Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$325,206,110,617
Number of Records: 
5,976
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$82,700,046,034213
JPMorgan Chase$34,530,243,993154
Citigroup$25,045,655,764120
Wells Fargo$21,199,943,231179
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Royal Bank of Scotland$13,455,904,00027
Goldman Sachs$13,140,380,98740
BNP Paribas$12,132,582,95017
Credit Suisse$10,409,957,62631


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
FIRST NIAGARA FINANCIAL GROUP, INC. KeyCorp benefit plan administrator violation 2011 EBSA $10,001
FIRST NBC BANK Hancock Whitney Corp. benefit plan administrator violation 2011 EBSA $10,001
FRED ALGER & COMPANY, INCORPORATED Alger Associates benefit plan administrator violation 2006 EBSA $10,001
HORACE MANN SERVICE CORPORATION Horace Mann Educators Corp. benefit plan administrator violation 2006 EBSA $10,001
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2018 EBSA $10,001
OCWEN FINANCIAL CORPORATION Ocwen Financial benefit plan administrator violation 2019 EBSA $10,001
Huntington National Bank Huntington Bancshares wage and hour violation 2010 WHD $10,007
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2015 MSHA $10,030
Stewart Title Guaranty Company Stewart Information Services insurance violation 2019 WA-INS $10,050
TMX Finance, LLC TMX Finance wage and hour violation 2014 WHD $10,057
Barclays Bank PLC Barclays economic sanction violation 2003 OFAC $10,107
SunTrust Bank Truist Financial banking violation 2005 WI-AG $10,107
Selective Insurance Company of America Selective Insurance Group insurance violation 2019 VA-INS $10,137
Solium Financial Services, LLC Morgan Stanley investor protection violation 2020 IA-INS $10,147
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2007 NE-DBF $10,200
Granite State Insurance Company American International Group insurance violation 2016 TX-INS $10,200
Societe Generale Financial Corporation Societe Generale banking violation 2020 CA-DBO $10,250
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2006 RI-FIN $10,250
Arch Indemnity Insurance Company Arch Capital insurance violation 2019 TX-INS $10,250
Bankers Conseco Life Insurance Company CNO Financial insurance violation 2015 NY-DFS $10,270
WHEELABRATOR SHASTA ENERGY CO. Macquarie workplace safety or health violation 2000 OSHA $10,275
New Hampshire Insurance Co. American International Group insurance violation 2000 KS-INS $10,375
National Union Fire Insurance Company of Pittsburgh, Pennsylvania American International Group insurance violation 2000 KS-INS $10,375
Mellon Bank N.A. Bank of New York Mellon economic sanction violation 2004 OFAC $10,400
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2001 EPA $10,400
Penn Mutual Life Insurance Co. Penn Mutual insurance violation 2015 MD-INS $10,400
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $10,437
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $10,437
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $10,437
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $10,437
Bowie Resources LLC Trafigura workplace safety or health violation 2011 MSHA $10,437
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $10,450
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2016 MSHA $10,457
INTERNATIONAL MATEX TANK TERMINALS Macquarie railroad safety violation 2008 FRA $10,500
Allstate Insurance Co. Allstate insurance violation 2005 CO-INS $10,500
Bankers Life and Casualty Co. CNO Financial insurance violation 2001 FL-OFR $10,500
The Guardian Life Insurance Company of America Guardian Life Insurance insurance violation 2008 FL-OFR $10,500
State Farm Life Insurance Co. State Farm Insurance insurance violation 2008 FL-OFR $10,500
State Farm Life Insurance Co. State Farm Insurance insurance violation 2010 FL-OFR $10,500
RiverSource Life Insurance Co. Ameriprise Financial insurance violation 2011 FL-OFR $10,500
State Farm Life Insurance Co. State Farm Insurance insurance violation 2012 FL-OFR $10,500
Pacific Life Insurance Co. Pacific Life insurance violation 2012 FL-OFR $10,500
State Farm Life Insurance Co. State Farm Insurance insurance violation 2014 FL-OFR $10,500
Pruco Life Insurance Co. Prudential Financial insurance violation 2014 FL-OFR $10,500
Genworth Life and Annuity Insurance Co. Genworth Financial insurance violation 2014 FL-OFR $10,500
United States Fire Insurance Company of Plano Fairfax Financial Holdings insurance violation 2009 TX-INS $10,500
ALLO COMMUNICATIONS Nelnet workplace safety or health violation 2011 OSHA $10,500
THE GAS COMPANY, LLC Macquarie workplace safety or health violation 2013 OSHA $10,500
