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 Year Agency Penalty Amountsort icon
Louis Dreyfus Company LLC Louis Dreyfus railroad safety violation 2017 FRA $8,250
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $8,260
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $8,260
HSBC North America Inc. HSBC wage and hour violation 2006 WHD $8,273
Transamerica Life Insurance Co. Aegon insurance violation 2017 MD-INS $8,300
Conseco Life Insurance Company CNO Financial insurance violation 2003 OR-FIN $8,300
ACE American Reinsurance Company Chubb Limited insurance violation 2006 OR-FIN $8,300
BROADRIDGE FINANCIAL SOLUTIONS, INC. Broadridge Financial Solutions workplace safety or health violation 2019 OSHA $8,335
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2012 MSHA $8,349
HSBC Bank USA HSBC economic sanction violation 2004 OFAC $8,375
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2014 TX-INS $8,397
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2018 TX-INS $8,400
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $8,421
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2015 MSHA $8,421
Provident Funding Associates, LP Provident Funding Associates wage and hour violation 2008 WHD $8,453
Wells Fargo Advisors, LLC Wells Fargo investor protection violation 2010 IN-SEC $8,495
Capmark Bank Capmark Bank banking violation 2012 FDIC $8,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $8,500
Nationwide Mutual Insurance Co. Nationwide insurance violation 2007 CO-INS $8,500
Fifth Third Securities, Inc. Fifth Third Bancorp investor protection violation 2013 IN-SEC $8,500
Ragen Mackenzie Investment Services LLC Wells Fargo investor protection violation 2004 OR-FIN $8,500
Ace American Insurance Company Chubb Limited insurance violation 2012 TX-INS $8,500
XL Specialty Insurance Company AXA insurance violation 2014 TX-INS $8,500
AIG Property Casualty Company American International Group insurance violation 2015 TX-INS $8,500
New Hampshire Insurance Company American International Group insurance violation 2015 TX-INS $8,500
Twin City Fire Insurance Company Hartford Financial Services insurance violation 2017 TX-INS $8,500
Zurich American Insurance Company Zurich Insurance insurance violation 2017 TX-INS $8,500
Insurance Company of the State of Pennsylvania American International Group insurance violation 2018 TX-INS $8,500
DAIRYLAND INSURANCE CO Sentry Insurance insurance violation 2001 VA-INS $8,500
Regent Insurance Co. QBE Insurance insurance violation 2003 WI-INS $8,500
Foremost Insurance Co. Zurich Insurance insurance violation 2003 WI-INS $8,500
CASH AMERICA FirstCash workplace safety or health violation 2016 OSHA $8,500
American Family Life Assurance Company of Columbus Aflac insurance violation 2020 CT-INS $8,500
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2010 NE-DBF $8,550
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $8,574
Travelers Insurance Company Travelers insurance violation 2002 MA-INS $8,600
Hartford Underwriters Insurance Company Hartford Financial Services insurance violation 2014 NY-DFS $8,600
Bowie Resources LLC Trafigura workplace safety or health violation 2011 MSHA $8,600
CLECO CORPORATION Macquarie workplace safety or health violation 2017 OSHA $8,626
LIBERTY INSURANCE CORP et al. Liberty Mutual Insurance insurance violation 2017 VA-INS $8,652
LOUIS DREYFUS COMPANY RIVER ELEVATORS, LLC Louis Dreyfus workplace safety or health violation 2017 OSHA $8,665
Discover Financial Services Discover Financial Services economic sanction violation 2010 OFAC $8,720
Protective Life Insurance Co. Dai-ichi Life insurance violation 2000 FL-OFR $8,750
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $8,750
Indemnity Insurance Company of North America Chubb Limited insurance violation 2017 TX-INS $8,750
INTERNATIONAL AUTOMOTIVE COMPONENTS Invesco workplace safety or health violation 2010 OSHA $8,750
Waddell & Reed, Inc. Waddell & Reed Financial Inc. investor protection violation 2003 FL-OFR $8,800
Hanmi Bank Hanmi Financial Corp. banking violation 2007 FED $8,835
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $8,893
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $8,893
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $8,893
