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Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$336,354,784,532
Number of Records: 
7,048
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$82,901,469,908264
JPMorgan Chase$36,060,746,133196
Citigroup$25,540,645,217156
Wells Fargo$21,874,892,841221
Deutsche Bank$18,341,457,30276
UBS$16,854,236,33499
Goldman Sachs$16,386,580,99666
NatWest Group PLC$13,516,771,85733
BNP Paribas$12,147,863,95019
Credit Suisse$10,732,400,12649


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
USAA General Indemnity Company USAA insurance violation 2018 OR-FIN $5,000
USAA General Indemnity Company USAA insurance violation 2016 RI-FIN $15,000
USAA Casualty Insurance Company USAA insurance violation 2019 RI-FIN $8,000
USAA Casualty Insurance Company USAA insurance violation 2020 RI-FIN $12,000
USAA Casualty Insurance Co. USAA insurance violation 2010 SC-INS $7,000
United Services Automobile Association USAA insurance violation 2011 SC-INS $8,000
United Services Automobile Association et al. USAA insurance violation 2018 TX-INS $40,000
United Services Automobile Association USAA insurance violation 2006 VA-INS $5,000
United Services Automobile Association USAA insurance violation 2007 VA-INS $6,000
UNITED SERVICES AUTOMOBILE ASSOCIATION ET AL. USAA insurance violation 2017 VA-INS $182,209
USAA CASUALTY INSURANCE CO ET AL. USAA insurance violation 2018 VA-INS $4,396,720
United Services Automobile Association (USAA) USAA insurance violation 2017 VT-FIN $85,000
USAA General Indemnity Co. et al. USAA insurance violation 2020 MD-INS $67,500
USAA Casualty Insurance Co. USAA insurance violation 2020 OR-FIN $50,000
USAA Federal Savings Bank USAA banking violation 2020 OCC $85,000,000
USAA Federal Savings Bank USAA banking violation 2020 OCC $382,500
USAA Casualty Insurance Company et al. USAA insurance violation 2021 NH-INS $25,000
United Services Automobile Association et al. USAA insurance violation 2021 VA-INS $10,000
United Services Automobile Association USAA insurance violation 2021 CT-INS $32,500
USAA Casualty Insurance Co. USAA insurance violation 2021 CT-INS $36,500
USAA Indemnity Co. USAA insurance violation 2021 CT-INS $32,500
USAA Casualty Insurance Company et al. USAA insurance violation 2021 KS-INS $5,000
Vanguard Group Vanguard Group employment discrimination 2010 EEOC $300,000
Vanguard Group, Inc. Vanguard Group employment discrimination 2008 EEOC $500,000
Vanguard Advisers Inc. Vanguard Group investor protection violation 2017 PA-BKG $23,480
Knight Securities, L.P. Virtu Financial investor protection violation 2004 SEC $66,500,000
KCG Americas LLC Virtu Financial investor protection violation 2015 SEC $1,055,197
Knight Capital Americas LLC Virtu Financial investor protection violation 2013 SEC $12,000,000
Knight Financial Products, LLC Virtu Financial investor protection violation 2009 SEC $2,040,000
Knight Securities, L.P. Virtu Financial investor protection violation 2002 SEC $75,000
Virtu Americas LLC Virtu Financial investor protection violation 2019 SEC $1,500,000
Knight Securities, L.P. Virtu Financial investor protection violation 2004 FINRA $12,500,000
Knight Securities L.P. Virtu Financial investor protection violation 2002 FINRA $1,500,000
Visa Inc. Visa consumer protection violation 2018 NM-AG $2,270,000
Visa USA Inc. Visa price-fixing or anti-competitive practices 2008 WV-AG $6,400,000
Noble Americas Corp. Vitol railroad safety violation 2012 FRA $15,000
Vitol Inc. and Vitol Capital Management Ltd. Vitol investor protection violation 2010 CFTC $6,000,000
Noble Americas Corp. Vitol investor protection violation 2010 CFTC $130,000
Vitol, Inc. Vitol employment discrimination 2012 EEOC $62,500
Noble Americas Corporation Vitol railroad safety violation 2017 FRA $6,500
Vitol Inc. Vitol energy market violation 2019 FERC $2,742,881
VITOL, S.A. Vitol kickbacks and bribery 2007 NY-MANDA $17,500,000
Vitol Inc. Vitol fraud 2020 CFTC (*) $95,700,000
Vitol Inc. Vitol Foreign Corrupt Practices Act 2020 DOJ_CRIMINAL $135,000,000
Vitol, Inc. Vitol environmental violation 2014 CA-ARB $70,000
Vitol Vitol environmental violation 2007 CA-ARB $150,000
Vitol Vitol environmental violation 2005 CA-ARB $20,000
Vitol S.A. Vitol environmental violation 2002 CA-ARB $25,000
Vitol S.A., Inc. Vitol environmental violation 2005 EPA $41,600
Vitol Inc. Vitol environmental violation 2014 EPA $30,394
Vitol, Inc. Vitol environmental violation 2015 EPA $14,047
