« Return to search form

Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
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$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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 Parentsort icon Primary Offense Type Year Agency Penalty Amount
A.G. Edwards & Sons Inc. Wells Fargo investor protection violation 2008 TX-SEC $5,000
WELLS FARGO ADVISORS Wells Fargo investor protection violation 2015 VA-SEC $205,000
Wells Fargo Advisors LLC Wells Fargo investor protection violation 2016 VT-FIN $300,000
Wachovia Capital Markets LLC Wells Fargo investor protection violation 2007 MULTI-FIN $24,650,000
Wachovia Securities LLC Wells Fargo investor protection violation 2008 MULTI-FIN (*) $50,000,000
Wells Fargo Investments, LLC Wells Fargo investor protection violation 2009 MULTI-FIN $1,900,000
WELLS FARGO BANK #1692 Wells Fargo workplace safety or health violation 2013 OSHA $12,000
Wells Fargo & Co. Wells Fargo investor protection violation 2020 MD-AG $20,000,000
Wells Fargo Bank, N.A. Wells Fargo employment discrimination 2020 OFCCP $7,800,000
Wells Fargo & Co. Wells Fargo discriminatory practices (non-employment) 2019 private lawsuit-federal $10,000,000
Wells Fargo Wells Fargo discriminatory practices (non-employment) 2012 private lawsuit-federal $7,500,000
Wells Fargo Bank, N.A. Wells Fargo discriminatory practices (non-employment) 2012 private lawsuit-federal $7,500,000
Wells Fargo Bank N.A. Wells Fargo discriminatory practices (non-employment) 2011 private lawsuit-state $3,520,000
WFS Financial, Inc. Wells Fargo discriminatory practices (non-employment) 2004 private lawsuit-federal $4,550,000
Wells Fargo Bank Wells Fargo wage and hour violation 2020 private lawsuit-federal $10,928,870
Wells Fargo & Company Wells Fargo benefit plan administrator violation 2020 private lawsuit-federal $79,000,000
Wells Fargo Bank, N.A. Wells Fargo wage and hour violation 2020 private lawsuit-federal $25,696,122
Wells Fargo Bank, N.A. Wells Fargo privacy violation 2017 private lawsuit-federal $30,446,022
Gerber Life Insurance Company Western & Southern Financial Group wage and hour violation 2009 WHD $172,799
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2011 MD-INS $5,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2013 MD-INS $14,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2017 MD-INS $8,000
National Integrity Life Insurance Company Western & Southern Financial Group insurance violation 2018 NY-DFS $240,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2000 WA-INS $350,000
Western and Southern Life Insurance Company Western & Southern Financial Group insurance violation 2005 MULTI-FIN $2,400,000
Gerber Life Insurance Co. Western & Southern Financial Group insurance violation 2020 NC-INS $3,635,665
Paymap Inc. Western Union consumer protection violation 2015 CFPB $38,400,000
Ruesch International, Inc. Western Union economic sanction violation 2004 OFAC $7,811
Western Union Company Western Union anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $586,000,000
Western Union Financial Services, Inc. Western Union economic sanction violation 2019 OFAC $401,697
Western Union Co. Western Union consumer protection violation 2017 MULTI-AG $5,000,000
Western Union Financial Services Western Union consumer protection violation 2005 MULTI-AG $8,529,000
Western Union Financial Services, Inc. Western Union anti-money-laundering deficiencies 2010 MULTI-AG $94,000,000
Western Union Financial Services, Inc. Western Union consumer protection violation 2008 AZ-DFS $2,000,000
Western Union International Services LLC Western Union consumer protection violation 2019 FL-OFR $10,000
Western Union Financial Services, Inc. Western Union anti-money-laundering deficiencies 2002 NY-DFS $8,000,000
Western Union Western Union anti-money-laundering deficiencies 2018 NY-DFS $60,000,000
WESTERN UNION Western Union workplace safety or health violation 2015 OSHA $11,000
WEX Bank and Higher One, Inc. WEX Inc. banking violation 2015 FDIC $34,980,000
Watson Wyatt & Co. Willis Towers Watson labor relations violation 2005 NLRB $91,000
Willis Group Willis Towers Watson employment discrimination 2011 private lawsuit-federal $11,595,038
Willis Group Willis Towers Watson employment discrimination 2008 private lawsuit-federal $12,757,949
Willis Group Holdings Ltd. Willis Towers Watson consumer protection violation 2007 FL-AG $2,600,000
Willis Group Holdings Ltd. Willis Towers Watson price-fixing or anti-competitive practices 2005 NY-AG $50,000,000
Watson Wyatt & Company Willis Towers Watson False Claims Act and related 2005 USAO $689,828
Wintrust Financial Corporation Wintrust Financial Corp. banking violation 2019 FED $1,012,500
Woodforest National Bank Woodforest National Bank banking violation 2010 OCC $33,000,000
WOORI USA CORP Woori Bank motor vehicle safety violation 2010 FMCSA $6,550
