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)
Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
Western Union Western Union anti-money-laundering deficiencies 2018 NY-DFS $60,000,000
WESTERN UNION Western Union workplace safety or health violation 2015 OSHA $11,000
Western Union Co. Western Union consumer protection violation 2017 MULTI-AG $5,000,000
Western Union Company Western Union anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $586,000,000
Western Union Financial Services Western Union consumer protection violation 2005 MULTI-AG $8,529,000
Western Union Financial Services, Inc. Western Union economic sanction violation 2019 OFAC $401,697
Western Union Financial Services, Inc. Western Union anti-money-laundering deficiencies 2010 MULTI-AG $94,000,000
Western Union Financial Services, Inc. Western Union consumer protection violation 2008 AZ-DFS $2,000,000
Western Union Financial Services, Inc. Western Union anti-money-laundering deficiencies 2002 NY-DFS $8,000,000
Western Union International Services LLC Western Union consumer protection violation 2019 FL-OFR $10,000
WEX Bank and Higher One, Inc. WEX Inc. banking violation 2015 FDIC $34,980,000
WFS Financial, Inc. Wells Fargo discriminatory practices (non-employment) 2004 private lawsuit-federal $4,550,000
WHEELABRATOR BALTIMORE Macquarie environmental violation 2011 MD-ENV $77,500
WHEELABRATOR BALTIMORE Macquarie environmental violation 2003 MD-ENV $17,500
Wheelabrator Claremont Company, L.P. Macquarie energy market violation 2018 FERC $357,231
WHEELABRATOR CONCORD INC. Macquarie workplace safety or health violation 2019 OSHA $7,100
WHEELABRATOR ENERGY COMPANY, INCORPORATED Macquarie workplace safety or health violation 2011 OSHA $15,000
WHEELABRATOR FALLS INC Macquarie environmental violation 2020 PA-ENV $12,000
WHEELABRATOR FALLS INC Macquarie environmental violation 2006 PA-ENV $21,079
Wheelabrator Falls Inc. Macquarie environmental violation 2005 PA-ENV $106,849
WHEELABRATOR FRACKVILLE ENERGY Macquarie environmental violation 2012 PA-ENV $27,400
WHEELABRATOR GLOUCESTER COMPANY L P Macquarie environmental violation 2017 NJ-ENV $6,000
WHEELABRATOR GLOUCESTER COMPANY L P Macquarie environmental violation 2016 NJ-ENV $12,900
WHEELABRATOR GLOUCESTER COMPANY, L.P. Macquarie environmental violation 2001 NJ-ENV $10,400
WHEELABRATOR GLOUCESTER COMPANY, L.P. Macquarie environmental violation 2001 NJ-ENV $11,200
WHEELABRATOR GLOUCESTER COMPANY, L.P. Macquarie environmental violation 2000 NJ-ENV $11,600
Wheelabrator Lisbon, Inc. Macquarie environmental violation 2013 CT-ENV $9,350
WHEELABRATOR MILLBURY INC. Macquarie workplace safety or health violation 2018 OSHA $9,472
WHEELABRATOR NORTH ANDOVER Macquarie workplace safety or health violation 2019 OSHA $7,500
WHEELABRATOR PORTSMOUTH Macquarie workplace safety or health violation 2010 OSHA $6,890
Wheelabrator Portsmouth Inc. Macquarie environmental violation 2016 VA-ENV $7,669
Wheelabrator Putnam Incorporated Macquarie environmental violation 2003 CT-ENV $33,500
WHEELABRATOR RIDGE ENERGY, INC. Macquarie environmental violation 2004 FL-DEP $19,000
WHEELABRATOR SAUGUS, INC. Macquarie workplace safety or health violation 2017 OSHA $17,600
Wheelabrator Saugus, Wheelabrator Andover and Wheelabrator Millbury Macquarie environmental violation 2011 MA-AG $7,500,000
WHEELABRATOR SHASTA ENERGY CO, INC Macquarie workplace safety or health violation 2010 OSHA $10,000
WHEELABRATOR SHASTA ENERGY CO. Macquarie workplace safety or health violation 2000 OSHA $10,275
WHEELABRATOR SOUTH BROWARD, INC. Macquarie environmental violation 2005 FL-DEP $14,450
Wheelabrator South Broward, Inc. Macquarie environmental violation 2021 FL-DEP $78,000
Wheelabrator Westchester, L.P. Macquarie labor relations violation 2005 NLRB $13,000
Williams Power Company Inc. JPMorgan Chase data submission deficiencies 2006 DOJ_CRIMINAL $50,000,000
Willis Group Willis Towers Watson employment discrimination 2011 private lawsuit-federal $11,595,038
Willis Group Willis Towers Watson employment discrimination 2008 private lawsuit-federal $12,757,949
Willis Group Holdings Ltd. Willis Towers Watson consumer protection violation 2007 FL-AG $2,600,000
Willis Group Holdings Ltd. Willis Towers Watson price-fixing or anti-competitive practices 2005 NY-AG $50,000,000
Wilmington Finance Inc. OneMain Holdings wage and hour violation 2008 private lawsuit-federal $2,925,000
Wilmington Savings Fund Society, Federal Savings Bank WSFS Financial Corp. banking violation 2019 OCC $85,265
Wilmington Trust M&T Bank accounting fraud or deficiencies 2014 SEC $18,500,000
Wilmington Trust Co. M&T Bank employment discrimination 2004 EEOC $70,000
Wilmington Trust Co. M&T Bank investor protection violation 2005 DE-SEC $50,000
Wilmington Trust Company M&T Bank investor protection violation 2004 SEC $125,000
Wilmington Trust Company M&T Bank investor protection violation 2007 SEC $100,000
Wilmington Trust Corp. M&T Bank benefit plan administrator violation 2014 private lawsuit-federal $3,000,000
Wilmington Trust Corporation M&T Bank employment discrimination 2018 EEOC $700,000
Wilmington Trust N.A. M&T Bank benefit plan administrator violation 2017 private lawsuit-federal $29,773,250
Wilmington Trust, N.A. M&T Bank benefit plan administrator violation 2020 EBSA $88,000,000
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
World Group Securities, Inc. Aegon investor protection violation 2004 FINRA $150,000
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 Insurance America, Inc. AXA insurance violation 2021 TX-INS $17,000
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 Co. AXA insurance violation 2021 TX-INS $15,825
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 Direct, Inc. Zions Bancorporation investor protection violation 2010 FINRA $225,000
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
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)