inc.American Expresseconomic sanction violation2007OFAC$16,625
Chemoil CorporationGlencorewage and hour violation2013WHD$16,594
HSBCHSBCwage and hour violation2007WHD$16,545
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2021OSHA$16,524
American Zurich Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$16,514
Seacoast National BankSeacoast Banking Corporation of Floridabanking violation2006OCC$16,500
Nationwide Life and Annuity Insurance Co.Nationwideinsurance violation2019CT-INS$16,500
Kemper Auto and Home Insurance Co.Kemperinsurance violation2003FL-OFR$16,500
National General Assurance CompanyAllstateinsurance violation2009RI-FIN$16,500
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2012TX-INS$16,500
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$16,500
Louisiana Generating, LLCMacquarieenvironmental violation2019LA-ENV$16,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$16,500
SYNAGRO-WWT, INC.Goldman Sachsworkplace safety or health violation2023OSHA$16,500
NATIONWIDE LIFE INSURANCE CO.Nationwideinsurance violation2015VA-INS$16,340
Transamerica Life Insurance Co.Aegoninsurance violation2015MD-INS$16,300
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2007MO-INS$16,272
Citigroup, N. A.Citigroupeconomic sanction violation2008OFAC$16,250
Depositors Insurance Co.Nationwideinsurance violation2016MO-INS$16,250
East West BankEast West Bancorpbanking violation2007FED$16,245
Austin Mutual Insurance CompanyAmerican Family Insurancewage and hour violation2006WHD$16,245
ALLIED PROPERTY & CASUALTY INSURANCENationwideinsurance violation2014VA-INS$16,201
CITIZENS BUSINESS BANKCVB Financialbanking violation2009FDIC$16,200
SYNAGRO WEST, LLCGoldman Sachsworkplace safety or health violation2022OSHA$16,200
Bankers Life & CasualtyCNO Financialwage and hour violation2017MI-LEO$16,190
Nationwide Mutual Insurance CompanyNationwidewage and hour violation2005WHD$16,185
Principal Life Insurance CompanyPrincipal Financialinsurance violation2019WA-INS$16,150
Principal Life Insurance Co.Principal Financialinsurance violation2002AK-INS$16,095
Security National Insurance Co.Zurich Insuranceinsurance violation2015MO-INS$16,090
Bank of New York MellonBank of New York Mellonbanking violation2018FED$16,000
Time Insurance CompanyHaven Holdingsconsumer protection violation2007MA-AG$16,000
Unigard Insurance Co.QBE Insuranceinsurance violation2010AZ-DIFI$16,000
Federal Insurance Co.Chubb Limitedinsurance violation2005CO-INS$16,000
Bankers Standard Insurance Co. et al.Chubb Limitedinsurance violation2019DE-INS$16,000
Home Loan Center, Inc. dba Lending Tree LoansLendingTreeconsumer protection violation2008KY-FIN$16,000
Travelers Casualty Insurance Company of America et al.Travelersinsurance violation2016MO-INS$16,000
Great American Alliance Insurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$16,000
Wausau Business Insurance CompanyLiberty Mutual Insuranceinsurance violation2012TX-INS$16,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$16,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$16,000
Ace American Insurance CompanyChubb Limitedinsurance violation2015TX-INS$16,000
Federal Insurance CompanyChubb Limitedinsurance violation2016TX-INS$16,000
Pacific Indemnity Co.Chubb Limitedinsurance violation2020CT-INS$16,000
THE FIFTH THIRD BANKFifth Third Bancorpenvironmental violation2006FL-DEP$16,000
BUCKEYE PIPE LINE COIFM Investorsenvironmental violation2021NJ-ENV$16,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2004FINRA$16,000
Farmers Insurance Exchange and Truck Insurance ExchangeFarmers Insurance Exchangeinsurance violation2021VA-INS$15,950
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2022OSHA$15,948
American International GroupAmerican International Groupwage and hour violation2018MI-LEO$15,939
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.