Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$323,889,987,491
Number of Records: 
5,839
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$82,695,676,034210
JPMorgan Chase$34,517,828,993151
Citigroup$25,045,655,764120
Wells Fargo$21,139,073,231172
Deutsche Bank$17,995,700,77855
UBS$16,782,800,91082
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,332,95016
Credit Suisse$10,409,957,62631


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
Old Republic Insurance Company Old Republic International insurance violation 2019 TX-INS $5,850
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLC Invesco workplace safety or health violation 2011 OSHA $5,850
Illinois National Insurance Company American International Group insurance violation 2012 TX-INS $5,856
DITECH INC Ditech Holding Corporation workplace safety or health violation 2014 OSHA $5,880
Federal Insurance Co. Chubb Limited insurance violation 2008 MO-INS $5,900
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $5,900
Praetorian Insurance Company QBE Insurance insurance violation 2019 MD-INS $5,920
Protective Life Insurance Co. Dai-ichi Life insurance violation 2004 FL-OFR $5,950
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $5,961
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2013 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2014 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2014 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2014 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2012 MSHA $5,961
Bank of America Corporation Bank of America wage and hour violation 2004 WHD $5,972
Louis Dreyfus Company LLC Louis Dreyfus railroad safety violation 2016 FRA $6,000
CNG FINANCIAL CORPORATION CNG Financial labor relations violation 2001 NLRB $6,000
IMPERIAL-SAVANNAH, L.P. Louis Dreyfus environmental violation 2012 EPA $6,000
PRUDENTIAL Prudential Financial environmental violation 2011 EPA $6,000
IMTT BAYONNE 340171219400046 Macquarie environmental violation 2002 EPA $6,000
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2017 EPA $6,000
MORGAN STANLEY - 2000 WESTCHESTER AVE Morgan Stanley environmental violation 2011 EPA $6,000
Louis Dreyfus Company LLC Louis Dreyfus railroad safety violation 2018 FRA $6,000
Interactive Brokers, LLC Interactive Brokers Group investor protection violation 2013 AR-SEC $6,000
Ticor Title Company of California Fidelity National Financial insurance violation 2018 CA-INS $6,000
Commerce and Industry Insurance Co. American International Group insurance violation 2005 CO-INS $6,000
Old Republic Insurance Co. Old Republic International insurance violation 2006 CO-INS $6,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2006 CO-INS $6,000
Nationwide Mutual Fire Insurance Co. Nationwide insurance violation 2007 CO-INS $6,000
Nationwide Property and Casualty Insurance Co. Nationwide insurance violation 2007 CO-INS $6,000
PHH Mortgage Corp. dba Century Mortgage Ocwen Financial consumer protection violation 2009 CT-BKG $6,000
Life Insurance Company of the Southwest National Life Group insurance violation 2014 DE-INS $6,000
The Travelers Indemnity Company of America et al. Travelers insurance violation 2020 DE-INS $6,000
STANDARD GUARANTY INSURANCE COMPANY Assurant insurance violation 2001 FL-OFR $6,000
Globe Life and Accident Insurance Co. Globe Life Inc. insurance violation 2001 FL-OFR $6,000
Ace American Insurance Co. Chubb Limited insurance violation 2003 FL-OFR $6,000
Continental Western Insurance Co. W.R. Berkley insurance violation 2012 KS-INS $6,000
Nationstar Mortgage LLC Mr. Cooper Group consumer protection violation 2016 KY-FIN $6,000
Axa Insurance Co. AXA insurance violation 2019 LA-INS $6,000
Zurich Direct Zurich Insurance insurance violation 2002 MA-INS $6,000
Harleysville Worcester Insurance Company Nationwide insurance violation 2002 MA-INS $6,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2013 MD-INS $6,000
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2014 MD-INS $6,000
United of Omaha Life Insurance Co. Mutual of Omaha insurance violation 2000 ME-INS $6,000
Hartford Accident and Indemnity Co. Hartford Financial Services insurance violation 2001 MN-FIN $6,000
United Services Automobile Association et al. USAA insurance violation 2007 MO-INS $6,000
Transamerica Life Insurance Co. Aegon insurance violation 2019 MO-INS $6,000
