Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount sort icon
Scottsdale Insurance CompanyNationwideinsurance violation2000MA-INS$26,208
Travelers Home and Marine Insurance CompanyTravelersinsurance violation2022KS-INS$26,240
Ace America's Cash Express, Inc.ACE Cash Expresswage and hour violation2004WHD$26,295
WAUSAU UNDERWRITERS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2001FL-OFR$26,325
UBS Inc.UBSlabor relations violation2010NLRB$26,351
AMEX ASSURANCE CO.American Expressinsurance violation2007VA-INS$26,400
Arch Insurance CompanyArch Capitalinsurance violation2019VA-INS$26,447
Bristol West Insurance Co.Zurich Insuranceinsurance violation2004FL-OFR$26,500
Arch Insurance CompanyArch Capitalinsurance violation2012TX-INS$26,500
JEFFERSON PILOT SECURITIESLincoln Nationalinvestor protection violation2003VA-SEC$26,500
American Express Travel Related Services CompAmerican ExpressFamily and Medical Leave Act2004WHD$26,722
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2010VA-INS$26,942
Seacoast National BankSeacoast Banking Corporation of Floridabanking violation2013OCC$26,950
JP Morgan ChaseJPMorgan Chaseeconomic sanction violation2004OFAC$26,980
ASI SERVICESProgressiveaviation safety violation2015FAA$27,000
FORTIS INSURANCE CO., ET AL.Assurantinsurance violation2002VA-INS$27,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2002VA-INS$27,000
THE GUARDIAN LIFE INSURANCE COGuardian Life Insuranceinsurance violation2004VA-INS$27,000
UNION SECURITY LIFE INSURANCEAssurantinsurance violation2007VA-INS$27,000
BANKERS LIFE AND CASUALTY CO.CNO Financialinsurance violation2013VA-INS$27,000
SYNAGRO-PATAPSCO PELLETIZERGoldman Sachsenvironmental violation2008MD-ENV$27,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2011TX-PUC$27,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2006TX-PUC$27,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$27,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$27,000
UBS Financial Services, Inc.UBSwage and hour violation2007WHD$27,152
AIU Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$27,180
WHEELABRATOR FRACKVILLE ENERGYMacquarieenvironmental violation2012PA-ENV$27,400
Bank of New YorkBank of New York Melloneconomic sanction violation2004OFAC$27,500
21st Century Centennial Insurance Co.Zurich Insuranceinsurance violation2016DE-INS$27,500
Great Plains Specialty Finance Inc. dba Check 'N GoCNG Financialconsumer protection violation2020OK-DCC$27,500
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2011PA-BKG$27,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2012TX-INS$27,500
American States Insurance CompanyLiberty Mutual Insuranceinsurance violation2016TX-INS$27,500
R. R. Donnelley & Sons CoChatham Asset Managementenvironmental violation2017CA-SCAQMD$27,500
Bristol West Casualty Insurance Company and Bristol West Insurance CompanyZurich Insuranceinsurance violation2020VA-INS$27,560
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2014DE-INS$27,600
Jefferson National Life Insurance CompanyNationwideinsurance violation2020VA-INS$27,600
Gerber Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2022VA-INS$27,600
General Automobile Insurance Company, IncAmerican Family Insuranceinsurance violation2019VA-INS$27,624
Bank of America, National AssociationBank of Americaenvironmental violation2013VA-ENV$27,625
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersworkplace safety or health violation2007OSHA$27,690
Keybank National AssociationKeyCorpbanking violation2007OCC$27,750
State Farm Mutual Automobile Insurance CompanState Farm InsuranceFamily and Medical Leave Act2010WHD$27,787
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2019VA-INS$27,828
The Standard Fire Insurance CompanyTravelersinsurance violation2018TX-INS$27,855
Fidelity National Financial, IncFidelity National Financialwage and hour violation2008WHD$27,858
Bankers Conseco Life InsuranceCNO Financialinsurance violation2019NY-DFS$27,900
Allied Property & Casualty Insurance CompanyNationwideinsurance violation2011VA-INS$27,911
Nuveen Services LLCTIAAwage and hour violation2018IL-DOL$27,983
