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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

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.

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CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
Regions Financial CorporationRegions FinancialFamily and Medical Leave Act2021WHD$7,210
California United BankPacWest Bancorpeconomic sanction violation2004OFAC$7,250
IAC SPARTANBURGInvescoworkplace safety or health violation2011OSHA$7,277
GUARANTEED RATE INCGuaranteed Rate Inc.wage and hour violation2015IL-DOL$7,291
Auto-Owners Insurance CompanyAuto-Owners Insuranceinsurance violation2016SC-INS$7,356
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006MO-INS$7,373
Citicorp Vendor Finance LtdCitigroupeconomic sanction violation2004OFAC$7,379
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$7,401
AON SERVICE CORPORATIONAonwage and hour violation2017WHD$7,406
Navy Federal Credit UnionNavy Federal Credit Unionenvironmental violation2017VA-ENV$7,426
BUSEY BANKFirst Busey Corp.banking violation2010FDIC$7,445
Asset Acceptance, LLCEncore Capital GroupFamily and Medical Leave Act2014WHD$7,450
Buckeye PartnersIFM Investorsrailroad safety violation2011FRA$7,500
Xstrata CopperGlencorerailroad safety violation2011FRA$7,500
BankAtlanticTruist Financialeconomic sanction violation2008OFAC$7,500
Old National BankOld National Bancorpbanking violation2004OCC$7,500
BUCKEYE PARTNERS LPIFM Investorsenvironmental violation2009PHMSA$7,500
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2013HUD$7,500
TIAA-CREFTIAAaviation safety violation2015FAA$7,500
GMAC Mortgage, LLC dba DitechAlly Financialconsumer protection violation2011AZ-DIFI$7,500
GMAC Mortgage, LLCAlly Financialconsumer protection violation2011AZ-DIFI$7,500
Unitrin Auto and Home Insurance Co.Kemperinsurance violation2006CO-INS$7,500
Berkshire Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2019CT-INS$7,500
Lincoln Life & Annuity Company of New YorkLincoln Nationalinsurance violation2019CT-INS$7,500
Allstate Indemnity Co.Allstateinsurance violation2020CT-INS$7,500
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2005FL-OFR$7,500
CUNA Mutual Life Insurance Co.CUNA Mutualinsurance violation2007FL-OFR$7,500
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2005IL-SEC$7,500
Allied Home Mortgage Corp.Americus Mortgageconsumer protection violation2012IL-BKG$7,500
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2012IL-SEC$7,500
Fidelity Brokerage Services LLCFidelity Investmentsinvestor protection violation2011IN-SEC$7,500
ServiceLink LLCFidelity National Financialinsurance violation2019IN-INS$7,500
Nationwide Agribusiness Insurance Co.Nationwideinsurance violation2006KS-INS$7,500
Standard Fire Insurance Co.Travelersinsurance violation2018KS-INS$7,500
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2011MD-INS$7,500
Encompass Home and Auto Insurance Co.Allstateinsurance violation2014MD-INS$7,500
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2014MD-INS$7,500
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2016MD-INS$7,500
Standard Fire Insurance Co. et al.Travelersinsurance violation2016MD-INS$7,500
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2018MD-INS$7,500
Bankers Life & Casualty Co.CNO Financialinsurance violation2006ME-INS$7,500
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2011ME-INS$7,500
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2001MN-FIN$7,500
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceinsurance violation2002MN-FIN$7,500
Fortis Insurance Co.Assurantinsurance violation2005MN-FIN$7,500
Time Insurance Co.Haven Holdingsinsurance violation2008MN-FIN$7,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2008MN-FIN$7,500
Sun Life Insurance Company of CanadaSun Life Financialinsurance violation2009MN-FIN$7,500
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2014MN-FIN$7,500
The Hanover Insurance Co.Hanover Insuranceinsurance violation2015MN-FIN$7,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2015MN-FIN$7,500
