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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
Bank of AmericaBank of Americaeconomic sanction violation2004OFAC$13,573
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.Louis Dreyfusworkplace safety or health violation2011OSHA$13,600
Prospect Mortgage LLCHomebridge Financial Serviceswage and hour violation2010WHD$13,728
Sentry Insurance, A Mutual CompanySentry Insuranceinsurance violation2012TX-INS$13,750
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2017TX-INS$13,750
Nationwide Mutual Insurance CompanyNationwidewage and hour violation2021WHD$13,808
Fireman' Fund Insurance Co.Allianzinsurance violation2002FL-OFR$13,850
ZURICH AMERICAN INS COZurich Insurancewage and hour violation2018IL-DOL$13,865
Prosper MarketplaceProsper Marketplaceinvestor protection violation2015IN-SEC$13,957
Wells FargoWells Fargoemployment discrimination2015OFCCP$14,000
Louis Dreyfus Commodities Grand Junction LLCLouis Dreyfustax violations2017ATTTB$14,000
Property Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2019CT-INS$14,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2000FL-OFR$14,000
LPL Financial, LLCLPL Financialinvestor protection violation2013IN-SEC$14,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2013MD-INS$14,000
Solium Financial Services LLCMorgan Stanleyconsumer protection violation2019NE-DBF$14,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2012OR-FIN$14,000
Arch Insurance CompanyArch Capitalinsurance violation2010TX-INS$14,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2012TX-INS$14,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2014TX-INS$14,000
Travelers Casualty and Surety CompanyTravelersinsurance violation2019TX-INS$14,000
AMERICAN GENERAL LIFEAmerican International Groupinsurance violation2001VA-INS$14,000
AMICA MUTUAL INSURANCE COMPANYAmica Mutual Insuranceinsurance violation2002VA-INS$14,000
UNUM LIFE INSURANCE COMPANYUnuminsurance violation2003VA-INS$14,000
AMERIPRISE FINANCIAL SERVICES, INC.Ameriprise Financialinvestor protection violation2016VA-SEC$14,000
Bank of North GeorgiaSynovus Financialenvironmental violation2011GA-ENV$14,000
BUCKEYE PIPELINE CO LLPIFM Investorsenvironmental violation2000NJ-ENV$14,000
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$14,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$14,000
IAC Greencastle, LLCInvescoenvironmental violation2022IN-ENV$14,000
Hartford Accident & Indemnity CompanyHartford Financial Servicesinsurance violation2023TX-INS$14,000
Security National Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$14,000
Bank Of AmericaBank of Americawage and hour violation2010MI-LEO$14,000
AIU Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$14,000
Allied Home MortgageAmericus Mortgagewage and hour violation2004WHD$14,037
Vitol, Inc.Vitolenvironmental violation2015EPA$14,047
Bankers Life and Casualty Co.CNO Financialinsurance violation2018MD-INS$14,100
Iberiabank CorpFirst Horizon Nationalenvironmental violation2017LA-ENV$14,213
Buckeye Terminals, LLCIFM Investorsenvironmental violation2013VA-ENV$14,262
Wedbush Securities Inc.Wedbush Securitiesinsurance violation2011CO-INS$14,300
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2013TX-INS$14,360
NYRSTAR CLARKSVILLE INC.Trafiguraworkplace safety or health violation2022OSHA$14,400
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2014NY-DFS$14,450
WHEELABRATOR SOUTH BROWARD, INC.Macquarieenvironmental violation2005FL-DEP$14,450
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$14,479
PayPal, Inc.PayPal Holdingsconsumer protection violation2015FL-OFR$14,500
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2001MA-INS$14,500
Travelers Property Casualty Company of AmericaTravelersinsurance violation2018TX-INS$14,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2023TX-INS$14,500
BUCKEYE TEXAS PROCESSING, LLCIFM Investorsworkplace safety or health violation2022OSHA$14,502
Bank of AmericaBank of AmericaFamily and Medical Leave Act2017WHD$14,528
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusenvironmental violation2010FL-DEP$14,600
Ace Fire Underwriters Insurance CompanyChubb Limitedinsurance violation2014TX-INS$14,615
WAUSAU BUSINESS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2001FL-OFR$14,625
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020MT-FIN$14,700
General Casualty Company of WisconsinQBE Insuranceinsurance violation2013MO-INS$14,722
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$14,743
UBS (USA) IncUBSeconomic sanction violation2003OFAC$14,750
Imperial-Savannah LPLouis Dreyfusenvironmental violation2014GA-ENV$14,750
Ace American Insurance CompanyChubb Limitedinsurance violation2008TX-INS$14,875
Union Bank of CAU.S. Bancorpeconomic sanction violation2003OFAC$14,913
BOYD CORPORATIONGoldman Sachsworkplace safety or health violation2022OSHA$14,917
Barclays Bank PLCBarclayseconomic sanction violation2004OFAC$14,970
American Express Centurion BankAmerican Expresstax violations2012CT-AG$14,970
Noble Americas Corp.Vitolrailroad safety violation2012FRA$15,000
PNC MortgagePNC Financial Servicesdiscriminatory practices (non-employment)2013HUD$15,000
Home Loan Center, Inc.LendingTreediscriminatory practices (non-employment)2012HUD$15,000
The Cincinnati Insurance CompaniesCincinnati FinancialFamily and Medical Leave Act2005WHD$15,000
Farmers Insurance ExchangeFarmers Insurance Exchangediscriminatory practices (non-employment)2017HUD$15,000
Bankers Life and Casualty Co.CNO Financialprivacy violation2003KS-AG$15,000
H&R Block Financial AdvisorsH&R Blockprivacy violation2001MO-AG$15,000
German American BancorpGerman American Bancorpbanking violation2012FDIC$15,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2010AL-SEC$15,000
Merrill Lynch & Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2010AR-SEC$15,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2011AZ-DIFI$15,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2006CA-INS$15,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinsurance violation2019CA-INS$15,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2010CT-SEC$15,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013DC-DISB$15,000
Nationwide Mutual Insurance Co.Nationwideinsurance violation2015DE-INS$15,000
HomeSite Insurance Co.American Family Insuranceinsurance violation2016DE-INS$15,000
T.H.E. INSURANCE COMPANYAXAinsurance violation2001FL-OFR$15,000
Axa Re Property and Casualty Insurance Co.AXAinsurance violation2005FL-OFR$15,000
Saxon Mortgage Services, Inc.Ocwen Financialconsumer protection violation2012FL-OFR$15,000
World Group Securities, Inc.Aegoninvestor protection violation2004ID-SEC$15,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2010ID-INS$15,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2011IL-INS$15,000
GMAC Mortgage, LLC dba DitechAlly Financialconsumer protection violation2013IL-BKG$15,000
American General Life Insurance Co.American International Groupinsurance violation2016KS-INS$15,000
Aon Risk Services NortheastAoninsurance violation2014MA-INS$15,000
First American Title Insurance Co.First American Financialinsurance violation2011MD-INS$15,000
Federal Insurance Co. et al.Chubb Limitedinsurance violation2011MD-INS$15,000
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2011MD-INS$15,000
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2011MD-INS$15,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2012MD-INS$15,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2013MD-INS$15,000
Hartford Accident and Indemnity Co. et al.Hartford Financial Servicesinsurance violation2015MD-INS$15,000
Nationwide General Insurance Co.Nationwideinsurance violation2016MD-INS$15,000
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2016MD-INS$15,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2000MN-FIN$15,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2006MN-FIN$15,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.