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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
Old Republic InsuranceOld Republic Internationalinsurance violation2021TX-INS$6,750
THEO. DAVIS SONS, INCORPORATEDChatham Asset Managementworkplace safety or health violation2013OSHA$6,750
IAC Group North AmericaInvescoenvironmental violation2016NC-ENV$6,751
Buckeye Terminals, LLCIFM Investorsenvironmental violation2012EPA$6,766
Florida Central Railroad3i Infrastructure PLCrailroad safety violation2013FRA$6,800
Imperial Sugar CompanyLouis Dreyfusenvironmental violation2003TX-ENV$6,800
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$6,800
Netherlands Insurance CompanyLiberty Mutual Insuranceinsurance violation2014TX-INS$6,801
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2017TX-INS$6,825
Heritage Bank of CommerceHeritage Commerce Corp.banking violation2008FED$6,840
ZENITH INSURANCE COMPANYFairfax Financial Holdingsinsurance violation2001FL-OFR$6,850
WHEELABRATOR PORTSMOUTHMacquarieworkplace safety or health violation2010OSHA$6,890
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020VT-FIN$6,900
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2012TX-INS$6,960
JPMorgan Chase Bank, NAJPMorgan Chasewage and hour violation2009WHD$6,996
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$6,996
GOODRICH AVIATION TECHNICAL SERVICES INCMacquarieaviation safety violation2007FAA$7,000
THE COLUMBIA BANKFulton Financialbanking violation2002FDIC$7,000
Hanmi BankHanmi Financial Corp.economic sanction violation2004OFAC$7,000
Buckeye PartnersIFM Investorsrailroad safety violation2018FRA$7,000
Progressive Northern Insurance Co.Progressiveinsurance violation2016DE-INS$7,000
Nationwide Financial ServicesNationwideconsumer protection violation2008FL-OFR$7,000
American General Life and Accident Insurance Co.American International Groupinsurance violation2011MD-INS$7,000
Allied Property and Casualty Insurance Co.Nationwideinsurance violation2008MN-FIN$7,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2016MO-INS$7,000
Edward D. Jones & Co. LPJones Financialinvestor protection violation2003ND-SEC$7,000
Ace Cash Express, Inc.,ACE Cash Expressconsumer protection violation2010NE-DBF$7,000
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$7,000
Nationwide Property & Casualty Insurance CompanyNationwideinsurance violation2015NY-DFS$7,000
USAA Casualty Insurance Co.USAAinsurance violation2010SC-INS$7,000
Virginia Surety Company, Inc.Assurantinsurance violation2008TX-INS$7,000
XL Insurance America Inc.AXAinsurance violation2011TX-INS$7,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2013TX-INS$7,000
Chubb Indemnity Insurance CompanyChubb Limitedinsurance violation2013TX-INS$7,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2014TX-INS$7,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$7,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$7,000
The Travelers Indemnity Company of ConnecticutTravelersinsurance violation2016TX-INS$7,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$7,000
Federal Insurance CompanyChubb Limitedinsurance violation2018TX-INS$7,000
Arch Insurance CompanyArch Capitalinsurance violation2018TX-INS$7,000
AMERICAN HEALTH & LIFE INSURANCE COOneMain Holdingsinsurance violation2005VA-INS$7,000
THE TRAVELERS INDEMNITY CO. et al.Travelersinsurance violation2009VA-INS$7,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2010WA-INS$7,000
HSBC Securities USA IncHSBCinsurance violation2011WA-INS$7,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2018WA-INS$7,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2018WA-INS$7,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2005WI-FIN$7,000
Mutual of Omaha Mortgage, Inc.Mutual of Omahaconsumer protection violation2020PA-BKG$7,000
New Hampshire Insurance Co.American International Groupinsurance violation2020TX-INS$7,000
Old Republic Insurance Co.Old Republic Internationalinsurance violation2020TX-INS$7,000