World Acceptance Corporation World Acceptance Corporation wage and hour violation 2019 WHD $5,549
World Acceptance Corporation, Inc World Acceptance Corporation wage and hour violation 2019 WHD $6,582
World Acceptance Corporation World Acceptance Corporation Foreign Corrupt Practices Act 2020 SEC $21,700,000
Vantiv LLC Worldpay wage and hour violation 2014 WA-DLI $34,780
Wilmington Savings Fund Society, Federal Savings Bank WSFS Financial Corp. banking violation 2019 OCC $85,265
Zions First National Bank Zions Bancorporation banking violation 2011 OCC $8,000,000
Zions Bancorporation Zions Bancorporation wage and hour violation 2009 WHD $15,347
ZB N.A. (fka Zions First National Bank) Zions Bancorporation consumer protection violation 2017 USAO $3,600,000
Zurich Financial Services Zurich Insurance accounting fraud or deficiencies 2008 SEC $25,000,000
Zurich Capital Markets Inc. Zurich Insurance investor protection violation 2007 SEC $16,800,000
Farmer's Group, Inc. Zurich Insurance wage and hour violation 2010 WHD $565,065
Farmer's Group, Inc. Zurich Insurance wage and hour violation 2010 WHD $754,148
Farmer's Group, Inc. Zurich Insurance wage and hour violation 2010 WHD $20,122
Farmer's Group, Inc. Zurich Insurance wage and hour violation 2010 WHD $209,170
Farmer's Insurance Zurich Insurance wage and hour violation 2011 WHD $1,520,705
Coast National Insurance Zurich Insurance wage and hour violation 2002 private lawsuit-state $18,000,000
Farmers Group, Inc. Zurich Insurance benefit plan administrator violation 2012 private lawsuit-federal $6,850,000
Zurich Life Insurance Company Ltd Zurich Insurance tax violations 2019 DOJ_TAX $5,115,000
Farmers Insurance Group Zurich Insurance discriminatory practices (non-employment) 2001 OH-AG $4,300,000
Farmers Insurance Group Zurich Insurance consumer protection violation 2003 TX-AG $2,400,000
Universal Underwriters Life Insurance Co. Zurich Insurance consumer protection violation 2008 TX-AG $2,400,000
Zurich American Insurance Company Zurich Insurance price-fixing or anti-competitive practices 2006 MULTI-AG $171,700,000
Zurich American Insurance Company Zurich Insurance price-fixing or anti-competitive practices 2006 OH-AG $7,000,000
Zurich American Insurance Company et al. Zurich Insurance False Claims Act and related 2010 NY-AG $37,500,000
Coast National Insurance Co. Zurich Insurance insurance violation 2009 AZ-INS $38,000
Foremost Insurance Company Grand Rapids, Michigan Zurich Insurance insurance violation 2015 AZ-INS $58,000
Foremost Property & Casualty Insurance Co. Zurich Insurance insurance violation 2015 AZ-INS $21,000
Coast National Insurance Co. Zurich Insurance insurance violation 2005 CA-INS $120,000
Zurich American Insurance Co. Zurich Insurance insurance violation 2006 CA-INS $15,000
21st Century Insurance Co. and 21st Century Casualty Co. Zurich Insurance insurance violation 2007 CA-INS $50,000
Coast National Insurance Co. Zurich Insurance insurance violation 2009 CA-INS $150,000
Mid-Century Insurance Co. Zurich Insurance insurance violation 2011 CO-INS $255,500
Mid-Century Insurance Co. Zurich Insurance insurance violation 2011 CO-INS $66,000
Bristol West Insurance Co. Zurich Insurance insurance violation 2011 CO-INS $161,500
Zurich Insurance Group Zurich Insurance insurance violation 2010 CT-INS $235,000
Mid-Century Insurance Co. Zurich Insurance insurance violation 2019 CT-INS $64,000
21st Century Centennial Insurance Co. Zurich Insurance insurance violation 2016 DE-INS $27,500
Foremost Property and Casualty Insurance Co. et al. Zurich Insurance insurance violation 2019 DE-INS $11,000
Zurich American Insurance Co. Zurich Insurance insurance violation 2002 FL-OFR $44,500
American Guarantee and Liability Insurance Co. Zurich Insurance insurance violation 2002 FL-OFR $10,850
Security National Insurance Co. Zurich Insurance insurance violation 2002 FL-OFR $31,500
Bristol West Insurance Co. Zurich Insurance insurance violation 2004 FL-OFR $26,500
Zurich American Insurance Co. Zurich Insurance insurance violation 2008 FL-OFR $8,000
Bristol West Insurance Co. Zurich Insurance insurance violation 2008 ID-INS $5,330
Zurich American Insurance Co. Zurich Insurance insurance violation 2015 ID-INS $5,000
Universal Underwriters Insurance Company Zurich Insurance insurance violation 2006 IN-INS $948,240
Mid-Century Insurance Co. Zurich Insurance insurance violation 2012 IN-INS $5,000
Farmers Insurance Company, Inc. Zurich Insurance insurance violation 2013 KS-INS $50,000
Farmers Insurance Company, Inc. Zurich Insurance insurance violation 2016 KS-INS $20,000
Zurich Direct Zurich Insurance insurance violation 2002 MA-INS $6,000
Zurich Life Insurance Company of America Zurich Insurance insurance violation 2002 MA-INS $12,000
American Zurich Insurance Company Zurich Insurance insurance violation 2003 MA-INS $40,000
Zurich American Insurance Co. et al. Zurich Insurance insurance violation 2011 MD-INS $30,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)