Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$344,899,848,624
Number of Records: 
6,989
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$82,898,016,192264
JPMorgan Chase$36,107,446,133199
Citigroup$25,540,645,217156
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
UBS$16,854,318,334101
Goldman Sachs$16,399,485,79387
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,148,363,95019
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)
Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
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
Wilmington Trust, N.A. M&T Bank benefit plan administrator violation 2021 private lawsuit-federal $5,500,000
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
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-CC $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 Insurance America, Inc. AXA insurance violation 2021 TX-INS $10,000
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
XL Specialty Insurance Company AXA consumer protection violation 2021 RI-FIN $15,000
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
Zurich American Insurance Company Zurich Insurance price-fixing or anti-competitive practices 2006 OH-AG $7,000,000
Zurich American Insurance Company Zurich Insurance insurance violation 2013 NY-DFS $4,560,000
Zurich American Insurance Company Zurich Insurance insurance violation 2015 SD-INS $100,000
Zurich American Insurance Company Zurich Insurance insurance violation 2016 SD-INS $15,000
Zurich American Insurance Company Zurich Insurance insurance violation 2009 TX-INS $15,000
Zurich American Insurance Company Zurich Insurance insurance violation 2010 TX-INS $45,000
Zurich American Insurance Company Zurich Insurance insurance violation 2011 TX-INS $10,000
Zurich American Insurance Company Zurich Insurance insurance violation 2012 TX-INS $35,000
Zurich American Insurance Company Zurich Insurance insurance violation 2014 TX-INS $47,735
Zurich American Insurance Company Zurich Insurance insurance violation 2014 TX-INS $5,500
Zurich American Insurance Company Zurich Insurance insurance violation 2015 TX-INS $90,000
Zurich American Insurance Company Zurich Insurance insurance violation 2015 TX-INS $15,200
Zurich American Insurance Company Zurich Insurance insurance violation 2016 TX-INS $35,012
Zurich American Insurance Company Zurich Insurance insurance violation 2017 TX-INS $8,500
Zurich American Insurance Company Zurich Insurance insurance violation 2017 TX-INS $32,400
Zurich American Insurance Company Zurich Insurance insurance violation 2018 TX-INS $42,000
Zurich American Insurance Company Zurich Insurance insurance violation 2019 TX-INS $15,000
Zurich American Insurance Company Zurich Insurance insurance violation 2016 WA-INS $20,000
Zurich American Insurance Company Zurich Insurance insurance violation 2021 WA-INS $5,000
Zurich American Insurance Company Zurich Insurance insurance violation 2022 NY-DFS $2,200,000
Zurich American Insurance Company Zurich Insurance insurance violation 2022 TX-INS $7,000
Zurich American Insurance Company Zurich Insurance insurance violation 2022 TX-INS $5,000
Zurich American Insurance Company et al. Zurich Insurance False Claims Act and related 2010 NY-AG $37,500,000
Zurich American Life Insurance Company of New York Zurich Insurance insurance violation 2020 NY-DFS $25,000
Zurich Capital Markets Inc. Zurich Insurance investor protection violation 2007 SEC $16,800,000
Zurich Direct Zurich Insurance insurance violation 2002 MA-INS $6,000
Zurich Financial Services Zurich Insurance accounting fraud or deficiencies 2008 SEC $25,000,000
Zurich Insurance Group Zurich Insurance insurance violation 2010 CT-INS $235,000
Zurich Life Insurance Company Ltd Zurich Insurance tax violations 2019 DOJ_TAX $5,115,000
Zurich Life Insurance Company of America Zurich Insurance insurance violation 2002 MA-INS $12,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)