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
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,040
J P Morgan Chase JPMorgan Chase Family and Medical Leave Act 2007 WHD $5,008
Keybank National Association KeyCorp banking violation 2015 OCC $5,005
IMTT BAYONNE Macquarie railroad safety violation 2014 FRA $5,000
Peter Cremer Company Cremer railroad safety violation 2011 FRA $5,000
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2005 FAA $5,000
UBS (USA) Inc UBS economic sanction violation 2003 OFAC $5,000
TD Banknorth Toronto-Dominion Bank labor relations violation 2006 NLRB $5,000
IMTT Bayonne Macquarie railroad safety violation 2003 FRA $5,000
International Matex Tank Terminals Macquarie railroad safety violation 2006 FRA $5,000
LANSING TRADE GROUP Lansing Trade Group railroad safety violation 2017 FRA $5,000
NEOVIA LOGISTICS Goldman Sachs aviation safety violation 2015 FAA $5,000
Bankers Life and Casualty Company CNO Financial privacy violation 2002 KY-AG $5,000
Discover Financial Services, Inc./Millenium Teleservices, Inc. Discover Financial Services privacy violation 2002 KY-AG $5,000
HealthNow New York Highmark Inc. consumer protection violation 2005 NY-AG $5,000
PNC Bank PNC Financial Services privacy violation 2002 KY-AG $5,000
Aon Risk Services Inc. of Washington Aon insurance violation 2002 AK-INS $5,000
Farmers Insurance Exchange et al. Farmers Insurance Exchange insurance violation 2013 AR-INS $5,000
Prospect Mortgage, LLC Homebridge Financial Services consumer protection violation 2011 AR-SEC $5,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2019 AR-SEC $5,000
Accident Fund Insurance Company of America AF Group insurance violation 2012 AZ-INS $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2002 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2002 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2004 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2005 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2007 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2010 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2011 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2011 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2011 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2012 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2012 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2012 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2012 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $5,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2013 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $5,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2016 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2016 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2016 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2016 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $5,000
Oscar Health Plan of California Mulberry Health insurance violation 2019 CA-MHC $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $5,000
Oscar Health Plan of California Mulberry Health insurance violation 2019 CA-MHC $5,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2007 CO-INS $5,000
ING USA Annuity and Life Insurance Co. Voya Financial insurance violation 2007 CO-INS $5,000
Prosper Marketplace, Inc. Prosper Marketplace investor protection violation 2010 CT-SEC $5,000
Ameritas Life Insurance Corp. Ameritas Mutual Holding Company insurance violation 2019 CT-INS $5,000
J.P. Morgan Securities LLC JPMorgan Chase investor protection violation 2018 DC-DISB $5,000
New York Life Insurance and Annuity Corp. New York Life Insurance insurance violation 2018 DE-INS $5,000
AXA Equitable Life Insurance Co. Equitable Holdings insurance violation 2018 DE-INS $5,000
Illinois National Insurance Co. American International Group insurance violation 2003 FL-OFR $5,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)