Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$331,558,339,161
Number of Records: 
6,166
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$82,764,013,078219
JPMorgan Chase$35,819,302,225162
Citigroup$25,454,366,764125
Wells Fargo$21,358,750,745184
Deutsche Bank$18,286,625,30261
UBS$16,792,860,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,473,904,00028
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)
Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
Wintrust Financial Corporation Wintrust Financial Corp. banking violation 2019 FED $1,012,500
WL Ross & Co. LLC Invesco investor protection violation 2016 SEC $2,300,000
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
Workmen's Auto Insurance Co. Mercury General Corporation insurance violation 2006 CA-INS $100,000
Workmen's Auto Insurance Company Mercury General Corporation insurance violation 2003 IN-INS $8,000
World Acceptance Corporation World Acceptance Corporation wage and hour violation 2019 WHD $5,549
World Acceptance Corporation World Acceptance Corporation Foreign Corrupt Practices Act 2020 SEC $21,700,000
World Acceptance Corporation, Inc World Acceptance Corporation wage and hour violation 2019 WHD $6,582
World Group Securities, Inc. Aegon investor protection violation 2010 SEC $200,000
World Group Securities, Inc. Aegon investor protection violation 2010 AZ-SEC $853,501
World Group Securities, Inc. Aegon investor protection violation 2004 ID-SEC $15,000
World Group Securities, Inc. Aegon investor protection violation 2006 MO-SEC $228,600
XL Insurance America Inc. AXA insurance violation 2011 TX-INS $7,000
XL Insurance America, Inc. AXA insurance violation 2018 TX-INS $32,000
XL Insurance America, Inc. AXA insurance violation 2019 TX-INS $5,000
XL LIFE INSURANCE AND ANNUITY AXA insurance violation 2006 VA-INS $10,000
XL Specialty Insurance Co. AXA insurance violation 2012 MO-INS $21,000
XL Specialty Insurance Co. AXA insurance violation 2020 TX-INS $7,000
XL Specialty Insurance Company AXA insurance violation 2011 TX-INS $25,000
XL Specialty Insurance Company AXA insurance violation 2014 TX-INS $8,500
XL Specialty Insurance Company AXA insurance violation 2018 TX-INS $30,000
Xstrata Copper Glencore railroad safety violation 2011 FRA $7,500
Xstrata Copper Glencore railroad safety violation 2012 FRA $12,000
ZB N.A. (fka Zions First National Bank) Zions Bancorporation consumer protection violation 2017 USAO $3,600,000
Zenith Insurance Co. Fairfax Financial Holdings employment discrimination 2006 EEOC $180,000
Zenith Insurance Co. Fairfax Financial Holdings insurance violation 2012 MO-INS $93,842
ZENITH INSURANCE COMPANY Fairfax Financial Holdings insurance violation 2001 FL-OFR $6,850
Zions Bancorporation Zions Bancorporation wage and hour violation 2009 WHD $15,347
Zions First National Bank Zions Bancorporation banking violation 2011 OCC $8,000,000
ZURICH AMERICAN INS CO Zurich Insurance wage and hour violation 2018 IL-DOL $13,865
Zurich American Insurance Co. Zurich Insurance insurance violation 2006 CA-INS $15,000
Zurich American Insurance Co. Zurich Insurance insurance violation 2002 FL-OFR $44,500
Zurich American Insurance Co. Zurich Insurance insurance violation 2008 FL-OFR $8,000
Zurich American Insurance Co. Zurich Insurance insurance violation 2015 ID-INS $5,000
Zurich American Insurance Co. Zurich Insurance insurance violation 2011 MD-INS $125,000
Zurich American Insurance Co. et al. Zurich Insurance insurance violation 2011 MD-INS $30,000
Zurich American Insurance Co. et al. Zurich Insurance insurance violation 2013 ME-INS $35,350
Zurich American Insurance Co. et al. Zurich Insurance insurance violation 2016 MO-INS $250,000
Zurich American Insurance Co. of Illinois Zurich Insurance insurance violation 2020 TX-INS $10,800
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 Zurich Insurance insurance violation 2013 NY-DFS $4,560,000
Zurich American Insurance Company Zurich Insurance insurance violation 2015 SD-INS $100,000
Zurich American Insurance Company Zurich Insurance insurance violation 2016 SD-INS $15,000
Zurich American Insurance Company Zurich Insurance insurance violation 2009 TX-INS $15,000
Zurich American Insurance Company Zurich Insurance insurance violation 2010 TX-INS $45,000
Zurich American Insurance Company Zurich Insurance insurance violation 2011 TX-INS $10,000
Zurich American Insurance Company Zurich Insurance insurance violation 2012 TX-INS $35,000
Zurich American Insurance Company Zurich Insurance insurance violation 2014 TX-INS $47,735
Zurich American Insurance Company Zurich Insurance insurance violation 2014 TX-INS $5,500
Zurich American Insurance Company Zurich Insurance insurance violation 2015 TX-INS $90,000
Zurich American Insurance Company Zurich Insurance insurance violation 2015 TX-INS $15,200
Zurich American Insurance Company Zurich Insurance insurance violation 2016 TX-INS $35,012
Zurich American Insurance Company Zurich Insurance insurance violation 2017 TX-INS $8,500
Zurich American Insurance Company Zurich Insurance insurance violation 2017 TX-INS $32,400
Zurich American Insurance Company Zurich Insurance insurance violation 2018 TX-INS $42,000
Zurich American Insurance Company Zurich Insurance insurance violation 2019 TX-INS $15,000
Zurich American Insurance Company Zurich Insurance insurance violation 2016 WA-INS $20,000
Zurich American Insurance Company et al. Zurich Insurance False Claims Act and related 2010 NY-AG $37,500,000
Zurich Capital Markets Inc. Zurich Insurance investor protection violation 2007 SEC $16,800,000
Zurich Direct Zurich Insurance insurance violation 2002 MA-INS $6,000
Zurich Financial Services Zurich Insurance accounting fraud or deficiencies 2008 SEC $25,000,000
Zurich Insurance Group Zurich Insurance insurance violation 2010 CT-INS $235,000
Zurich Life Insurance Company Ltd Zurich Insurance tax violations 2019 DOJ_TAX $5,115,000
Zurich Life Insurance Company of America Zurich Insurance insurance violation 2002 MA-INS $12,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)