Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
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$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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
Globe Life and Accident Insurance Company Globe Life Inc. insurance violation 2019 VA-INS $15,000
Praetorian Insurance Company QBE Insurance insurance violation 2019 VA-INS $183,819
Elephant Insurance Company Admiral Group insurance violation 2019 VA-INS $47,619
General Automobile Insurance Company, Inc American Family Insurance insurance violation 2019 VA-INS $27,624
National Union Fire Insurance Company of Pittsburgh, Pennsylvania American International Group insurance violation 2019 VA-INS $28,806
Liberty Mutual Fire Insurance Company Liberty Mutual Insurance insurance violation 2019 VA-INS $27,828
Erie Insurance Exchange Erie Indemnity insurance violation 2019 VA-INS $1,921,784
Selective Insurance Company of America Selective Insurance Group insurance violation 2019 VA-INS $10,137
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2019 VA-INS $5,000
Acadia Insurance Company et al. W.R. Berkley insurance violation 2019 VA-INS $9,341
Nationwide Mutual Fire Insurance Company Nationwide insurance violation 2019 VA-INS $397,667
Progressive Advanced Insurance Company et al. Progressive insurance violation 2019 VA-INS $4,876,344
American Fire and Casualty Company and Ohio Security Insurance Company Liberty Mutual Insurance insurance violation 2019 VA-INS $148,910
Arch Insurance Company Arch Capital insurance violation 2019 VA-INS $26,447
Solium Financial Services LLC Morgan Stanley investor protection violation 2019 VA-SEC $10,000
Erie Insurance Company and Erie Insurance Exchange Erie Indemnity insurance violation 2019 VA-INS $90,219
State Farm Fire & Casualty Company and State Farm Mutual Auto Insurance Co. State Farm Insurance insurance violation 2019 VT-FIN $265,000
CMFG Life Insurance Company CUNA Mutual insurance violation 2019 VT-FIN $231,000
Permanent General Assurance Corporation American Family Insurance insurance violation 2019 VT-FIN $11,000
Companion Life Insurance Company BlueCross BlueShield of South Carolina insurance violation 2019 VT-FIN $1,656,000
John Hancock Life Insurance Company (U.S.A.) Manulife Financial insurance violation 2019 VT-FIN $800,000
Illinois Union Ins Co Chubb Limited insurance violation 2019 WA-INS $102,000
Homesite Insurance Company Of The Midwest American Family Insurance insurance violation 2019 WA-INS $15,000
Lincoln National Life Insurance Company Lincoln National insurance violation 2019 WA-INS $100,000
American Family Connect Property And Casualty Insurance Company American Family Insurance insurance violation 2019 WA-INS $7,500
Premera Blue Cross Premera Blue Cross insurance violation 2019 WA-INS $50,000
Principal Life Insurance Company Principal Financial insurance violation 2019 WA-INS $16,150
Bankers Life & Casualty Company CNO Financial insurance violation 2019 WA-INS $30,000
Ameritas Life Insurance Corp Ameritas Mutual Holding Company insurance violation 2019 WA-INS $50,000
Lifewise Health Plan Of Washington Premera Blue Cross insurance violation 2019 WA-INS $25,000
Premera Blue Cross Premera Blue Cross insurance violation 2019 WA-INS $50,000
Mutual Of Omaha Insurance Company Mutual of Omaha insurance violation 2019 WA-INS $12,000
Premera Blue Cross Premera Blue Cross insurance violation 2019 WA-INS $5,000
National Casualty Company Nationwide insurance violation 2019 WA-INS $20,000
State Farm Fire & Casualty Company State Farm Insurance insurance violation 2019 WA-INS $20,000
LM Insurance Corporation Liberty Mutual Insurance insurance violation 2019 WA-INS $25,000
Liberty Mutual Fire Insurance Company Liberty Mutual Insurance insurance violation 2019 WA-INS $30,000
Transamerica Life Insurance Company Aegon insurance violation 2019 WA-INS $15,000
Ticor Title Company Fidelity National Financial insurance violation 2019 WA-INS $5,000
Producers Agriculture Insurance Company Tokio Marine insurance violation 2019 WA-INS $50,000
Stewart Title Guaranty Company Stewart Information Services insurance violation 2019 WA-INS $10,050
Bankers Standard Insurance Company et al. Chubb Limited insurance violation 2019 WA-INS $25,000
Globe Life and Accident Insurance Company of Omaha, Nebraska Globe Life Inc. insurance violation 2019 MULTI-FIN $3,300,000
Protective Life Insurance Company et al. Dai-ichi Life insurance violation 2019 MULTI-FIN $350,000
Seterus Inc. Mr. Cooper Group mortgage abuses 2019 MULTI-FIN $350,000
BROADRIDGE FINANCIAL SOLUTIONS, INC. Broadridge Financial Solutions workplace safety or health violation 2019 OSHA $8,335
IMTT-BAYONNE Macquarie workplace safety or health violation 2019 OSHA $121,446