XL Specialty Insurance Co.AXAinsurance violation2020TX-INS$7,000
BUCKEYE TERM LLCIFM Investorsenvironmental violation2013PA-ENV$7,000
BUCKEYE PORT READING TERMINALIFM Investorsenvironmental violation2009NJ-ENV$7,000
IAC SPARTANBURG, INCInvescoenvironmental violation2012SC-ENV$7,000
Minnesota Life Insurance CompanySecurian Financialinsurance violation2020CT-INS$7,000
Ace American Insurance Co. and Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2021MD-INS$7,000
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$7,000
Great American Alliance Insurance CompanyAmerican Financial Groupinsurance violation2021TX-INS$7,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2016TX-PUC$7,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$7,000
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2022TX-INS$7,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2022KS-INS$7,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2022TX-INS$7,000
Standard Fire Insurance CompanyTravelersinsurance violation2023TX-INS$7,000
Western & Southern LifeWestern & Southern Financial Groupwage and hour violation2021MI-LEO$7,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$7,000
NeoviaGoldman Sachslabor relations violation2023NLRB$7,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$7,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$7,000
FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS, INCFidelity Investmentsworkplace safety or health violation2011OSHA$7,000
IFCO SYSTEMS N.A., INC.Triton Investments Advisersworkplace safety or health violation2010OSHA$7,000
SYNAGROGoldman Sachsworkplace safety or health violation2012OSHA$7,000
THE GAS COMPANY, LLCMacquarieworkplace safety or health violation2013OSHA$7,000
R. R. DONNELLEY AND SONS COMPANYChatham Asset Managementworkplace safety or health violation2013OSHA$7,000
BUCKEYE PARTNERS, LPIFM Investorsworkplace safety or health violation2014OSHA$7,000
EL PASO ELECTRIC COMPANYJPMorgan Chaseworkplace safety or health violation2015OSHA$7,000
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2015OSHA$7,000
IAC ALBEMARLE, LLCInvescoworkplace safety or health violation2017OSHA$7,000
BUCKEYE PARTNERS, L.P.IFM Investorsworkplace safety or health violation2017OSHA$7,000
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$7,000
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020TX-INS$7,025
AFB&TSynovus Financialbanking violation2009FDIC$7,040
Philadelphia Indemnity Insurance CompanyTokio Marineinsurance violation2000MA-INS$7,040
Hanover Insurance CompanyHanover Insuranceinsurance violation2001MA-INS$7,040
IFCO SYSTEMS NORTH AMERICA, INC - SITE 711Triton Investments Advisersworkplace safety or health violation2014OSHA$7,040
Ace Cash ExpressACE Cash Expressconsumer protection violation2009OH-BKG$7,050
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americawage and hour violation2006WHD$7,060
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2014NY-DFS$7,100
Hartford Insurance Company of IllinoisHartford Financial Servicesinsurance violation2014NY-DFS$7,100
WHEELABRATOR CONCORD INC.Macquarieworkplace safety or health violation2019OSHA$7,100
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2012MSHA$7,115
LITTON LOAN SERVICING LPOcwen Financialenvironmental violation2010OR-ENV$7,125
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2010MSHA$7,176
Guaranteed RateGuaranteed Rate Inc.wage and hour violation2018MI-LEO$7,191
Sentry Insurance, A Mutual CompanySentry Insuranceinsurance violation2010TX-INS$7,200
GREAT AMERICAN INSURANCE COMPANY ET ALAmerican Financial Groupinsurance violation2006VA-INS$7,200
GREAT AMERICAN INSURANCE COMPANY ET ALAmerican Financial Groupinsurance violation2006VA-INS$7,200
LOUIS DREYFUS CITRUS, INC.Louis Dreyfusenvironmental violation2006FL-DEP$7,200
IMPERIAL SUGAR CO.Louis Dreyfusworkplace safety or health violation2010OSHA$7,200
Regions Financial CorporationRegions FinancialFamily and Medical Leave Act2021WHD$7,210
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.