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.
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Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
NATIONWIDE MUTUAL INS CO/LOWER SALFORD Nationwide environmental violation 2017 EPA $6,150
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $6,153
ELEPHANT INSURANCE COMPANY Admiral Group insurance violation 2013 VA-INS $6,154
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,188
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,188
United Services Automobile Association USAA insurance violation 2018 OR-FIN $6,200
Bank of America Bank of America wage and hour violation 2008 WHD $6,209
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2016 MSHA $6,225
UBS Financial Services Inc. UBS wage and hour violation 2018 WHD $6,246
Trustmark National Bank Trustmark banking violation 2012 OCC $6,250
NOBLE AMERICAS SOUTH BEND ETHANOL LLC Vitol environmental violation 2009 EPA $6,250
FEDERAL INSURANCE COMPANY Chubb Limited insurance violation 2017 VA-INS $6,261
Transamerica Life Insurance Co. Aegon insurance violation 2012 CO-INS $6,270
IMTT BAYONNE 340171219400099 Macquarie environmental violation 2011 EPA $6,300
CORPUS CHRISTI ALUMINA Glencore environmental violation 2003 EPA $6,300
CORPUS CHRISTI ALUMINA Glencore environmental violation 2003 EPA $6,300
Reliance Standard Life Insurance Co. Tokio Marine insurance violation 2009 KS-INS $6,300
LM Insurance Corporation Liberty Mutual Insurance insurance violation 2016 TX-INS $6,300
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2018 TX-INS $6,300
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLC Invesco workplace safety or health violation 2014 OSHA $6,300
CITIZENS FINANCIAL GROUP, INC. Citizens Financial Group workplace safety or health violation 2017 OSHA $6,338
Marsh & McLennan Agency LLC Marsh & McLennan insurance violation 2020 TX-INS $6,350
IAC SPRINGFIELD LLC Invesco workplace safety or health violation 2014 OSHA $6,350
TMX Finance, LLC TMX Finance wage and hour violation 2016 WHD $6,353
Sun Life Assurance Company of Canada (U.S.) Sun Life Financial wage and hour violation 2009 WHD $6,366
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2017 MSHA $6,367
Metropolitan Life Insurance Company MetLife Family and Medical Leave Act 2009 WHD $6,375
Accident Fund General Insurance Company AF Group insurance violation 2018 TX-INS $6,400
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2010 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $6,458
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2008 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $6,458
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2008 MSHA $6,458
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2014 MSHA $6,458
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $6,458
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $6,458
Bowie Resources LLC Trafigura workplace safety or health violation 2014 MSHA $6,458
Bowie Resources LLC Trafigura workplace safety or health violation 2011 MSHA $6,458
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2015 MSHA $6,458
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2015 MSHA $6,458
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2015 MSHA $6,458
Bank of America Bank of America Family and Medical Leave Act 2008 WHD $6,500
Noble Americas Corporation Vitol railroad safety violation 2017 FRA $6,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $6,500
Principal Life Insurance Co. Principal Financial insurance violation 2002 FL-OFR $6,500
United Insurance Co. of America Kemper insurance violation 2007 IN-INS $6,500
National Casualty Company Nationwide insurance violation 2000 MA-INS $6,500
Carefirst of Maryland, Inc. CareFirst of Maryland insurance violation 2011 MD-INS $6,500
Group Hospitalization & Medical Services, Inc. CareFirst of Maryland insurance violation 2012 MD-INS $6,500
American Family Mutual Insurance Company American Family Insurance insurance violation 2008 OR-FIN $6,500
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2014 TX-INS $6,500
LM Insurance Corporation Liberty Mutual Insurance insurance violation 2016 TX-INS $6,500
Marsh USA, Inc. Marsh & McLennan insurance violation 2016 TX-INS $6,500
Selective Insurance Company of America Selective Insurance Group insurance violation 2019 TX-INS $6,500
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2019 TX-INS $6,500
First American Title Insurance Company First American Financial insurance violation 2016 UT-INS $6,500
State Farm Mutual Automobile Insurance Company State Farm Insurance insurance violation 2010 WA-INS $6,500
General Casualty Company of Wisconsin QBE Insurance insurance violation 2003 WI-INS $6,500
Hartford Insurance Company of the Midwest Hartford Financial Services insurance violation 2003 WI-INS $6,500
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $6,500
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $6,500
Seabury & Smith, Inc. Marsh & McLennan insurance violation 2006 AK-INS $6,530
Universal Underwriters Insurance Co. Zurich Insurance insurance violation 2007 MO-INS $6,530
WOORI USA CORP Woori Bank motor vehicle safety violation 2010 FMCSA $6,550
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2010 NE-DBF $6,550
Bankers Life and Casualty Co. CNO Financial insurance violation 2007 IN-INS $6,569
World Acceptance Corporation, Inc World Acceptance Corporation wage and hour violation 2019 WHD $6,582
Societe Generale Societe Generale economic sanction violation 2003 OFAC $6,600
Mutual of Omaha Insurance Co. Mutual of Omaha insurance violation 2018 MD-INS $6,600
BANK OF AMERICA Bank of America workplace safety or health violation 2011 OSHA $6,600
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA INC Invesco workplace safety or health violation 2015 OSHA $6,600
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $6,600
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $6,600
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $6,600
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $6,600
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $6,624
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2019 MSHA $6,660
Hartford Casualty Insurance Company Hartford Financial Services insurance violation 2014 TX-INS $6,662
Bank One JPMorgan Chase economic sanction violation 2004 OFAC $6,682
J P Morgan Chase Bank JPMorgan Chase wage and hour violation 2005 WHD $6,688
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,745
Franklin American Mortgage Company Citizens Financial Group consumer protection violation 2010 PA-BKG $6,750
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $6,778
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2020 MSHA $6,778
Marsh & McLennan Agency LLC Marsh & McLennan insurance violation 2017 TX-INS $6,825
Heritage Bank of Commerce Heritage Commerce Corp. banking violation 2008 FED $6,840
ZENITH INSURANCE COMPANY Fairfax Financial Holdings insurance violation 2001 FL-OFR $6,850
WHEELABRATOR PORTSMOUTH Macquarie workplace safety or health violation 2010 OSHA $6,890
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 VT-FIN $6,900
Indemnity Insurance Company of North America Chubb Limited insurance violation 2012 TX-INS $6,960
JPMorgan Chase Bank, NA JPMorgan Chase wage and hour violation 2009 WHD $6,996
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $6,996
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2007 MSHA $6,996
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,996
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2008 MSHA $6,996
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $6,996
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