Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
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$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


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 (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
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
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2018 CA-MHC $7,500
California Physicians' Service dba Blue Shield of California California Physicians' Service insurance violation 2019 CA-MHC $7,500
Unitrin Auto and Home Insurance Co. Kemper insurance violation 2006 CO-INS $7,500
Berkshire Life Insurance Company of America Guardian Life Insurance insurance violation 2019 CT-INS $7,500
Lincoln Life & Annuity Company of New York Lincoln National insurance violation 2019 CT-INS $7,500
Allstate Indemnity Co. Allstate insurance violation 2020 CT-INS $7,500
American National Property & Casualty Co. American National Insurance insurance violation 2005 FL-OFR $7,500
Sentry Insurance A Mutual Company Sentry Insurance insurance violation 2005 FL-OFR $7,500
CUNA Mutual Life Insurance Co. CUNA Mutual insurance violation 2007 FL-OFR $7,500
Moneygram Payment Systems, Inc. MoneyGram International consumer protection violation 2015 FL-OFR $7,500
Janney Montgomery Scott LLC Penn Mutual investor protection violation 2005 IL-SEC $7,500
Allied Home Mortgage Corp. Americus Mortgage consumer protection violation 2012 IL-BKG $7,500
Southwest Securities, Inc. Hilltop Holdings investor protection violation 2012 IL-SEC $7,500
Fidelity Brokerage Services LLC Fidelity Investments investor protection violation 2011 IN-SEC $7,500
Nationwide Agribusiness Insurance Co. Nationwide insurance violation 2006 KS-INS $7,500
Standard Fire Insurance Co. Travelers insurance violation 2018 KS-INS $7,500
Old Republic National Title Insurance Co. Old Republic International insurance violation 2011 MD-INS $7,500
CareFirst BlueChoice, Inc. CareFirst of Maryland insurance violation 2011 MD-INS $7,500
Encompass Home and Auto Insurance Co. Allstate insurance violation 2014 MD-INS $7,500
Philadelphia Indemnity Insurance Co. Tokio Marine insurance violation 2014 MD-INS $7,500
Amica Mutual Insurance Co. Amica Mutual Insurance insurance violation 2016 MD-INS $7,500
Standard Fire Insurance Co. et al. Travelers insurance violation 2016 MD-INS $7,500
United States Fire Insurance Co. Fairfax Financial Holdings insurance violation 2018 MD-INS $7,500
Bankers Life & Casualty Co. CNO Financial insurance violation 2006 ME-INS $7,500
Homesite Insurance Company of the Midwest American Family Insurance insurance violation 2011 ME-INS $7,500
National Union Fire Insurance Company of Pittsburgh, Pa. American International Group insurance violation 2001 MN-FIN $7,500
Metropolitan Property and Casualty Insurance Co. MetLife insurance violation 2002 MN-FIN $7,500
Fortis Insurance Co. Assurant insurance violation 2005 MN-FIN $7,500
Time Insurance Co. Haven Holdings insurance violation 2008 MN-FIN $7,500
Bankers Life and Casualty Co. CNO Financial insurance violation 2008 MN-FIN $7,500
Sun Life Insurance Company of Canada Sun Life Financial insurance violation 2009 MN-FIN $7,500
American Family Mutual Insurance Co. American Family Insurance insurance violation 2014 MN-FIN $7,500
The Hanover Insurance Co. Hanover Insurance insurance violation 2015 MN-FIN $7,500
Bankers Life and Casualty Co. CNO Financial insurance violation 2015 MN-FIN $7,500
Genworth Life Insurance Co. Genworth Financial insurance violation 2016 MN-FIN $7,500
Chicago Title Insurance Co. Fidelity National Financial insurance violation 2007 MT-INS $7,500
United States Fire Insurance Company Fairfax Financial Holdings insurance violation 2018 NE-DOI $7,500
NYLIFE Securities LLC New York Life Insurance investor protection violation 2017 NH-BSR $7,500
