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)
Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
National Union Fire Ins Co. of Pittsburgh American International Group insurance violation 2003 WI-INS $5,000
Great American Insurance Co. American Financial Group insurance violation 2004 WI-INS $5,000
Auto-Owners Insurance Co. Auto-Owners Insurance insurance violation 2004 WI-INS $5,000
Progressive Northern Ins Co. Progressive insurance violation 2005 WI-INS $5,000
Metropolitan Life Insurance Co. MetLife insurance violation 2005 WI-INS $5,000
Asurion Warranty Services, Inc. Asurion insurance violation 2007 WI-INS $5,000
Infinity Insurance Co. Kemper insurance violation 2011 WI-INS $5,000
Selective Insurance Company of the Southeast Selective Insurance Group insurance violation 2011 WI-INS $5,000
Thrivent Financial for Lutherans Thrivent Financial insurance violation 2013 WI-INS $5,000
The Hanover Insurance Co. Hanover Insurance insurance violation 2014 WI-INS $5,000
BOK Financial Securities, Inc. BOK Financial insurance violation 2020 CA-INS $5,000
Crestbrook Insurance Co. Nationwide insurance violation 2020 WA-INS $5,000
Cincinnati Insurance Co. Cincinnati Financial insurance violation 2020 WA-INS $5,000
Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2020 WA-INS $5,000
Security National Insurance Co. Zurich Insurance insurance violation 2020 WA-INS $5,000
Privilege Underwriters Reciprocal Exchange Tokio Marine insurance violation 2020 WA-INS $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $5,000
HORACE MANN INSURANCE COMPANY Horace Mann Educators Corp. insurance violation 2020 WA-INS $5,000
RR DONNELLEY Chatham Asset Management environmental violation 2002 PA-ENV $5,000
California Physicians' Service dba. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service dba. Blue Shield of California California Physicians' Service insurance violation 2020 CA-MHC $5,000
Oscar Health Plan of California Oscar Health Inc. insurance violation 2020 CA-MHC $5,000
California Physicians' Service dba. Blue Shield of California California Physicians' Service insurance violation 2020 CA-MHC $5,000
John Hancock Life Insurance Co. Manulife Financial insurance violation 2021 DE-INS $5,000
RR DONNELLEY & SONS Chatham Asset Management environmental violation 2013 IL-ENV $5,000
THE HENNEGAN CO Chatham Asset Management environmental violation 2016 KY-ENV $5,000
E*Trade Securities LLC Morgan Stanley investor protection violation 2021 NH-BSR $5,000
BUCKEYE PIPE LINE CO LINDEN STATION IFM Investors environmental violation 2014 NJ-ENV $5,000
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
Nyrstar Gordonsville LLC Trafigura environmental violation 2013 TN-ENV $5,000
Buckeye Terminals LLC-Macungie IFM Investors railroad safety violation 2019 FRA $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 $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 $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 $5,000
STANDARD FIRE INSURANCE COMPANY Travelers insurance violation 2021 WA-INS $5,000
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $5,000
California Physicians' Service d.b.a. Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $5,000
National Union Fire Insurance Company of Pittsburgh, Pa American International Group insurance violation 2021 KS-INS $5,000
Trumbull Insurance Co. Hartford Financial Services insurance violation 2021 TX-INS $5,000
Travelers Indemnity Co. Travelers insurance violation 2021 TX-INS $5,000
Ace American Insurance Co. Chubb Limited insurance violation 2021 TX-INS $5,000
Accident Fund General Insurance Co. AF Group insurance violation 2021 TX-INS $5,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2021 TX-INS $5,000
Hartford Fire Insurance Co. Hartford Financial Services insurance violation 2021 TX-INS $5,000
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2021 CA-MHC $5,000
USAA Casualty Insurance Company et al. USAA insurance violation 2021 KS-INS $5,000
First American Title Insurance Company of Louisiana First American Financial insurance violation 2021 LA-INS $5,000
Nationwide Life And Annuity Insurance Company et al. Nationwide insurance violation 2021 WA-INS $5,000
Zurich American Insurance Company Zurich Insurance insurance violation 2021 WA-INS $5,000
Premera Blue Cross Premera Blue Cross insurance violation 2021 WA-INS $5,000
Wedbush Morgan Securities Wedbush Securities environmental violation 2006 CA-SCAQMD $5,000
Countrywide Home Loans Bank of America environmental violation 2000 CA-SCAQMD $5,000
Sentry Select Insurance Company Sentry Insurance insurance violation 2021 WA-INS $5,000
Producers Agriculture Insurance Company Tokio Marine insurance violation 2022 ND-INS $5,000
Zurich American Insurance Company Zurich Insurance insurance violation 2022 TX-INS $5,000
Servicelink, LLC Fidelity National Financial consumer protection violation 2022 VA-INS $5,000
Cincinnati Insurance Company et al. Cincinnati Financial insurance violation 2022 WA-INS $5,000
Fidelity National Title Company of Washington Inc Fidelity National Financial insurance violation 2022 WA-INS $5,000
Austin Mutual Insurance Company American Family Insurance insurance violation 2022 WI-INS $5,000
R.R. DONNELLEY Chatham Asset Management workplace safety or health violation 2004 OSHA $5,000
THE CAPITAL GROUP COMPANIES INC Capital Group workplace safety or health violation 2005 OSHA $5,000
BANK OF AMERICA Bank of America workplace safety or health violation 2003 OSHA $5,000
RR DONNELLEY & SONS COMPANY Chatham Asset Management workplace safety or health violation 2001 OSHA $5,000
WELLS FARGO SECURITIES, LLC. Wells Fargo workplace safety or health violation 2004 OSHA $5,000
WASHINGTON MUTUAL JPMorgan Chase workplace safety or health violation 2007 OSHA $5,000
PRO LINE PRINTING, INC. Chatham Asset Management workplace safety or health violation 2007 OSHA $5,000
CITIBANK, N.A. Citigroup workplace safety or health violation 2010 OSHA $5,000
FARMERS INSURANCE EXCHANGE Farmers Insurance Exchange workplace safety or health violation 2010 OSHA $5,000
IFCO SYSTEMS Triton Investments Advisers workplace safety or health violation 2011 OSHA $5,000
IAC MADISONVILLE LLC Invesco workplace safety or health violation 2014 OSHA $5,000
INTERNATIONAL AUTOMOTIVE COMPONENTS Invesco workplace safety or health violation 2014 OSHA $5,000
RR DONNELLEY & SONS COMPANY Chatham Asset Management workplace safety or health violation 2015 OSHA $5,000
NEOVIA LOGISTICS DISTRIBUTION, LLC Goldman Sachs workplace safety or health violation 2016 OSHA $5,000
FITTJE BROS. PRINTING CO. Chatham Asset Management workplace safety or health violation 2017 OSHA $5,000
W. R. BERKLEY CORPORATION W.R. Berkley workplace safety or health violation 2017 OSHA $5,000
Nyrstar Gordonsville, LLC Trafigura workplace safety or health violation 2010 MSHA $5,000
Nyrstar Tennessee Mines, Strawberry Plains LLC Trafigura workplace safety or health violation 2014 MSHA $5,000
Nyrstar Gordonsville, LLC Trafigura workplace safety or health violation 2014 MSHA $5,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)