Investment Centers of America Inc. LPL Financial investor protection violation 2006 ND-SEC $6,000
MoneyGram Payment Systems, Inc. MoneyGram International consumer protection violation 2008 NE-DBF $6,000
Ticor Title Insurance Company Fidelity National Financial insurance violation 2007 OR-FIN $6,000
First American Title Insurance Company of Oregon First American Financial insurance violation 2008 OR-FIN $6,000
Progressive Classic Insurance Company Progressive insurance violation 2013 OR-FIN $6,000
Conseco Life Insurance Company CNO Financial insurance violation 2004 SC-INS $6,000
Hartford Fire Insurance Company Hartford Financial Services insurance violation 2008 TX-INS $6,000
Travelers Casualty and Surety Company Travelers insurance violation 2012 TX-INS $6,000
Federal Insurance Company Chubb Limited insurance violation 2013 TX-INS $6,000
The Netherlands Insurance Company Liberty Mutual Insurance insurance violation 2014 TX-INS $6,000
Ace American Insurance Company Chubb Limited insurance violation 2015 TX-INS $6,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2015 TX-INS $6,000
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2015 TX-INS $6,000
American Guarantee and Liability Insurance Company Zurich Insurance insurance violation 2015 TX-INS $6,000
New Hampshire Insurance Company American International Group insurance violation 2016 TX-INS $6,000
American Zurich Insurance Company Zurich Insurance insurance violation 2017 TX-INS $6,000
National Interstate Insurance Company American Financial Group insurance violation 2017 TX-INS $6,000
Hartford Casualty Insurance Company Hartford Financial Services insurance violation 2019 TX-INS $6,000
The Phoenix Insurance Company Travelers insurance violation 2019 TX-INS $6,000
Lincoln National life Insurance Company Lincoln National insurance violation 2011 UT-INS $6,000
Genworth Life and Annuity Insurance Company Genworth Financial insurance violation 2011 UT-INS $6,000
Sentry Insurance A Mutual Company Sentry Insurance insurance violation 2011 UT-INS $6,000
State Farm Mutual Automobile Insurance Company State Farm Insurance insurance violation 2007 VA-INS $6,000
United Services Automobile Association USAA insurance violation 2007 VA-INS $6,000
LIBERTY INSURANCE CORP., ET AL Liberty Mutual Insurance insurance violation 2009 VA-INS $6,000
Travelers Property Casualty Co. of America Travelers insurance violation 2009 VA-INS $6,000
FOREMOST INSURANCE CO. Zurich Insurance insurance violation 2010 VA-INS $6,000
Ticor Title Company Fidelity National Financial insurance violation 2017 WA-INS $6,000
INTERNATIONAL AUTOMOTIVE COMPONENTS Invesco workplace safety or health violation 2009 OSHA $6,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $6,000
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $6,000
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $6,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2015 MSHA $6,062
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2015 NE-DBF $6,100
Virginia Surety Company, Inc. Assurant insurance violation 2007 OR-FIN $6,100
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $6,100
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $6,100
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $6,115
Gas Incorporated Macquarie motor vehicle safety violation 2012 FMCSA $6,140
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2019 MSHA $6,148
National City Mortgage, Co. PNC Financial Services wage and hour violation 2004 WHD $6,150
NATIONWIDE MUTUAL INS CO/LOWER SALFORD Nationwide environmental violation 2017 EPA $6,150
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $6,153
ELEPHANT INSURANCE COMPANY Admiral Group insurance violation 2013 VA-INS $6,154
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,188
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,188
United Services Automobile Association USAA insurance violation 2018 OR-FIN $6,200
Bank of America Bank of America wage and hour violation 2008 WHD $6,209
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2016 MSHA $6,225
UBS Financial Services Inc. UBS wage and hour violation 2018 WHD $6,246
Trustmark National Bank Trustmark banking violation 2012 OCC $6,250
NOBLE AMERICAS SOUTH BEND ETHANOL LLC Vitol environmental violation 2009 EPA $6,250
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