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)
Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
THE CAPITAL GROUP COMPANIES INC Capital Group workplace safety or health violation 2005 OSHA $5,000
The Chubb Corp. Chubb Limited consumer protection violation 2009 MA-AG $239,011
THE COLUMBIA BANK Fulton Financial banking violation 2002 FDIC $7,000
The Equitable Life Assurance Society of the United States Equitable Holdings insurance violation 2003 FL-OFR $1,600,000
The Federal Home Loan Mortgage Corporation Freddie Mac (Federal Home Loan Mortgage Corporation) wage and hour violation 2011 WHD $24,153
THE FIFTH THIRD BANK Fifth Third Bancorp environmental violation 2006 FL-DEP $16,000
The First American Title Company First American Financial wage and hour violation 2006 WHD $72,363
The First American Title Insurance, Co. First American Financial wage and hour violation 2005 WHD $24,067
THE GAS COMPANY LLC Macquarie motor vehicle safety violation 2009 FMCSA $28,440
THE GAS COMPANY LLC Macquarie motor vehicle safety violation 2009 FMCSA $28,440
The Gas Company Llc Macquarie motor vehicle safety violation 2017 FMCSA $12,650
The Gas Company LLC (dba Hawaii Gas) Macquarie environmental violation 2014 EPA $155,000
THE GAS COMPANY, LLC Macquarie workplace safety or health violation 2013 OSHA $7,000
THE GAS COMPANY, LLC Macquarie workplace safety or health violation 2013 OSHA $10,500
THE GENERAL AUTOMOBILE INSURANCE CO. American Family Insurance insurance violation 2018 VA-INS $66,996
The General Automobile Insurance Company Inc. American Family Insurance insurance violation 2018 TX-INS $100,000
The Guardian Insurance & Annuity Company, Inc. Guardian Life Insurance insurance violation 2019 NY-DFS $442,589
THE GUARDIAN LIFE INSURANCE CO Guardian Life Insurance insurance violation 2004 VA-INS $27,000
THE GUARDIAN LIFE INSURANCE CO Guardian Life Insurance insurance violation 2010 VA-INS $62,000
The Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2007 MA-AG $20,000
The Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2008 FL-OFR $10,500
The Hanover Insurance Co. Hanover Insurance insurance violation 2015 MN-FIN $7,500
The Hanover Insurance Co. Hanover Insurance insurance violation 2014 WI-INS $5,000
The Hanover Insurance Company Hanover Insurance insurance violation 2019 TX-INS $20,000
The Hartford Financial Services Group Hartford Financial Services investor protection violation 2006 MULTI-AG $20,000,000
THE HARTFORD FINANCIAL SERVICES GROUP, INC. Hartford Financial Services workplace safety or health violation 2011 OSHA $5,600
The Home Loan Center, LLC LendingTree wage and hour violation 2004 WHD $13,903
The Huntington National Bank Huntington Bancshares wage and hour violation 2013 WHD $32,553
The Insurance Company of the State of Pennsylvania American International Group consumer protection violation 2015 MA-AG $430,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2010 ME-INS $11,111
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2007 OR-FIN $10,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2009 TX-INS $7,500
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2014 TX-INS $8,397
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2014 TX-INS $6,500
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2016 TX-INS $18,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2017 TX-INS $44,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2017 TX-INS $5,300
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2018 TX-INS $8,400
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2019 TX-INS $9,000
THE KANSAS CITY STAR Chatham Asset Management workplace safety or health violation 2016 OSHA $23,696
THE KEMPER COMPANY Kemper workplace safety or health violation 2012 OSHA $9,800
The Lincoln National Life Insurance Co. Lincoln National insurance violation 2019 CT-INS $65,000
The Lincoln National Life Insurance Co. Lincoln National insurance violation 2019 LA-INS $10,000
The Lincoln National Life Insurance Co. Lincoln National insurance violation 2016 MN-FIN $10,000
The Lincoln National Life Insurance Co. et al. Lincoln National insurance violation 2014 MN-FIN $2,500,000
THE MCCLATCHY COMPANY Chatham Asset Management workplace safety or health violation 2015 OSHA $13,500
The Netherlands Insurance Company Liberty Mutual Insurance insurance violation 2012 TX-INS $8,000
The Netherlands Insurance Company Liberty Mutual Insurance insurance violation 2014 TX-INS $24,000
The Netherlands Insurance Company Liberty Mutual Insurance insurance violation 2014 TX-INS $6,000
THE NORTH RIVER INSURANCE CO. Fairfax Financial Holdings insurance violation 2009 VA-INS $28,916
The Northern Trust Company Northern Trust investor protection violation 2015 SEC $60,000