WHEELABRATOR CONCORD INC. Macquarie workplace safety or health violation 2019 OSHA $7,100
WHEELABRATOR NORTH ANDOVER Macquarie workplace safety or health violation 2019 OSHA $7,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2019 MSHA $9,335
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2019 MSHA $49,489
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2019 MSHA $12,632
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2019 MSHA $6,148
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2019 MSHA $5,239
Wells Fargo & Co. Wells Fargo discriminatory practices (non-employment) 2019 private lawsuit-federal $10,000,000
U.S. Bank U.S. Bancorp privacy violation 2019 private lawsuit-federal $2,670,336
HSBC Holdings plc HSBC fraud 2018 DOJ_CRIMINAL $100,000,000
Goldman Sachs Bank USA Goldman Sachs banking violation 2018 FED $90,000
Goldman Sachs Goldman Sachs mortgage abuses 2018 FED $14,000,000
Morgan Stanley Morgan Stanley mortgage abuses 2018 FED $8,000,000
CIT Group Inc. CIT mortgage abuses 2018 FED $5,200,000
U.S. Bancorp U.S. Bancorp mortgage abuses 2018 FED $4,400,000
PNC Financial Services Group PNC Financial Services mortgage abuses 2018 FED $3,500,000
Citibank N.A. Citigroup anti-money-laundering deficiencies 2018 OCC $70,000,000
Wedbush Securities Inc. Wedbush Securities investor protection violation 2018 SEC $1,304,197
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China investor protection violation 2018 SEC $1,250,000
Deutsche Bank Securities Inc. Deutsche Bank interest rate benchmark manipulation 2018 CFTC $70,000,000
HSBC Securities (USA) Inc. HSBC investor protection violation 2018 CFTC $1,600,000
UBS AG UBS investor protection violation 2018 CFTC $15,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2018 CFTC $30,000,000
US Bancorp U.S. Bancorp banking violation 2018 FED $15,000,000
BNP Paribas USA Inc. BNP Paribas foreign exchange market manipulation 2018 DOJ_ANTITRUST $90,000,000
Rabobank National Association Rabobank anti-money-laundering deficiencies 2018 DOJ_CRIMINAL $368,701,259
U.S. Bancorp U.S. Bancorp anti-money-laundering deficiencies 2018 USAO $453,000,000
Rabobank, National Association Rabobank anti-money-laundering deficiencies 2018 OCC $50,000,000
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 OCC $75,000,000
Voya Holdings Inc. Voya Financial investor protection violation 2018 SEC $3,600,000
Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America investor protection violation 2018 SEC $1,404,000
New York Stock Exchange IntercontinentalExchange Group investor protection violation 2018 SEC $14,000,000
Deutsche Bank Securities Inc. Deutsche Bank investor protection violation 2018 SEC $4,450,000
Ameriprise Financial Services Ameriprise Financial investor protection violation 2018 SEC $230,000
U.S. Bank National Association U.S. Bancorp anti-money-laundering deficiencies 2018 FINCEN $70,000,000
Barclays Capital, Inc. Barclays toxic securities abuses 2018 USAO $2,000,000,000
Wells Fargo Bank N.A. Wells Fargo banking violation 2018 OCC $500,000,000
Wells Fargo Bank N.A. Wells Fargo consumer protection violation 2018 CFPB $500,000,000
Goldman Sachs Group, Inc. Goldman Sachs investor protection violation 2018 FED $54,750,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2018 private lawsuit-federal $3,000,000
Wells Fargo Wells Fargo wage and hour violation 2018 private lawsuit-state $27,500,000
JPMorgan Chase JPMorgan Chase wage and hour violation 2018 private lawsuit-federal $8,333,333
BB&T Truist Financial wage and hour violation 2018 private lawsuit-federal $72,336
BNP Paribas Securities Corp. BNP Paribas interest rate benchmark manipulation 2018 CFTC $90,000,000
Lansing Trade Group, LLC Lansing Trade Group investor protection violation 2018 CFTC $3,400,000
JPMorgan Chase Bank, N.A. JPMorgan Chase interest rate benchmark manipulation 2018 CFTC $65,000,000
Societe Generale S.A. Societe Generale interest rate benchmark manipulation 2018 CFTC $475,000,000
TCF National Bank TCF Financial Corp. consumer protection violation 2018 CFPB $28,000,000
Citibank, N.A. Citigroup consumer protection violation 2018 CFPB $335,000,000
Citigroup Citigroup banking violation 2018 FED $8,600,000
Royal Bank of Scotland Group plc Royal Bank of Scotland toxic securities abuses 2018 DOJ_CIVIL $4,900,000,000
Wells Fargo Bank, N.A. Wells Fargo toxic securities abuses 2018 DOJ_CIVIL $2,090,000,000
Credit Suisse (Hong Kong) Limited Credit Suisse Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $47,029,916
Societe Generale S.A. Societe Generale Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $860,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)