Union Security Insurance CompanyAssurantconsumer protection violation2007MA-AG$28,000
State Farm Fire & Casualty Insurance Co. and State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2016DE-INS$28,000
American Heritage Life Insurance Co.Allstateinsurance violation2011FL-OFR$28,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2016FL-OFR$28,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2014TX-INS$28,000
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2016VT-FIN$28,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2020CT-INS$28,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$28,000
KEYBANK NATIONAL ASSOCIATIONKeyCorpworkplace safety or health violation2004OSHA$28,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020SC-SEC$28,007
PEERLESS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2003VA-INS$28,100
Praetorian Insurance Co.QBE Insuranceinsurance violation2018MO-INS$28,120
Universal Underwriters Insurance CompanyZurich Insuranceinsurance violation2007NH-INS$28,125
SAFECO INSURANCE CO. ET AL.Liberty Mutual Insuranceinsurance violation2002VA-INS$28,200
BUCKEYE PENNSAUKEN TERMINAL LLCIFM Investorsenvironmental violation2006NJ-ENV$28,200
NationwideNationwidewage and hour violation2009WHD$28,290
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
Broadspire Services, Inc.Crawford & Co.workplace safety or health violation2011MO-AG$28,500
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$28,560
Auto-Owners Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2007MO-INS$28,704
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2009MD-SEC$28,706
National Union Fire Insurance Company of Pittsburgh, PennsylvaniaAmerican International Groupinsurance violation2019VA-INS$28,806
THE NORTH RIVER INSURANCE CO.Fairfax Financial Holdingsinsurance violation2009VA-INS$28,916
NYRSTAR CLARKSVILLE, INC.Trafiguraworkplace safety or health violation2020OSHA$28,916
Old Republic Insurance CoOld Republic Internationalinsurance violation2016TX-INS$28,921
PHH Mortgage Corp. dba Century MortgageOcwen Financialconsumer protection violation2013CT-BKG$29,000
VICTORIA FIRE & CASUALTY ET ALNationwideinsurance violation2003VA-INS$29,000
LIFE INVESTORS INSURANCE COMPANY OF AMERICAAegoninsurance violation2006VA-INS$29,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2023TX-INS$29,000
PROGRESSIVE, INC.Progressiveworkplace safety or health violation2012OSHA$29,000
American Express CompanyAmerican Expressemployment discrimination2022DOJ_RIGHTS$29,008
Arch Insurance Co.Arch Capitalinsurance violation2013MT-FIN$29,075
Brothers Property CorporationAmerican Financial Groupwage and hour violation2006WHD$29,273
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2016NY-DFS$29,325
Raymond James & AssociatesRaymond James Financialwage and hour violation2020MI-LEO$29,361
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2011UT-INS$29,500
Allstate Insurance CompanyAllstateinsurance violation2022CT-INS$29,500
AXA Equitable Life Insurance CompanyEquitable Holdingswage and hour violation2006WHD$29,534
Central Payment Co., LLCGlobal Payments Inc.wage and hour violation2014WHD$29,634
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2012VA-INS$29,709
Tokio Marine & Nichido Fire Insurance Co.Tokio Marineinsurance violation2013MO-INS$29,750
State Farm Fire & Casualty Company and State Farm Mutual Auto Insurance Co.State Farm Insuranceinsurance violation2015VT-FIN$29,750
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$29,800
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2014TX-INS$29,981
Charles Schwab BankCharles Schwab Corp.discriminatory practices (non-employment)2011HUD$30,000
Bank of AmericaBank of Americaemployment discrimination2016EEOC$30,000
Bank of New York Mellon (Shanghai Branch)Bank of New York Mellonexport control violation2011BIS$30,000
BNY Mellon Shareowner ServicesBank of New York Melloninvestor protection violation2010MA-AG$30,000
Brown & Brown of Washington, Inc.Brown & Browninsurance violation2012AK-INS$30,000
Marsh USA Inc.Marsh & McLennaninsurance violation2019AK-INS$30,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.