Genworth Life Insurance Co.Genworth Financialinsurance violation2016MN-FIN$7,500
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2007MT-FIN$7,500
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2018NE-DOI$7,500
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2017NH-BSR$7,500
AIG Casualty CompanyAmerican International Groupinsurance violation2007OR-FIN$7,500
Travelers Indemnity Company of ConnecticutTravelersinsurance violation2004PA-INS$7,500
National General InsuranceAllstateinsurance violation2014RI-FIN$7,500
Bristol West Insurance CompanyZurich Insuranceinsurance violation2011SC-INS$7,500
Protective Insurance CompanyProgressiveinsurance violation2014SD-INS$7,500
Union Security Insurance CompanyAssurantinsurance violation2015SD-INS$7,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2008TX-INS$7,500
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2009TX-INS$7,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2009TX-INS$7,500
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2009TX-INS$7,500
Great American Alliance Insurance CompanyAmerican Financial Groupinsurance violation2014TX-INS$7,500
The Travelers Indemnity CompanyTravelersinsurance violation2015TX-INS$7,500
Old Republic National Title Insurance CompanyOld Republic Internationalinsurance violation2016TX-INS$7,500
Ace American Insurance CompanyChubb Limitedinsurance violation2018TX-INS$7,500
The Travelers Indemnity CompanyTravelersinsurance violation2018TX-INS$7,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2019TX-INS$7,500
AMERICAN FAMILY LIFE ASSURANCEAflacinsurance violation2003VA-INS$7,500
PRUDENTIAL INSURANCE COMPANYPrudential Financialinsurance violation2004VA-INS$7,500
PRUCO LIFE INSURANCE COPrudential Financialinsurance violation2004VA-INS$7,500
CONSECO SENIOR HEALTH INS.CNO Financialinsurance violation2005VA-INS$7,500
VICTORIA FIRE AND CASUALTY INSURANCENationwideinsurance violation2009VA-INS$7,500
UNITED OF OMAHA LIFE INSURANCEMutual of Omahainsurance violation2012VA-INS$7,500
TOKIO MARINE KILN SYNDICATES, LTD.Tokio Marineinsurance violation2018VA-INS$7,500
Chicago Insurance CompanyAllianzinsurance violation2010WA-INS$7,500
Fidelity & Guaranty Life Insurance CompanyFidelity National Financialinsurance violation2012WA-INS$7,500
Washington National Insurance CompanyCNO Financialinsurance violation2018WA-INS$7,500
American Family Connect Property And Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2019WA-INS$7,500
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2010WI-INS$7,500
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2012WI-INS$7,500
The Standard Insurance Co.Meiji Yasuda Life Insuranceinsurance violation2020CT-INS$7,500
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2020TX-INS$7,500
CMFG Life Insurance CompanyCUNA Mutualinsurance violation2021VA-INS$7,500
Schupp & Grochmal, LLCSchupp & Grochmalinvestor protection violation2020CT-SEC$7,500
AMERICAN HEALTH AND LIFE INSURANCE COMPANYOneMain Holdingsinsurance violation2021MO-INS$7,500
Provident Life and Accident Insurance Co.Unuminsurance violation2021CT-INS$7,500
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2021TX-INS$7,500
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$7,500
Standard Fire Insurance Co.Travelersinsurance violation2021TX-INS$7,500
Accident Fund National Insurance Co.AF Groupinsurance violation2021TX-INS$7,500
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$7,500
Allstate Property & Casualty Insurance Company, et al.Allstateinsurance violation2021RI-FIN$7,500
Unitrin Direct Property & Casualty CompanyKemperinsurance violation2021TX-INS$7,500
Allstate Fire & Casualty Insurance Company et al.Allstateinsurance violation2021WA-INS$7,500
R. R. Donnelley & Sons Co.Chatham Asset Managementenvironmental violation2013CA-SCAQMD$7,500
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2009CA-SCAQMD$7,500
Credit Suisse Energy LLCUBSutility service violation2017TX-PUC$7,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.