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $10,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2018 MSHA $10,500
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 AK-DBS $10,527
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 OR-FIN $10,599
The Phoenix Insurance Company Travelers insurance violation 2014 TX-INS $10,628
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $10,705
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $10,705
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2008 MSHA $10,705
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $10,705
Zurich American Insurance Co. of Illinois Zurich Insurance insurance violation 2020 TX-INS $10,800
American Guarantee and Liability Insurance Co. Zurich Insurance insurance violation 2002 FL-OFR $10,850
Ticor Title Insurance Co. Fidelity National Financial insurance violation 2009 IN-INS $10,850
Bowie Resources LLC Trafigura workplace safety or health violation 2015 MSHA $10,867
GEORGIA CASH AMERICA, INC. FirstCash workplace safety or health violation 2015 OSHA $10,920
Protective Insurance Company Protective Insurance Corp. insurance violation 2014 TX-INS $10,965
American Automobile Insurance Company et al. Allianz insurance violation 2011 VA-INS $10,973
Wachovia Bank Wells Fargo economic sanction violation 2007 OFAC $11,000
Bank of China Bank of China economic sanction violation 2005 OFAC $11,000
Wachovia Bank Wells Fargo economic sanction violation 2004 OFAC $11,000
HSBC Bank USA HSBC economic sanction violation 2003 OFAC $11,000
Societe Generale Societe Generale economic sanction violation 2003 OFAC $11,000
Edward D. Jones and Co.,LP Jones Financial investor protection violation 2003 AK-DBS $11,000
Quicken Loans Inc. Quicken Loans consumer protection violation 2018 AK-DBS $11,000
Foremost Property and Casualty Insurance Co. et al. Zurich Insurance insurance violation 2019 DE-INS $11,000
Life Investors Insurance Company of America Aegon insurance violation 2004 FL-OFR $11,000
Fortis Insurance Co. Assurant insurance violation 2007 FL-OFR $11,000
AIG Claims, Inc. American International Group insurance violation 2018 LA-INS $11,000
American Health and Life Insurance Co. OneMain Holdings insurance violation 2019 LA-INS $11,000
New Hampshire Insurance Co. American International Group insurance violation 2018 MO-INS $11,000
Ameritas Investment Corp. Ameritas Mutual Holding Company investor protection violation 2008 NE-DBF $11,000
Farmers Insurance Company of Oregon Zurich Insurance insurance violation 2005 OR-FIN $11,000
American Guarantee and Liability Insurance Company Zurich Insurance insurance violation 2014 TX-INS $11,000
Old Republic Insurance Company Old Republic International insurance violation 2017 TX-INS $11,000
State Farm Fire and Casualty Company State Farm Insurance insurance violation 2017 TX-INS $11,000
Travelers Casualty and Surety Company Travelers insurance violation 2018 TX-INS $11,000
Permanent General Assurance Corporation American Family Insurance insurance violation 2019 VT-FIN $11,000
Conseco Health Insurance Co. CNO Financial insurance violation 2004 WI-INS $11,000
WESTERN UNION Western Union workplace safety or health violation 2015 OSHA $11,000
John Hancock Variable Life Insurance Co. Manulife Financial insurance violation 2006 MO-INS $11,040
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go CNG Financial consumer protection violation 2009 NE-DBF $11,050
THE RICHLAND TRUST COMPANY Park National Corp. banking violation 2006 FDIC $11,100
AIU Insurance Co. American International Group insurance violation 2010 ME-INS $11,111
American Home Assurance Co. American International Group insurance violation 2010 ME-INS $11,111
Commerce and Industry Insurance Co. American International Group insurance violation 2010 ME-INS $11,111
Granite State Insurance Co. American International Group insurance violation 2010 ME-INS $11,111
Illinois National Insurance Co. American International Group insurance violation 2010 ME-INS $11,111
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2010 ME-INS $11,111
National Union Fire Insurance Company of Pittsburg, Pa. American International Group insurance violation 2010 ME-INS $11,111
New Hampshire Insurance Co. American International Group insurance violation 2010 ME-INS $11,111
Lansing Trade Group, LLC Lansing Trade Group environmental violation 2014 EPA $11,164
WHEELABRATOR GLOU CO LP (SES GLOUCESTER) Macquarie environmental violation 2001 EPA $11,200
Taylor, Bean & Whitaker Corp. Taylor, Bean & Whitaker wage and hour violation 2009 WA-DLI $11,268
Metropolitan Life Insurance Co. MetLife insurance violation 2017 MD-INS $11,300
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)