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 Yearsort icon Agency Penalty Amount
State Farm Bank, FSB State Farm Insurance banking violation 2020 OCC $547,200
Pruco Securities, LLC Prudential Financial investor protection violation 2020 SEC $18,252,341
Voya Financial Advisors, Inc. Voya Financial investor protection violation 2020 SEC $22,919,155
Robinhood Financial LLC Robinhood Markets investor protection violation 2020 SEC $65,000,000
Ameritas Life Insurance Corp. Ameritas Mutual Holding Company insurance violation 2020 TN-INS $30,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2020 TX-INS $15,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2020 TX-INS $9,500
Unitrin County Mutual Insurance Company Kemper insurance violation 2020 TX-INS $80,000
Liberty Mutual Insurance Company Liberty Mutual Insurance insurance violation 2020 TX-INS $8,500
Indemnity Insurance Company of North America Chubb Limited insurance violation 2020 TX-INS $8,500
Hartford Casualty Insurance Company Hartford Financial Services insurance violation 2020 TX-INS $7,500
Erie Insurance Company and Erie Insurance Exchange Erie Indemnity insurance violation 2020 VA-INS $19,371
Lincoln National Life Insurance Company Lincoln National insurance violation 2020 VA-INS $7,800
TIAA Bank, FSB TIAA wage and hour violation 2020 private lawsuit-federal $3,500,000
Transamerica Financial Advisors, Inc. Aegon investor protection violation 2020 FINRA $8,800,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo investor protection violation 2020 FINRA $2,075,000
Interactive Brokers LLC Interactive Brokers Group anti-money-laundering deficiencies 2020 FINRA $15,000,000
SG Americas Securities, LLC Societe Generale investor protection violation 2020 FINRA $1,550,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2020 FINRA $7,200,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial investor protection violation 2020 FINRA $3,650,000
IMTT Bayonne Macquarie railroad safety violation 2020 FRA $6,900
IMTT Bayonne Macquarie railroad safety violation 2020 FRA $6,900
IMTT Bayonne Macquarie railroad safety violation 2020 FRA $6,900
State Farm Fire & Casualty Company State Farm Insurance insurance violation 2020 CT-INS $60,000
Transamerica Life Insurance Company Aegon insurance violation 2020 CT-INS $10,000
American General Life Insurance Company American International Group insurance violation 2020 CT-INS $10,000
Minnesota Life Insurance Company Securian Financial insurance violation 2020 CT-INS $7,000
Standard Insurance Company Meiji Yasuda Life Insurance insurance violation 2020 CT-INS $10,000
Principal Life Insurance Company Principal Financial insurance violation 2020 CT-INS $10,000
Harleysville Worcester Insurance Company Nationwide insurance violation 2020 CT-INS $6,500
Progressive Direct Insurance Company Progressive insurance violation 2020 CT-INS $56,500
Crestbrook Insurance Company Nationwide insurance violation 2020 CT-INS $15,500
American Guarantee and Liability Insurance Company Zurich Insurance insurance violation 2020 CT-INS $10,000
Janney Montgomery Scott, LLC Penn Mutual investor protection violation 2020 CT-SEC $250,000
Schupp & Grochmal, LLC Schupp & Grochmal investor protection violation 2020 CT-SEC $7,500
Transamerica Financial Life Insurance Company Aegon insurance violation 2020 NY-DFS $750,000
Mercury Casualty Company Mercury General Corporation insurance violation 2020 NY-DFS $11,000
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2020 NY-DFS $300,800
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2020 NY-DFS $39,750
HSBC HSBC employment discrimination 2020 NY-NYCCHR $30,000
MASS MUTUAL INSTITUTIONAL FUNDS Massachusetts Mutual Life Insurance workplace safety or health violation 2020 OSHA $9,639
GAS COMPANY LLC Macquarie workplace safety or health violation 2020 OSHA $9,832
ASURION, LLC. Asurion workplace safety or health violation 2020 OSHA $5,783
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $5,395
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $74,700
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $6,778
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $74,700
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $24,380
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $6,778
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $49,489
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $5,534
Bowie Refined Coal, LLC Trafigura workplace safety or health violation 2020 MSHA $5,469
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $32,165
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $54,988
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $15,085
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $13,007
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $6,418
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $12,855
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $6,257
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $5,049
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $13,007
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $16,762
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $6,778
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $10,373
Athene Annuity and Life Company Athene Holding insurance violation 2021 TX-INS $400,000
Solium Financial Services Morgan Stanley investor protection violation 2021 DC-DISB $9,879
JPMorgan Chase Bank JPMorgan Chase discriminatory practices (non-employment) 2021 HUD $50,000
New York Life Insurance & Annuity Corporation New York Life Insurance consumer protection violation 2021 NY-DFS $10,929,000
First American Title Co. First American Financial insurance violation 2021 CA-INS $50,000
California Physicians' Service dba. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $5,000
Oscar Health Plan of California Mulberry Health insurance violation 2021 CA-MHC $75,000
John Hancock Life Insurance Co. Manulife Financial insurance violation 2021 DE-INS $5,000
Deutsche Bank Deutsche Bank Foreign Corrupt Practices Act 2021 DOJ_CRIMINAL $87,091,424
Capital One, National Association Capital One Financial anti-money-laundering deficiencies 2021 FINCEN $290,000,000
Safeco Insurance Company of America Liberty Mutual Insurance insurance violation 2021 MN-FIN $10,000
Citibank Citigroup consumer protection violation 2021 MULTI-AG $4,200,000
E*Trade Securities LLC Morgan Stanley investor protection violation 2021 NH-BSR $5,000
American International Group American International Group insurance violation 2021 NY-DFS $12,000,000
Liberty Northwest Insurance Corp. Liberty Mutual Insurance insurance violation 2021 OR-FIN $5,000
Safeco Insurance Company of Oregon Liberty Mutual Insurance insurance violation 2021 OR-FIN $5,000
Deutsche Bank AG Deutsche Bank Foreign Corrupt Practices Act 2021 SEC $43,000,000
Nationwide Mutual Insurance Company et al. Nationwide insurance violation 2021 TX-INS $75,000
Farmers Insurance Exchange and Truck Insurance Exchange Farmers Insurance Exchange insurance violation 2021 VA-INS $15,950
CMFG Life Insurance Company CUNA Mutual insurance violation 2021 VA-INS $7,500
Northwestern Mutual Life Insurance Co. Northwestern Mutual insurance violation 2021 VT-FIN $287,000
Travelers Home and Marine Insurance Company Travelers insurance violation 2021 WA-INS $10,000
Wells Fargo & Co. Wells Fargo employment discrimination 2021 private lawsuit-federal $18,700,000
Aon Hewitt Health Market Insurance Solutions, Inc. Aon wage and hour violation 2021 private lawsuit-federal $1,250,000
BB&T Equipment Finance LLC Truist Financial consumer protection violation 2021 CA-DFPI $75,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $10,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $10,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $7,500
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2021 CA-MHC $5,000
Oscar Health Plan of California Mulberry Health insurance violation 2021 CA-MHC $10,000
Oscar Health Plan of California Mulberry Health insurance violation 2021 CA-MHC $30,000
E-Trade Financial Corporate Services, Inc. Morgan Stanley consumer protection violation 2021 CT-BKG $10,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)