Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$317,365,347,106
Number of Records: 
2,876
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$82,630,515,262182
JPMorgan Chase$34,512,629,073139
Citigroup$24,998,997,07298
Wells Fargo$21,102,241,886148
Deutsche Bank$17,970,400,77851
UBS$16,756,803,33165
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98738
Credit Suisse$10,394,957,62629
BNP Paribas$9,892,332,95016


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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Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
BANK OF NEW YORK MELLON - 101 BARCLAY Bank of New York Mellon environmental violation 2005 EPA $15,000
Bankers Life and Casualty Co. CNO Financial privacy violation 2003 KS-AG $15,000
H&R Block Financial Advisors H&R Block privacy violation 2001 MO-AG $15,000
German American Bancorp German American Bancorp banking violation 2012 FDIC $15,000
WHEELABRATOR ENERGY COMPANY, INCORPORATED Macquarie workplace safety or health violation 2011 OSHA $15,000
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $15,000
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $15,000
Bowie Resources LLC Trafigura workplace safety or health violation 2011 MSHA $15,000
UNUM Unum wage and hour violation 2011 WA-DLI $15,070
WHEELABRATOR PORTSMOUTH INC - RDF FACILITY Macquarie environmental violation 2010 EPA $15,155
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2010 MSHA $15,225
Zions Bancorporation Zions Bancorporation wage and hour violation 2009 WHD $15,347
Umpqua Bank Umpqua Holdings wage and hour violation 2015 WA-DLI $15,350
BROADRIDGE FINANCIAL SOLUTIONS Broadridge Financial Solutions workplace safety or health violation 2018 OSHA $15,522
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $15,570
LOUIS DREYFUS CITRUS, INC. Louis Dreyfus environmental violation 2010 EPA $15,600
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2016 MSHA $15,700
First Interstate Bank First Interstate Bancsystem banking violation 2005 FED $15,750
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $15,900
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $15,971
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $15,971
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $15,971
Bowie Resources LLC Trafigura workplace safety or health violation 2011 MSHA $15,971
Bank of New York Mellon Bank of New York Mellon banking violation 2018 FED $16,000
Nationwide Mutual Insurance Company Nationwide wage and hour violation 2005 WHD $16,185
CITIZENS BUSINESS BANK CVB Financial banking violation 2009 FDIC $16,200
East West Bank East West Bancorp banking violation 2007 FED $16,245
Citigroup, N. A. Citigroup economic sanction violation 2008 OFAC $16,250
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $16,362
Seacoast National Bank Seacoast Banking Corporation of Florida banking violation 2006 OCC $16,500
HSBC HSBC wage and hour violation 2007 WHD $16,545
Chemoil Corporation Glencore wage and hour violation 2013 WHD $16,594
American Express Travel Related Services Co., Inc. American Express economic sanction violation 2007 OFAC $16,625
Sentinel Insurance Company, Ltd. Hartford Financial Services insurance violation 2014 NY-DFS $16,700
IAC GREENVILLE, LLC Invesco environmental violation 2013 EPA $16,870
American Family Life Assurance Co., known as Aflac Aflac Family and Medical Leave Act 2012 WHD $16,882
ASI SERVICES Progressive aviation safety violation 2015 FAA $17,000
JP Morgan Chase & Co. JPMorgan Chase economic sanction violation 2004 OFAC $17,303
Banco Popular North America, Inc. Popular Inc. wage and hour violation 2004 WHD $17,363
WHEELABRATOR BALTIMORE, LP Macquarie environmental violation 2003 EPA $17,500
IAC SPRINGFIELD, LLC Invesco environmental violation 2005 EPA $17,500
Lehman Brothers, Inc. Lehman Brothers wage and hour violation 2007 WHD $17,557
Lincoln Financial Group Trust Company, Inc. Lincoln National wage and hour violation 2018 WHD $17,567
WHEELABRATOR SAUGUS, INC. Macquarie workplace safety or health violation 2017 OSHA $17,600
FirstBank Puerto Rico First Bancorp (Puerto Rico) banking violation 2019 FDIC $17,700
CATHAY BANK Cathay General Bancorp banking violation 2011 FDIC $17,710
Fidelity National Financial, Inc Fidelity National Financial wage and hour violation 2008 WHD $17,845