Vitol, Inc. Vitol environmental violation 2016 EPA $17,934
Vitol Inc. Vitol environmental violation 2016 EPA $9,814
Vitol Vitol environmental violation 2017 EPA $35,000
VITOL SA, INC Vitol environmental violation 2002 EPA $95,000
ING America Voya Financial wage and hour violation 2010 WHD $21,986
Voya Financial Advisors, Inc. Voya Financial investor protection violation 2017 SEC $3,095,953
Voya Holdings Inc. Voya Financial investor protection violation 2018 SEC $3,600,000
ING Life Insurance and Annuity Co. Voya Financial benefit plan administrator violation 2013 EBSA $5,200,000
Voya Financial Advisors Inc. Voya Financial investor protection violation 2018 SEC $1,000,000
ING Life Insurance & Annuity Co. Voya Financial benefit plan administrator violation 2014 private lawsuit-federal $14,950,000
ING Groep N.V. Voya Financial benefit plan administrator violation 2013 private lawsuit-federal $3,500,000
ING Voya Financial investor protection violation 2006 MULTI-AG $33,000,000
ING Life Insurance and Annuity Company Voya Financial insurance violation 2013 MULTI-AG $10,700,000
ING USA Annuity and Life Insurance Co. Voya Financial insurance violation 2007 CO-INS $5,000
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial investor protection violation 2019 CT-SEC $1,015,000
Security Life of Denver Insurance Co. Voya Financial insurance violation 2016 FL-OFR $25,000
ING Financial Partners, Inc. Voya Financial investor protection violation 2008 IL-SEC $4,677,326
ING Financial Partners, Inc. Voya Financial investor protection violation 2012 MN-FIN $5,000
ING Life Insurance and Annuity Co. et al. Voya Financial insurance violation 2012 MN-FIN $200,000
Voya Insurance and Annuity Co. et al. Voya Financial insurance violation 2014 MN-FIN $1,250,000
ReliaStar Life Insurance Co. Voya Financial insurance violation 2014 MN-FIN $30,000
ReliaStar Insurance Co. Voya Financial insurance violation 2017 MN-FIN $5,000
ING Life Insurance and Annuity Company Voya Financial investor protection violation 2006 NH-BSR $3,000,000
ING Life Insurance and Annuity Company Voya Financial insurance violation 2004 OR-FIN $10,000
Security Life of Denver Insurance Company Voya Financial insurance violation 2008 PA-INS $20,000
RELIASTAR LIFE INSURANCE CO Voya Financial insurance violation 2001 VA-INS $9,000
RELIASTAR LIFE INSURANCE CO. Voya Financial insurance violation 2007 VA-INS $8,000
Voya Financial Advisors, Inc. Voya Financial investor protection violation 2020 SEC $22,919,155
VOYA Financial Advisors Inc. Voya Financial investor protection violation 2016 FINRA $4,550,000
ING Groep N.V. Voya Financial investor protection violation 2013 FINRA $1,200,000
ING America Insurance Holdings Inc. Voya Financial investor protection violation 2006 FINRA $7,000,000
ING Funds Distributor Voya Financial investor protection violation 2005 FINRA $1,500,000
ING Financial Partners, Inc. Voya Financial investor protection violation 2004 FINRA $200,000
ReliaStar Life Insurance Company of New York Voya Financial insurance violation 2020 NY-DFS $169,000
W.R. Berkley Corp. W.R. Berkley insurance violation 2017 CA-INS $3,015,000
Admiral Risk Insurance Services, Inc. W.R. Berkley insurance violation 2017 CA-INS $1,542,500
Admiral Insurance Co. W.R. Berkley insurance violation 2017 CA-INS $1,542,500
Continental Western Insurance Co. W.R. Berkley insurance violation 2019 CT-INS $23,000
Continental Western Insurance Co. W.R. Berkley insurance violation 2008 KS-INS $10,000
Continental Western Insurance Co. W.R. Berkley insurance violation 2012 KS-INS $6,000
Continental Western Insurance Co. W.R. Berkley insurance violation 2007 MO-INS $7,708
Continental Western Insurance Co. W.R. Berkley insurance violation 2014 MO-INS $12,000
Berkley National Insurance Company W.R. Berkley insurance violation 2016 TX-INS $8,000
CAROLINA CASUALTY INSURANCE CO W.R. Berkley insurance violation 2011 VA-INS $10,000
CAROLINA CASUALTY INSURANCE CO W.R. Berkley insurance violation 2012 VA-INS $5,000
ACADIA INSURANCE COMPANY ET AL W.R. Berkley insurance violation 2018 VA-INS $91,793
Acadia Insurance Company et al. W.R. Berkley insurance violation 2019 VA-INS $9,341
Berkley National Insurance Company W.R. Berkley insurance violation 2018 WA-INS $10,000
CONTINENTAL WESTERN INSURANCE COMPANY W.R. Berkley insurance violation 2020 WA-INS $10,000
Acadia Insurance Co. W.R. Berkley insurance violation 2021 TX-INS $8,250
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)