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
Berthel Fisher and Company Financial Services Inc. Berthel Fisher investor protection violation 2006 ND-SEC $8,000
Progressive Classic Insurance Company Progressive insurance violation 2005 OR-FIN $8,000
AMCO Insurance Company Nationwide insurance violation 2010 OR-FIN $8,000
Allied Home Mortgage Capital Corporation Americus Mortgage consumer protection violation 2009 PA-BKG $8,000
Allstate Property & Casualty Insurance Company Allstate insurance violation 2012 RI-FIN $8,000
Peerless Insurance Company Liberty Mutual Insurance insurance violation 2014 RI-FIN $8,000
USAA Casualty Insurance Company USAA insurance violation 2019 RI-FIN $8,000
AXA Insurance Company AXA insurance violation 2007 SC-INS $8,000
United Services Automobile Association USAA insurance violation 2011 SC-INS $8,000
AXA Art Insurance Corporation AXA insurance violation 2012 SC-INS $8,000
Safeco Insurance Company Liberty Mutual Insurance insurance violation 2013 SC-INS $8,000
Standard Fire Insurance Company Travelers insurance violation 2010 TX-INS $8,000
Accident Fund Insurance Co. of America AF Group insurance violation 2011 TX-INS $8,000
The Netherlands Insurance Company Liberty Mutual Insurance insurance violation 2012 TX-INS $8,000
Wausau Underwriters Insurance Company Liberty Mutual Insurance insurance violation 2013 TX-INS $8,000
Property and Casualty Insurance Company of Hartford Hartford Financial Services insurance violation 2014 TX-INS $8,000
Illinois National Insurance Company American International Group insurance violation 2015 TX-INS $8,000
Travelers Casualty and Surety Company Travelers insurance violation 2015 TX-INS $8,000
Wausau Underwriters Insurance Company Liberty Mutual Insurance insurance violation 2015 TX-INS $8,000
Liberty Mutual Fire Insurance Company Liberty Mutual Insurance insurance violation 2016 TX-INS $8,000
Berkley National Insurance Company W.R. Berkley insurance violation 2016 TX-INS $8,000
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2016 TX-INS $8,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2019 TX-INS $8,000
Hartford Fire Insurance Company Hartford Financial Services insurance violation 2019 TX-INS $8,000
RELIASTAR LIFE INSURANCE CO. Voya Financial insurance violation 2007 VA-INS $8,000
Allstate Insurance Company and Allstate Indemnity Company Allstate insurance violation 2007 VA-INS $8,000
American Economy Insurance Company Liberty Mutual Insurance insurance violation 2009 VA-INS $8,000
METROPOLITAN LIFE INSURANCE MetLife insurance violation 2010 VA-INS $8,000
Selective Insurance Company of America Selective Insurance Group insurance violation 2011 VA-INS $8,000
PEERLESS INSURANCE COMPANY Liberty Mutual Insurance insurance violation 2012 VA-INS $8,000
NATIONAL UNION FIRE INSURANCE American International Group insurance violation 2014 VA-INS $8,000
ALLIED INSURANCE COMPANY OF AMERICA Nationwide insurance violation 2016 VA-INS $8,000
Old Republic Title Ltd Old Republic International insurance violation 2012 WA-INS $8,000
Jackson National Life Insurance Company Prudential PLC insurance violation 2016 WA-INS $8,000
Lincoln National Life Insurance Company The Lincoln National insurance violation 2020 WA-INS $8,000
Austin Mutual Insurance Co. American Family Insurance insurance violation 2007 WI-INS $8,000
General Casualty Company of Wisconsin QBE Insurance insurance violation 2010 WI-INS $8,000
LIBERTY MUTUAL INSURANCE CO IH LAB Liberty Mutual Insurance environmental violation 2011 MA-ENV $8,000
Everest Reinsurance Company Everest Re Group insurance violation 2020 MN-FIN $8,000
IMTT BAYONNE LLC Macquarie environmental violation 2020 NJ-ENV $8,000
IMTT INTERTERMINALL PIPELINE Macquarie environmental violation 2004 NJ-ENV $8,000
Fidelity National Financial, Inc Fidelity National Financial wage and hour violation 2004 WHD $7,945
Ace Fire Underwriters Insurance Company Chubb Limited insurance violation 2010 OR-FIN $7,900
American Home Assurance Company American International Group insurance violation 2014 TX-INS $7,848
