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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
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$8,000
Chubb Indemnity Insurance CompanyChubb Limitedinsurance violation2023TX-INS$8,000
Freedom MortgageFreedom Mortgagewage and hour violation2021MI-LEO$8,000
New York Life Insurance CompanyNew York Life Insurancewage and hour violation2017MI-LEO$8,000
Quicken LoansRocket Companies Inc.wage and hour violation2015MI-LEO$8,000
Metlife Human ResourcesMetLifewage and hour violation2014MI-LEO$8,000
Metlife SecuritiesMetLifewage and hour violation2014MI-LEO$8,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2023TX-INS$8,000
Hanover Insurance CompanyHanover Insuranceinsurance violation2023TX-INS$8,000
AIU Insurance CompanyAmerican International Groupinsurance violation2024TX-INS$8,000
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2010OSHA$8,000
IFCO SYSTEMS NORTH AMERICA INCTriton Investments Advisersworkplace safety or health violation2011OSHA$8,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$8,016
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2016VA-INS$8,131
STATE FARM INSURANCEState Farm Insuranceworkplace safety or health violation2012OSHA$8,160
Citizens BankCitizens Financial Groupwage and hour violation2011MI-LEO$8,169
CitiFinancial, Inc.Citigroupconsumer protection violation2003FL-OFR$8,199
PNC BankPNC Financial Serviceseconomic sanction violation2005OFAC$8,200
Jackson National Life Insurance Co.Jackson Financialinsurance violation2015MD-INS$8,200
BUCKEYE PORT READING TERMINAL LLCIFM Investorsenvironmental violation2009NJ-ENV$8,200
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,209
Louis Dreyfus Company LLCLouis Dreyfusrailroad safety violation2017FRA$8,250
Acadia Insurance Co.W.R. Berkleyinsurance violation2021TX-INS$8,250
HSBC North America Inc.HSBCwage and hour violation2006WHD$8,273
Banner Life Insurance Co.Legal & General Group PLCinsurance violation2011MD-INS$8,300
Transamerica Life Insurance Co.Aegoninsurance violation2017MD-INS$8,300
Conseco Life Insurance CompanyCNO Financialinsurance violation2003OR-FIN$8,300
ACE American Reinsurance CompanyChubb Limitedinsurance violation2006OR-FIN$8,300
BROADRIDGE FINANCIAL SOLUTIONS, INC.Broadridge Financial Solutionsworkplace safety or health violation2019OSHA$8,335
HSBC Bank USAHSBCeconomic sanction violation2004OFAC$8,375
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2014TX-INS$8,397
Buckeye Pipe Line Company, L.P.IFM Investorsenvironmental violation2012EPA$8,397
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2018TX-INS$8,400
CAPITAL ONE NATIONAL ASSOCIATIONCapital One Financialenvironmental violation2010TX-ENV$8,400
Provident Funding Associates, LPProvident Funding Associateswage and hour violation2008WHD$8,453
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2010IN-SEC$8,495
Nationwide Mutual Insurance Co.Nationwideinsurance violation2007CO-INS$8,500
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2013IN-SEC$8,500
Ragen Mackenzie Investment Services LLCWells Fargoinvestor protection violation2004OR-FIN$8,500
Ace American Insurance CompanyChubb Limitedinsurance violation2012TX-INS$8,500
XL Specialty Insurance CompanyAXAinsurance violation2014TX-INS$8,500
AIG Property Casualty CompanyAmerican International Groupinsurance violation2015TX-INS$8,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$8,500
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2017TX-INS$8,500
Zurich American Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$8,500
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2018TX-INS$8,500
DAIRYLAND INSURANCE COSentry Insuranceinsurance violation2001VA-INS$8,500
Regent Insurance Co.QBE Insuranceinsurance violation2003WI-INS$8,500
Foremost Insurance Co.Zurich Insuranceinsurance violation2003WI-INS$8,500
American Family Life Assurance Company of ColumbusAflacinsurance violation2020CT-INS$8,500
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusenvironmental violation2005FL-DEP$8,500
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2020TX-INS$8,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2020TX-INS$8,500
Protective Insurance Co.Progressiveinsurance violation2021TX-INS$8,500
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2023TX-INS$8,500
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2023TX-INS$8,500
Liberty Mutual Personal Insurance CompanyLiberty Mutual Insuranceinsurance violation2024MD-INS$8,500
CASH AMERICAFirstCashworkplace safety or health violation2016OSHA$8,500
FIFTH THIRD BANK, NATIONAL ASSOCIATIONFifth Third Bancorpworkplace safety or health violation2023OSHA$8,500
SYNAGRO-WWT, INC.Goldman Sachsworkplace safety or health violation2019OSHA$8,525
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$8,550
Jackson HewittJackson Hewittwage and hour violation2013MI-LEO$8,553
Courier Printing CompanyChatham Asset Managementenvironmental violation2016TN-ENV$8,555
Travelers Insurance CompanyTravelersinsurance violation2002MA-INS$8,600
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2014NY-DFS$8,600
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2014MSHA$8,600
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,600
CLECO CORPORATIONMacquarieworkplace safety or health violation2017OSHA$8,626
LIBERTY INSURANCE CORP et al.Liberty Mutual Insuranceinsurance violation2017VA-INS$8,652
LOUIS DREYFUS COMPANY RIVER ELEVATORS, LLCLouis Dreyfusworkplace safety or health violation2017OSHA$8,665
Discover Financial ServicesDiscover Financial Serviceseconomic sanction violation2010OFAC$8,720
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2000FL-OFR$8,750
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2017TX-INS$8,750
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusenvironmental violation2016IN-ENV$8,750
INTERNATIONAL AUTOMOTIVE COMPONENTSInvescoworkplace safety or health violation2010OSHA$8,750
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2023OSHA$8,766
U.S. BANCORP DBA US BANK MT. VERNON IL OFFICEU.S. Bancorpworkplace safety or health violation2015OSHA$8,775
Waddell & Reed, Inc.Macquarieinvestor protection violation2003FL-OFR$8,800
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2023VA-INS$8,800
Hanmi BankHanmi Financial Corp.banking violation2007FED$8,835
Carolina Coastal Railway, Inc.3i Infrastructure PLCrailroad safety violation2021FRA$8,853
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,893
Illinois National Insurance CompanyAmerican International Groupinsurance violation2012TX-INS$8,900
Wheelabrator Norwalk Energy Co. Inc.Macquarieenvironmental violation2012CA-SCAQMD$8,900
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2018MSHA$8,947
Unitrin Direct Insurance Co.Kemperinsurance violation2013AZ-DIFI$9,000
Mercury Insurance Co.Mercury General Corporationinsurance violation2006CA-INS$9,000
American Express Travel Related Services Co, Inc.American Expressconsumer protection violation2015FL-OFR$9,000
Sentinel Insurance Company Ltd.Hartford Financial Servicesinsurance violation2011IL-INS$9,000
Lawyers Title Insurance Corp.Fidelity National Financialinsurance violation2007IN-INS$9,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2010IN-SEC$9,000
American Automobile Insurance CompanyAllianzinsurance violation2005MA-INS$9,000
Monumental Life Insurance Co.Aegoninsurance violation2011MD-INS$9,000
USAA Life Insurance Co.USAAinsurance violation2014MD-INS$9,000
Pacific Life Insurance Co.Pacific Lifeinsurance violation2017MD-INS$9,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.