AIG Casualty Company American International Group insurance violation 2007 OR-FIN $7,500
Travelers Indemnity Company of Connecticut Travelers insurance violation 2004 PA-INS $7,500
Bristol West Insurance Company Zurich Insurance insurance violation 2011 SC-INS $7,500
Protective Insurance Company Protective Insurance Corp. insurance violation 2014 SD-INS $7,500
Union Security Insurance Company Assurant insurance violation 2015 SD-INS $7,500
Indemnity Insurance Company of North America Chubb Limited insurance violation 2008 TX-INS $7,500
The Insurance Company of the State of Pennsylvania American International Group insurance violation 2009 TX-INS $7,500
New Hampshire Insurance Company American International Group insurance violation 2009 TX-INS $7,500
Old Republic Insurance Company Old Republic International insurance violation 2009 TX-INS $7,500
Great American Alliance Insurance Company American Financial Group insurance violation 2014 TX-INS $7,500
The Travelers Indemnity Company Travelers insurance violation 2015 TX-INS $7,500
Old Republic National Title Insurance Company Old Republic International insurance violation 2016 TX-INS $7,500
Ace American Insurance Company Chubb Limited insurance violation 2018 TX-INS $7,500
The Travelers Indemnity Company Travelers insurance violation 2018 TX-INS $7,500
New Hampshire Insurance Company American International Group insurance violation 2019 TX-INS $7,500
AMERICAN FAMILY LIFE ASSURANCE Aflac insurance violation 2003 VA-INS $7,500
PRUDENTIAL INSURANCE COMPANY Prudential Financial insurance violation 2004 VA-INS $7,500
PRUCO LIFE INSURANCE CO Prudential Financial insurance violation 2004 VA-INS $7,500
CONSECO SENIOR HEALTH INS. CNO Financial insurance violation 2005 VA-INS $7,500
VICTORIA FIRE AND CASUALTY INSURANCE Nationwide insurance violation 2009 VA-INS $7,500
UNITED OF OMAHA LIFE INSURANCE Mutual of Omaha insurance violation 2012 VA-INS $7,500
TOKIO MARINE KILN SYNDICATES, LTD. Tokio Marine insurance violation 2018 VA-INS $7,500
Chicago Insurance Company Allianz insurance violation 2010 WA-INS $7,500
Fidelity & Guaranty Life Insurance Company Fidelity National Financial insurance violation 2012 WA-INS $7,500
Washington National Insurance Company CNO Financial insurance violation 2018 WA-INS $7,500
American Family Connect Property And Casualty Insurance Company American Family Insurance insurance violation 2019 WA-INS $7,500
Stewart Title Guaranty Co. Stewart Information Services insurance violation 2010 WI-INS $7,500
Prudential Insurance Company of America Prudential Financial insurance violation 2012 WI-INS $7,500
IAC MADISONVILLE LLC Invesco workplace safety or health violation 2014 OSHA $7,500
WHEELABRATOR NORTH ANDOVER Macquarie workplace safety or health violation 2019 OSHA $7,500
Morgan Stanley Capital Group, Inc. Morgan Stanley environmental violation 2002 EPA $7,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2010 MSHA $7,500
The Standard Insurance Co. Meiji Yasuda Life Insurance insurance violation 2020 CT-INS $7,500
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $7,500
California Physicians' Service California Physicians' Service insurance violation 2020 CA-MHC $7,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2010 MSHA $7,578
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $7,578
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2015 MSHA $7,578
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2015 MSHA $7,578
ProEquities, Inc. Dai-ichi Life investor protection violation 2018 CT-SEC $7,590
HSBC Bank HSBC wage and hour violation 2006 WHD $7,599
Marsh & McLennan Agency LLC Marsh & McLennan insurance violation 2018 TX-INS $7,600
Bank of Hawaii Bank of Hawaii wage and hour violation 2018 WHD $7,631
CITICORP CREDIT CARD SERVICES, INC. (USA) Citigroup workplace safety or health violation 2014 OSHA $7,650
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)