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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
BRISTOL WEST INSURANCE COMPANYZurich Insuranceinsurance violation2006VA-INS$20,000
ESURANCE INSURANCE COMPANYAllstateinsurance violation2009VA-INS$20,000
LINCOLN FINANCIAL SECURITIESLincoln Nationalinvestor protection violation2018VA-SEC$20,000
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2017VT-FIN$20,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2011WA-INS$20,000
Arch Insurance CompanyArch Capitalinsurance violation2011WA-INS$20,000
Transamerica Casualty Insurance CompanyAegoninsurance violation2014WA-INS$20,000
Unitrin Auto And Home Insurance CompanyKemperinsurance violation2014WA-INS$20,000
Hartford Accident & Indemnity Company et al.Hartford Financial Servicesinsurance violation2015WA-INS$20,000
Jackson National Life Insurance CompanyJackson Financialinsurance violation2016WA-INS$20,000
Unitrin Auto And Home Insurance CompanyKemperinsurance violation2016WA-INS$20,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2016WA-INS$20,000
Hartford Insurance Company The MidwestHartford Financial Servicesinsurance violation2018WA-INS$20,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018WA-INS$20,000
National Casualty CompanyNationwideinsurance violation2019WA-INS$20,000
State Farm Fire & Casualty CompanyState Farm Insuranceinsurance violation2019WA-INS$20,000
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2020WA-INS$20,000
St. Paul Fire & Marine Insurance Co.Travelersinsurance violation2005WI-INS$20,000
Conseco Health Insurance Co.CNO Financialinsurance violation2009WI-INS$20,000
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2020CT-INS$20,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2020NY-DFS$20,000
Property and Casualty Insurance Co. of HartfordHartford Financial Servicesinsurance violation2020TX-INS$20,000
National Union Fire Insurance Company of Pittsburgh, PA. et al.American International Groupinsurance violation2020WA-INS$20,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2020DE-INS$20,000
Allied Property & Casualty Insurance Company et al.Nationwideinsurance violation2020VA-INS$20,000
SYNAGRO CTL LLCGoldman Sachsenvironmental violation2004PA-ENV$20,000
VitolVitolenvironmental violation2005CA-ARB$20,000
PayPal, Inc. dba VenmoPayPal Holdingsconsumer protection violation2020MN-FIN$20,000
Prudential Securities IncorporatedWells Fargoinvestor protection violation2001FINRA$20,000
E-TRADE Securities, Inc.Morgan Stanleyinvestor protection violation2000FINRA$20,000
E-TRADE Securities, Inc.Morgan Stanleyinvestor protection violation2000FINRA$20,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2021SD-SEC$20,000
ALLIED PROPERTY AND CASUALTY INSURANCE COMPANY ET AL.Nationwideinsurance violation2021WA-INS$20,000
Sagamore Insurance Co.Progressiveinsurance violation2021TX-INS$20,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2021OR-FIN$20,000
Farmers Insurance Company of Washington et al.Zurich Insuranceinsurance violation2021WA-INS$20,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2021WA-INS$20,000
American Memorial Life Insurance CompanyAssurantinsurance violation2021WA-INS$20,000
Union Security Life Insurance Company of New YorkAssurantinsurance violation2021NY-DFS$20,000
National Integrity Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2020NY-DFS$20,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2018TX-PUC$20,000
National Casualty CompanyNationwideinsurance violation2022RI-FIN$20,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$20,000
Travelers Indemnity Company et al.Travelersinsurance violation2022WA-INS$20,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2022TX-INS$20,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022OR-FIN$20,000
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$20,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2022TX-INS$20,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2023AK-INS$20,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2022CT-INS$20,000
Western & Southern LifeWestern & Southern Financial Groupwage and hour violation2021MI-LEO$20,000
IFCO SYSTEMS N.A., INC.Triton Investments Advisersworkplace safety or health violation2006OSHA$20,000
BUCKEYE PORT READING TERMINAL LLCIFM Investorsenvironmental violation2006NJ-ENV$20,005
Farmer's Group, Inc.Zurich Insurancewage and hour violation2010WHD$20,122
BancFirst Insurance Services, Inc.BancFirstwage and hour violation2014WHD$20,229
AllianceBernstein L.P.Equitable Holdingsinvestor protection violation2013CO-SEC$20,232
The Travelers Indemnity Company of America et al.Travelersinsurance violation2014MD-INS$20,400
Travelers Indemnity Company of IllinoisTravelersinsurance violation2003FL-OFR$20,500
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2015NE-DBF$20,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$20,500
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2009MO-INS$20,725
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2000CO-INS$20,750
Regions BankRegions Financialenvironmental violation2017TN-ENV$20,750
American Home Assurance Co.American International Groupinsurance violation2012TX-INS$20,784
IAC HURON, LLCInvescoworkplace safety or health violation2011OSHA$20,940
Foremost Property & Casualty Insurance Co.Zurich Insuranceinsurance violation2015AZ-DIFI$21,000
Kemper Investors Life Insurance Co. et al.Kemperinsurance violation2005CA-INS$21,000
XL Specialty Insurance Co.AXAinsurance violation2012MO-INS$21,000
Phoenix Insurance Co.Travelersinsurance violation2016MO-INS$21,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2015NY-DFS$21,000
Hartford Casualty Insurance Company et al.Hartford Financial Servicesinsurance violation2008TX-INS$21,000
HARLEYSVILLE MUTUAL INSURANCE CONationwideinsurance violation2001VA-INS$21,000
CMFG LIFE INSURANCE COMPANYCUNA Mutualinsurance violation2014VA-INS$21,000
LOUIS DREYFUS CITRUS INCLouis Dreyfusenvironmental violation2008FL-DEP$21,000
Nyrstar Tennessee Mines, Strawberry Plains LLCTrafiguraworkplace safety or health violation2022MSHA$21,029
Fidelity & Guaranty Insurance CompanyFidelity National Financialinsurance violation2001MA-INS$21,037
WHEELABRATOR FALLS INCMacquarieenvironmental violation2006PA-ENV$21,079
The Travelers Indemnity CompanyTravelerswage and hour violation2009WHD$21,283
Allstate Financial Services, LLCAllstateinvestor protection violation2002FL-OFR$21,300
Trafigura AGTrafiguraenvironmental violation2015EPA$21,450
American Alternative Insurance Corp.Munich Reinsurance violation2003FL-OFR$21,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2016TX-INS$21,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$21,500
QBE Insurance CorporationQBE Insuranceinsurance violation2016TX-INS$21,565
First American Title Insurance Co.First American Financialinsurance violation2010MN-FIN$21,750
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2022TX-INS$21,800
GREAT SOUTHERN BANKGreat Southern Bancorpbanking violation2011FDIC$21,935
ING AmericaVoya Financialwage and hour violation2010WHD$21,986
REPUBLIC BANK & TRUST COMPANYRepublic Bancorpbanking violation2009FDIC$22,000
State Street Bank & Trust CoState Street Corp.economic sanction violation2003OFAC$22,000
MAINSOURCE BANKFirst Financial Bancorp.banking violation2010FDIC$22,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2010KS-INS$22,000
Ace American Insurance CompanyChubb Limitedinsurance violation2018TX-INS$22,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2018TX-INS$22,000
CITIGROUP GLOBAL MARKETSCitigroupinvestor protection violation2008VA-SEC$22,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2021NY-DFS$22,000
Branch Banking & Trust CorporationTruist Financialcampaign finance violation2001FEC$22,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$22,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$22,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$22,000
Everest National Insurance CompanyEverest Re Groupinsurance violation2023TX-INS$22,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.