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2010 MSHA $7,840
Ruesch International, Inc. Western Union economic sanction violation 2004 OFAC $7,811
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $7,800
Lincoln National Life Insurance Company Lincoln National insurance violation 2020 VA-INS $7,800
Huntington Bancshares Incorporated Huntington Bancshares Family and Medical Leave Act 2015 WHD $7,788
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $7,774
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLC Louis Dreyfus environmental violation 2013 IN-ENV $7,750
Continental Western Insurance Co. W.R. Berkley insurance violation 2007 MO-INS $7,708
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $7,707
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $7,700
Wheelabrator Portsmouth Inc. Macquarie environmental violation 2016 VA-ENV $7,669
CITICORP CREDIT CARD SERVICES, INC. (USA) Citigroup workplace safety or health violation 2014 OSHA $7,650
Bank of Hawaii Bank of Hawaii wage and hour violation 2018 WHD $7,631
NEOVIA LOGISTICS SERVICES, LLC Goldman Sachs workplace safety or health violation 2017 OSHA $7,605
Marsh & McLennan Agency LLC Marsh & McLennan insurance violation 2018 TX-INS $7,600
HSBC Bank HSBC wage and hour violation 2006 WHD $7,599
ProEquities, Inc. Dai-ichi Life investor protection violation 2018 CT-SEC $7,590
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2010 MSHA $7,578
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $7,578
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2015 MSHA $7,578
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2015 MSHA $7,578
Citizens Bank of Rhode Island Citizens Financial Group environmental violation 2007 RI-ENV $7,510
IMTT, INC. Macquarie railroad safety violation 2011 FRA $7,500
International Matex Tank Terminals Macquarie railroad safety violation 2011 FRA $7,500
Xstrata Copper Glencore railroad safety violation 2011 FRA $7,500
IMTT, INC. Macquarie railroad safety violation 2015 FRA $7,500
IMTT BAYONNE Macquarie railroad safety violation 2008 FRA $7,500
BankAtlantic Truist Financial economic sanction violation 2008 OFAC $7,500
Old National Bank Old National Bancorp banking violation 2004 OCC $7,500
Bank of America Bank of America discriminatory practices (non-employment) 2013 HUD $7,500
TIAA-CREF TIAA aviation safety violation 2015 FAA $7,500
GMAC Mortgage, LLC dba Ditech Ally Financial consumer protection violation 2011 AZ-DFS $7,500
GMAC Mortgage, LLC Ally Financial consumer protection violation 2011 AZ-DFS $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2008 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2012 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $7,500
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2017 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $7,500
Unitrin Auto and Home Insurance Co. Kemper insurance violation 2006 CO-INS $7,500
Berkshire Life Insurance Company of America Guardian Life Insurance insurance violation 2019 CT-INS $7,500
Lincoln Life & Annuity Company of New York Lincoln National insurance violation 2019 CT-INS $7,500
Allstate Indemnity Co. Allstate insurance violation 2020 CT-INS $7,500
American National Property & Casualty Co. American National Insurance insurance violation 2005 FL-OFR $7,500
Sentry Insurance A Mutual Company Sentry Insurance insurance violation 2005 FL-OFR $7,500
CUNA Mutual Life Insurance Co. CUNA Mutual insurance violation 2007 FL-OFR $7,500
Moneygram Payment Systems, Inc. MoneyGram International consumer protection violation 2015 FL-OFR $7,500
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2005 IL-SEC $7,500
Allied Home Mortgage Corp. Americus Mortgage consumer protection violation 2012 IL-BKG $7,500
Southwest Securities, Inc. Hilltop Holdings investor protection violation 2012 IL-SEC $7,500
Fidelity Brokerage Services LLC Fidelity Investments investor protection violation 2011 IN-SEC $7,500
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)