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
GMAC Mortgage, LLC Ally Financial environmental violation 2010 AL-ENV $5,505
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $5,504
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $5,504
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,503
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,503
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $5,503
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $5,503
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2012 MSHA $5,503
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $5,503
Wachovia Bank Wells Fargo economic sanction violation 2005 OFAC $5,500
American Express Company American Express economic sanction violation 2004 OFAC $5,500
Arab Banking Corp. Arab Banking Corp. economic sanction violation 2004 OFAC $5,500
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $5,500
Bank One JPMorgan Chase economic sanction violation 2004 OFAC $5,500
Citibank Citigroup economic sanction violation 2004 OFAC $5,500
Commerzbank AG Commerzbank economic sanction violation 2004 OFAC $5,500
Deutsche Bank Deutsche Bank economic sanction violation 2004 OFAC $5,500
HSBC Bank USA HSBC economic sanction violation 2004 OFAC $5,500
Credit Lyonnais, NY Credit Agricole economic sanction violation 2003 OFAC $5,500
Deutsche Bank A.G. Deutsche Bank economic sanction violation 2003 OFAC $5,500
HSBC Bank USA HSBC economic sanction violation 2003 OFAC $5,500
National City Bank PNC Financial Services economic sanction violation 2003 OFAC $5,500
Wells Fargo Bank Wells Fargo economic sanction violation 2003 OFAC $5,500
American Family Mutual Insurance Co. American Family Insurance insurance violation 2007 CO-INS $5,500
Conseco Senior Health Insurance Co. CNO Financial insurance violation 2000 FL-OFR $5,500
GREAT AMERICAN ALLIANCE INSURANCE COMPANY American Financial Group insurance violation 2001 FL-OFR $5,500
Jackson National Life Insurance Co. Prudential PLC insurance violation 2004 FL-OFR $5,500
Fireman's Fund Insurance Co. Allianz insurance violation 2007 FL-OFR $5,500
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2010 MD-INS $5,500
United of Omaha Life Insurance Co. Mutual of Omaha insurance violation 2011 MD-INS $5,500
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2011 MD-INS $5,500
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2014 MD-INS $5,500
Liberty Mutual Insurance Co. et al. Liberty Mutual Insurance insurance violation 2015 MD-INS $5,500
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2009 NE-DBF $5,500
Securian Financial Services, Inc. Securian Financial consumer protection violation 2013 NE-DBF $5,500
Hartford Casualty Insurance Corporation Hartford Financial Services insurance violation 2011 TX-INS $5,500
American Home Assurance Company American International Group insurance violation 2013 TX-INS $5,500
Zurich American Insurance Company Zurich Insurance insurance violation 2014 TX-INS $5,500
State Farm Fire and Casualty Company State Farm Insurance insurance violation 2015 TX-INS $5,500
Twin City Fire Insurance Company Hartford Financial Services insurance violation 2015 TX-INS $5,500
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2016 TX-INS $5,500
United Insurance Company Kemper insurance violation 2012 UT-INS $5,500
New Hampshire Insurance Co. American International Group insurance violation 2020 TX-INS $5,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $5,500
Scott Danahy Naylon Co. Inc. Financial Institutions Inc. wage and hour violation 2005 WHD $5,495
Bowie Refined Coal, LLC Trafigura workplace safety or health violation 2020 MSHA $5,469
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 KY-FIN $5,465
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,460
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2015 NE-DBF $5,450
Pacific Resources Benefits Advisors, LLC Brown & Brown tax violations 2014 CT-AG $5,400
New Hampshire Insurance Co. American International Group insurance violation 2002 FL-OFR $5,400
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2012 NE-DBF $5,400
UNUM GROUP CORPORATION Unum workplace safety or health violation 2011 OSHA $5,400
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $5,395
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $5,390
IAC Springfield, LLC Invesco Family and Medical Leave Act 2015 WHD $5,377
HSBC North America Inc HSBC wage and hour violation 2006 WHD $5,357
Bristol West Insurance Co. Zurich Insurance insurance violation 2008 ID-INS $5,330
LM Insurance Corporation Liberty Mutual Insurance insurance violation 2014 TX-INS $5,325
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2014 MSHA $5,305
Group Hospitalization & Medical Services, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $5,300
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2017 TX-INS $5,300
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2005 MSHA $5,300
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,300
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $5,300
Lansing Trade Group LLC Lansing Trade Group environmental violation 2016 EPA $5,296
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,280
Ace American Insurance Company Chubb Limited insurance violation 2017 TX-INS $5,255
City National Bank Royal Bank of Canada banking violation 2010 OCC $5,250
International Matex Tank Terminals Macquarie railroad safety violation 2007 FRA $5,250
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2009 NE-DBF $5,250
DEUTSCHE BANK USA Deutsche Bank workplace safety or health violation 2013 OSHA $5,250
IMPERIAL SUGAR COMPANY Louis Dreyfus environmental violation 2009 EPA $5,240
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2019 MSHA $5,239
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $5,211
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $5,211
BUSEY BANK First Busey Corp. banking violation 2006 FDIC $5,200
United American Insurance Co. Globe Life Inc. insurance violation 2013 MD-INS $5,200
Sentry Insurance a Mutual Company Sentry Insurance insurance violation 2011 MO-INS $5,200
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INC Invesco workplace safety or health violation 2007 OSHA $5,200
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2000 MSHA $5,200
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $5,200
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $5,200
Wells Fargo Bank Wells Fargo Family and Medical Leave Act 2006 WHD $5,152
Compass Bank PNC Financial Services wage and hour violation 2005 WHD $5,105
Great Plains Specialty Finance, Inc., d/b/a Check 'n go CNG Financial consumer protection violation 2016 NE-DBF $5,100
CITIMORTGAGE, INC. Citigroup workplace safety or health violation 2007 OSHA $5,097
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,080
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $5,080
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $5,080
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $5,080
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $5,080
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $5,080
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $5,080
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2015 MSHA $5,080
Twin City Fire Insurance Company Hartford Financial Services insurance violation 2014 TX-INS $5,079
Univest Corporation of Pennsylvania Univest Financial Family and Medical Leave Act 2016 WHD $5,076
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $5,049
American Express Bank Ltd. American Express economic sanction violation 2004 OFAC $5,041
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,040
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,040
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)