Illinois National Insurance Company American International Group insurance violation 2012 TX-INS $8,900
Unitrin Direct Insurance Co. Kemper insurance violation 2013 AZ-INS $9,000
Mercury Insurance Co. Mercury General Corporation insurance violation 2006 CA-INS $9,000
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2014 CA-MHC $9,000
American Express Travel Related Services Co, Inc. American Express consumer protection violation 2015 FL-OFR $9,000
Sentinel Insurance Company Ltd. Hartford Financial Services insurance violation 2011 IL-INS $9,000
Lawyers Title Insurance Corp. Fidelity National Financial insurance violation 2007 IN-INS $9,000
ProEquities, Inc. Dai-ichi Life investor protection violation 2010 IN-SEC $9,000
American Automobile Insurance Company Allianz insurance violation 2005 MA-INS $9,000
Monumental Life Insurance Co. Aegon insurance violation 2011 MD-INS $9,000
USAA Life Insurance Co. USAA insurance violation 2014 MD-INS $9,000
Pacific Life Insurance Co. Pacific Life insurance violation 2017 MD-INS $9,000
Allstate Indemnity Insurance Co. Allstate insurance violation 2010 MN-FIN $9,000
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2018 NE-DBF $9,000
PHH Mortgage Corporation Ocwen Financial consumer protection violation 2011 NJ-DBI $9,000
21st Century Centennial Insurance Company Zurich Insurance insurance violation 2014 NY-DFS $9,000
Erie Insurance Company of New York Erie Indemnity insurance violation 2014 NY-DFS $9,000
Combined Insurance Company of America Chubb Limited insurance violation 2006 OR-FIN $9,000
American Express Financial Advisors Inc. Ameriprise Financial investor protection violation 2000 TX-SEC $9,000
Fidelity and Guaranty Insurance Company Fidelity National Financial insurance violation 2009 TX-INS $9,000
American Zurich Insurance Company Zurich Insurance insurance violation 2011 TX-INS $9,000
America First Lloyds Insurance Company Liberty Mutual Insurance insurance violation 2011 TX-INS $9,000
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2014 TX-INS $9,000
Protective Insurance Company Protective Insurance Corp. insurance violation 2014 TX-INS $9,000
Chubb Indemnity Insurance Company Chubb Limited insurance violation 2014 TX-INS $9,000
Indemnity Insurance Company of North America Chubb Limited insurance violation 2015 TX-INS $9,000
American Zurich Insurance Company Zurich Insurance insurance violation 2015 TX-INS $9,000
The Travelers Indemnity Company Travelers insurance violation 2016 TX-INS $9,000
American Home Assurance Company American International Group insurance violation 2016 TX-INS $9,000
Trumbull Insurance Company Hartford Financial Services insurance violation 2017 TX-INS $9,000
Hartford Underwriters Insurance Company Hartford Financial Services insurance violation 2018 TX-INS $9,000
Ace American Insurance Company Chubb Limited insurance violation 2018 TX-INS $9,000
Sentry Insurance Sentry Insurance insurance violation 2019 TX-INS $9,000
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2019 TX-INS $9,000
AMERITAS LIFE INSURANCE CORP Ameritas Mutual Holding Company insurance violation 2001 VA-INS $9,000
PACIFIC LIFE & ANNUITY COMPANY Pacific Life insurance violation 2001 VA-INS $9,000
RELIASTAR LIFE INSURANCE CO Voya Financial insurance violation 2001 VA-INS $9,000
NEW ENGLAND LIFE INSURANCE CO. Brighthouse Financial insurance violation 2002 VA-INS $9,000
HCC LIFE INSURANCE COMPANY Tokio Marine insurance violation 2015 VA-INS $9,000
National Casualty Company Nationwide insurance violation 2016 WA-INS $9,000
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $9,000
Minnesota Life Insurance Co. Securian Financial insurance violation 2020 CT-INS $9,000
Ameritas Life Insurance Corp Ameritas Mutual Holding Company wage and hour violation 2017 WHD $9,019
IAC Invesco workplace safety or health violation 2013 OSHA $9,025
Fifth Third Bancorp Fifth Third Bancorp wage and hour violation 2007 WHD $9,038
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2015 NE-DBF $9,050
IAC SPRINGFIELD, LLC Invesco workplace safety or health violation 2014 OSHA $9,100
Nationwide Insurance Nationwide wage and hour violation 2010 WHD $9,109
First Union Bank Wells Fargo labor relations violation 2000 NLRB $9,116
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $9,122
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)