The Northwestern Mutual Life Insurance Co. Northwestern Mutual insurance violation 2013 MN-FIN $150,000
The Penn Mutual Life Insurance Co. Penn Mutual insurance violation 2019 NY-DFS $455,584
The Phoenix Insurance Company Travelers insurance violation 2014 TX-INS $10,628
The Phoenix Insurance Company Travelers insurance violation 2019 TX-INS $6,000
The Prudential Insurance Company of America Prudential Financial labor relations violation 2018 NLRB $17,842
The Prudential Insurance Company of America Prudential Financial insurance violation 2006 CA-INS $700,000
The Prudential Insurance Company of America Prudential Financial insurance violation 2011 MD-INS $75,000
The Prudential Insurance Company of America Prudential Financial insurance violation 2006 MN-FIN $5,000
The Prudential Insurance Company of America Prudential Financial insurance violation 2013 MN-FIN $1,000,000
The Prudential Insurance Company of America Prudential Financial insurance violation 2006 MO-INS $7,373
The Prudential Insurance Company of America Prudential Financial insurance violation 2015 MT-INS $5,000
The Prudential Insurance Company of America Prudential Financial insurance violation 2019 NY-DFS $49,020
The Prudential Insurance Company of America Prudential Financial insurance violation 2020 OR-FIN $25,000
THE RICHLAND TRUST COMPANY Park National Corp. banking violation 2006 FDIC $11,100
THE ROYAL BANK OF SCOTLAND GROUP PLC NatWest Group PLC banking violation 2013 FED $50,000,000
The Signal, LP, an Assurant Company Assurant insurance violation 2020 NY-DFS $2,800,000
The Standard Fire Insurance Co. Travelers insurance violation 2015 MD-INS $8,000
The Standard Fire Insurance Co. Travelers insurance violation 2015 MD-INS $10,000
The Standard Fire Insurance Company Travelers insurance violation 2014 TX-INS $9,795
The Standard Fire Insurance Company Travelers insurance violation 2016 TX-INS $5,000
The Standard Fire Insurance Company Travelers insurance violation 2018 TX-INS $27,855
The Standard Insurance Co. Meiji Yasuda Life Insurance insurance violation 2020 CT-INS $7,500
The Tokio Marine and Fire Insurance Company, Ltd. and Trans Pacific Insurance Co. Tokio Marine insurance violation 2003 CA-INS $42,500
The Travelers Home and Marine Insurance Co. Travelers insurance violation 2016 MN-FIN $15,000
The Travelers Indemnity Co. Travelers insurance violation 2019 MN-FIN $10,000
The Travelers Indemnity Co. et al. Travelers insurance violation 2010 KS-INS $10,000
THE TRAVELERS INDEMNITY CO. et al. Travelers insurance violation 2009 VA-INS $7,000
The Travelers Indemnity Co. of Connecticut Travelers insurance violation 2016 TX-INS $18,000
The Travelers Indemnity Company Travelers wage and hour violation 2009 WHD $21,283
The Travelers Indemnity Company Travelers insurance violation 2014 TX-INS $19,442
The Travelers Indemnity Company Travelers insurance violation 2014 TX-INS $11,500
The Travelers Indemnity Company Travelers insurance violation 2015 TX-INS $10,000
The Travelers Indemnity Company Travelers insurance violation 2015 TX-INS $7,500
The Travelers Indemnity Company Travelers insurance violation 2016 TX-INS $9,000
The Travelers Indemnity Company Travelers insurance violation 2018 TX-INS $7,500
The Travelers Indemnity Company of America et al. Travelers insurance violation 2020 DE-INS $6,000
The Travelers Indemnity Company of America et al. Travelers insurance violation 2014 MD-INS $55,000
The Travelers Indemnity Company of America et al. Travelers insurance violation 2014 MD-INS $20,400
The Travelers Indemnity Company of Connecticut Travelers insurance violation 2016 TX-INS $7,000
The Travelers Indemnity Company of Connecticut Travelers insurance violation 2018 TX-INS $20,000
The Travelers Indemnity Company ofAmerica Travelers insurance violation 2020 VA-INS $49,500
The United States Life Insurance Company American International Group insurance violation 2019 NY-DFS $171,902
The United States Life Insurance Company In the City of New York American International Group insurance violation 2012 MD-INS $75,000
Thomas Weisel Partners Stifel Financial investor protection violation 2005 FINRA $1,750,000
Thomas Weisel Partners LLC Stifel Financial investor protection violation 2004 SEC $12,500,000
Thomas Weisel Partners LLC Stifel Financial investor protection violation 2006 CT-SEC $52,480
Thomas Weisel Partners LLC Stifel Financial investor protection violation 2005 MULTI-FIN (*) $5,000,000
Thomas Weisel Partners, LLC Stifel Financial investor protection violation 2008 FINRA $200,000
Thrivent Financial For Lutherans Thrivent Financial insurance violation 2012 MD-INS $8,000
Thrivent Financial for Lutherans Thrivent Financial insurance violation 2013 WI-INS $5,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)