Vitol, Inc. Vitol environmental violation 2016 EPA $17,934
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2013 MSHA $18,000
Northern Trust, IBC Northern Trust economic sanction violation 2003 OFAC $18,027
JP Morgan Chase Bank JPMorgan Chase economic sanction violation 2004 OFAC $18,094
International Matex Tank Terminals Macquarie railroad safety violation 2009 FRA $18,200
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $18,271
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $18,271
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2017 MSHA $18,320
American Express American Express economic sanction violation 2004 OFAC $18,391
MetLife Financial Services MetLife labor relations violation 2002 NLRB $18,500
Standard Insurance Company Meiji Yasuda Life Insurance employment discrimination 2011 OFCCP $18,505
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $18,583
Bank of America, National Association Bank of America labor relations violation 2013 NLRB $18,634
Bank of America, N.A. Bank of America wage and hour violation 2010 WHD $18,654
First Union Bank Wells Fargo economic sanction violation 2004 OFAC $18,740
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $18,800
Ace Cash Express, Inc. ACE Cash Express wage and hour violation 2012 WHD $18,852
Mortgage One Corporation HSBC wage and hour violation 2000 WHD $18,912
JP Morgan Chase Bank, NA JPMorgan Chase export control violation 2010 BIS $19,125
Branch Banking & Trust Co. Truist Financial economic sanction violation 2014 OFAC $19,125
Compass Bank Banco Bilbao Vizcaya Argentaria economic sanction violation 2013 OFAC $19,125
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2015 MSHA $19,300
JPMorgan Chase Bank JPMorgan Chase wage and hour violation 2004 WHD $19,373
IMTT-PIPELINE Macquarie environmental violation 2018 PHMSA $19,600
Transamerica Premier Life Insurance Co. Aegon consumer protection violation 2018 MA-AG $19,647
United American Insurance Company Globe Life Inc. wage and hour violation 2012 WHD $19,791
Deutsche Bank Trust Company Americas Deutsche Bank economic sanction violation 2013 OFAC $19,800
Santander Bank & Trust (Bahamas) Ltd Banco Santander economic sanction violation 2004 OFAC $20,000
First National Bank of Omaha First National of Nebraska banking violation 2005 OCC $20,000
UBS UBS environmental violation 2011 EPA $20,000
Fahnestock & Co., Inc. Oppenheimer Holdings investor protection violation 2000 SEC $20,000
American Bankers Insurance Co. Assurant consumer protection violation 2006 MA-AG $20,000
Liberty Mutual Insurance Co. Liberty Mutual Insurance consumer protection violation 2010 MA-AG $20,000
Metropolitan Property & Casualty MetLife consumer protection violation 2010 MA-AG $20,000
The Guardian Life Insurance Company of America Guardian Life Insurance consumer protection violation 2007 MA-AG $20,000
Farmer's Group, Inc. Zurich Insurance wage and hour violation 2010 WHD $20,122
BancFirst Insurance Services, Inc. BancFirst wage and hour violation 2014 WHD $20,229
CORPUS CHRISTI ALUMINA Glencore environmental violation 2007 EPA $20,488
CORPUS CHRISTI ALUMINA Glencore environmental violation 2007 EPA $20,488
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $20,500
IAC HURON, LLC Invesco workplace safety or health violation 2011 OSHA $20,940
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $21,000
The Travelers Indemnity Company Travelers wage and hour violation 2009 WHD $21,283
Trafigura AG Trafigura environmental violation 2015 EPA $21,450
Doral Mortgage Corp. Doral Financial wage and hour violation 2004 WHD $21,680
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $21,807
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $21,807
GREAT SOUTHERN BANK Great Southern Bancorp banking violation 2011 FDIC $21,935
REPUBLIC BANK & TRUST COMPANY Republic Bancorp banking violation 2009 FDIC $22,000
State Street Bank & Trust Co State Street Corp. economic sanction violation 2003 OFAC $22,000
MAINSOURCE BANK MainSource Financial Group banking violation 2010 FDIC $22,000
Royal Bank of Canada Royal Bank of Canada investor protection violation 2009 DE-AG $22,156
GE ENERGY MANAGEMENT GRID SOLUTIONS, LLC Synchrony Financial workplace safety or health violation 2015 OSHA $22,300
Bank of America Bank of America discriminatory practices (non-employment) 2013 HUD $22,449
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