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
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $6,996
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $6,996
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2014 MSHA $6,996
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $6,996
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $6,996
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $6,996
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $6,996
GOODRICH AVIATION TECHNICAL SERVICES INC Macquarie aviation safety violation 2007 FAA $7,000
THE COLUMBIA BANK Fulton Financial banking violation 2002 FDIC $7,000
Hanmi Bank Hanmi Financial Corp. economic sanction violation 2004 OFAC $7,000
Progressive Northern Insurance Co. Progressive insurance violation 2016 DE-INS $7,000
American General Life and Accident Insurance Co. American International Group insurance violation 2011 MD-INS $7,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2015 MD-INS $7,000
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2019 MD-INS $7,000
Allied Property and Casualty Insurance Co. Nationwide insurance violation 2008 MN-FIN $7,000
American Family Mutual Insurance Co. American Family Insurance insurance violation 2016 MO-INS $7,000
Edward D. Jones & Co. LP Jones Financial investor protection violation 2003 ND-SEC $7,000
Ace Cash Express, Inc., ACE Cash Express consumer protection violation 2010 NE-DBF $7,000
Ace Cash Express, Inc. ACE Cash Express consumer protection violation 2012 NE-DBF $7,000
Nationwide Property & Casualty Insurance Company Nationwide insurance violation 2015 NY-DFS $7,000
USAA Casualty Insurance Co. USAA insurance violation 2010 SC-INS $7,000
Virginia Surety Company, Inc. Assurant insurance violation 2008 TX-INS $7,000
XL Insurance America Inc. AXA insurance violation 2011 TX-INS $7,000
Liberty Mutual Fire Insurance Company Liberty Mutual Insurance insurance violation 2013 TX-INS $7,000
Chubb Indemnity Insurance Company Chubb Limited insurance violation 2013 TX-INS $7,000
General Casualty Company of Wisconsin QBE Insurance insurance violation 2014 TX-INS $7,000
American Zurich Insurance Company Zurich Insurance insurance violation 2015 TX-INS $7,000
New Hampshire Insurance Company American International Group insurance violation 2015 TX-INS $7,000
The Travelers Indemnity Company of Connecticut Travelers insurance violation 2016 TX-INS $7,000
Liberty Insurance Corporation Liberty Mutual Insurance insurance violation 2016 TX-INS $7,000
Federal Insurance Company Chubb Limited insurance violation 2018 TX-INS $7,000
Arch Insurance Company Arch Capital insurance violation 2018 TX-INS $7,000
AMERICAN HEALTH & LIFE INSURANCE CO OneMain Holdings insurance violation 2005 VA-INS $7,000
THE TRAVELERS INDEMNITY CO. et al. Travelers insurance violation 2009 VA-INS $7,000
Unum Life Insurance Company Of America Unum insurance violation 2010 WA-INS $7,000
HSBC Securities USA Inc HSBC insurance violation 2011 WA-INS $7,000
Unum Life Insurance Company Of America Unum insurance violation 2018 WA-INS $7,000
Metropolitan Life Insurance Company MetLife insurance violation 2018 WA-INS $7,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America investor protection violation 2005 WI-FIN $7,000
FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS, INC Fidelity Investments workplace safety or health violation 2011 OSHA $7,000
THE GAS COMPANY, LLC Macquarie workplace safety or health violation 2013 OSHA $7,000
IAC ALBEMARLE, LLC Invesco workplace safety or health violation 2017 OSHA $7,000
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $7,000
Mutual of Omaha Mortgage, Inc. Mutual of Omaha consumer protection violation 2020 PA-BKG $7,000
New Hampshire Insurance Co. American International Group insurance violation 2020 TX-INS $7,000
Old Republic Insurance Co. Old Republic International insurance violation 2020 TX-INS $7,000
XL Specialty Insurance Co. AXA insurance violation 2020 TX-INS $7,000
Arthur J. Gallagher Risk Management Services, Inc. Arthur J. Gallagher & Co. insurance violation 2020 TX-INS $7,025
AFB&T Synovus Financial banking violation 2009 FDIC $7,040
Philadelphia Indemnity Insurance Company Tokio Marine insurance violation 2000 MA-INS $7,040
Hanover Insurance Company Hanover Insurance insurance violation 2001 MA-INS $7,040
Ace Cash Express ACE Cash Express consumer protection violation 2009 OH-BKG $7,050
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America wage and hour violation 2006 WHD $7,060
Hartford Casualty Insurance Company Hartford Financial Services insurance violation 2014 NY-DFS $7,100
Hartford Insurance Company of Illinois Hartford Financial Services insurance violation 2014 NY-DFS $7,100
WHEELABRATOR CONCORD INC. Macquarie workplace safety or health violation 2019 OSHA $7,100
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $7,100
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $7,176
IMTT, INC. Macquarie railroad safety violation 2014 FRA $7,200
LOUIS DREYFUS CITRUS, INC. Louis Dreyfus environmental violation 2006 EPA $7,200
Sentry Insurance, A Mutual Company Sentry Insurance insurance violation 2010 TX-INS $7,200
GREAT AMERICAN INSURANCE COMPANY ET AL American Financial Group insurance violation 2006 VA-INS $7,200
GREAT AMERICAN INSURANCE COMPANY ET AL American Financial Group insurance violation 2006 VA-INS $7,200
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2005 MSHA $7,200
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $7,205
California United Bank PacWest Bancorp economic sanction violation 2004 OFAC $7,250
IAC SPARTANBURG Invesco workplace safety or health violation 2011 OSHA $7,277
GUARANTEED RATE INC Guaranteed Rate Inc. wage and hour violation 2015 IL-DOL $7,291
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $7,300
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2016 MSHA $7,305
Auto-Owners Insurance Company Auto-Owners Insurance insurance violation 2016 SC-INS $7,356
The Prudential Insurance Company of America Prudential Financial insurance violation 2006 MO-INS $7,373
Citicorp Vendor Finance Ltd Citigroup economic sanction violation 2004 OFAC $7,379
AON SERVICE CORPORATION Aon wage and hour violation 2017 WHD $7,406
NAVY FEDERAL CREDIT UNION - FOLLIN LANE Navy Federal Credit Union environmental violation 2017 EPA $7,427
BUSEY BANK First Busey Corp. banking violation 2010 FDIC $7,445
Asset Acceptance, LLC Encore Capital Group Family and Medical Leave Act 2014 WHD $7,450
IMTT, INC. Macquarie railroad safety violation 2011 FRA $7,500
International Matex Tank Terminals Macquarie railroad safety violation 2011 FRA $7,500
Xstrata Copper Glencore railroad safety violation 2011 FRA $7,500
IMTT, INC. Macquarie railroad safety violation 2015 FRA $7,500
IMTT BAYONNE Macquarie railroad safety violation 2008 FRA $7,500
BankAtlantic Truist Financial economic sanction violation 2008 OFAC $7,500
Old National Bank Old National Bancorp banking violation 2004 OCC $7,500
Bank of America Bank of America discriminatory practices (non-employment) 2013 HUD $7,500
TIAA-CREF TIAA aviation safety violation 2015 FAA $7,500
WHEELABRATOR NORWALK ENERGY CO Macquarie environmental violation 2009 EPA $7,500
MORGAN STANLEY - 140 58TH ST Morgan Stanley environmental violation 2003 EPA $7,500
LOUIS DREYFUS BEAUMONT GRAIN ELEVATOR Louis Dreyfus environmental violation 2000 EPA $7,500
GMAC Mortgage, LLC dba Ditech Ally Financial consumer protection violation 2011 AZ-DFS $7,500
GMAC Mortgage, LLC Ally Financial consumer protection violation 2011 AZ-DFS $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2006 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2008 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2012 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2013 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2014 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2015 CA-MHC $7,500
Blue Shield of California Promise Health Plan California Physicians' Service insurance violation 2017 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2017 CA-MHC $7,500
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