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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 TypeYear sort iconAgencyPenalty Amount
USAA Casualty Insurance CompanyUSAAconsumer protection violation2023private lawsuit-federal$2,291,738
Navient Solutions LLCNavientconsumer protection violation2023private lawsuit-federal$198,400,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$9,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$9,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$7,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$7,000
U.S. BankU.S. Bancorpconsumer protection violation2023CFPB$20,700,000
Privilege Underwriters Reciprocal ExchangeTokio Marineeconomic sanction violation2023OFAC$466,200
Nasdaq, Inc.Nasdaq Inc.economic sanction violation2023OFAC$4,040,923
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2023SEC$10,000,000
U.S. Bank National AssociationU.S. Bancorpbanking violation2023OCC$15,000,000
Midland Credit Management, Inc.Encore Capital Groupbenefit plan administrator violation2023EBSA$10,001
Pacific Life Insurance CompanyPacific Lifeinsurance violation2023MN-FIN$250,000
Transamerica Financial Life Insurance CompanyAegoninsurance violation2023NY-DFS$120,000
Navient Solutions, LLCNavientconsumer protection violation2023VA-FIN$43,600
Progressive Specialty Insurance CompanyProgressiveinsurance violation2023MD-INS$38,500
Standard Fire Insurance CompanyTravelersinsurance violation2023TX-INS$25,000
XL Insurance America Inc.AXAinsurance violation2023TX-INS$24,000
Travelers Casualty & Surety CompanyTravelersinsurance violation2023TX-INS$22,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$18,000
Nyrstar Clarksville Inc.Trafiguraenvironmental violation2023TN-ENV$17,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$17,500
Safety National Casualty CorporationTokio Marineinsurance violation2023TX-INS$17,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$17,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2023TX-INS$15,000
Everest Premier Insurance CompanyEverest Re Groupinsurance violation2023TX-INS$13,500
AIU Insurance CompanyAmerican International Groupinsurance violation2023TX-INS$12,500
Phoenix Insurance CompanyTravelersinsurance violation2023TX-INS$12,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$12,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$11,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2023TX-INS$10,000
AIG Property Casualty CompanyAmerican International Groupinsurance violation2023TX-INS$9,000
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2023VA-INS$8,800
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$7,500
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$6,000
QBE Insurance CorporationQBE Insuranceinsurance violation2023TX-INS$5,000
United Wisconsin Insurance Co.AF Groupinsurance violation2023TX-INS$5,000
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2023OSHA$11,786
SYNAGRO-WWT, INC.Goldman Sachsworkplace safety or health violation2023OSHA$16,500
EL PASO ELECTRIC COMPANYJPMorgan Chaseworkplace safety or health violation2023OSHA$10,000
FIFTH THIRD BANK, NATIONAL ASSOCIATIONFifth Third Bancorpworkplace safety or health violation2023OSHA$8,500
NEW YORK LIFE INSURANCE COMPANYNew York Life Insuranceworkplace safety or health violation2023OSHA$6,697
R. R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2023OSHA$5,125
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA, INC.Invescoworkplace safety or health violation2023OSHA$8,766
MIDFIRST BANKMidFirst Bankworkplace safety or health violation2023OSHA$5,581
RR DONNELLEY AND SONS, INC.Chatham Asset Managementworkplace safety or health violation2023OSHA$32,262
Nyrstar Tennessee Mines - Gordonsville, LLCTrafiguraworkplace safety or health violation2023MSHA$9,979
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$10,000
First Midwest BankOld National Bancorpbanking violation2022FED$253,500
Credit Suisse SecuritiesUBSinvestor protection violation2022FINRA$9,000,000
Santander Consumer USABanco Santanderconsumer protection violation2022MA-AG$5,560,000
Mutual of Omaha Mortgage, Inc.Mutual of Omahaconsumer protection violation2022MA-BKG$25,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2022MD-INS$123,105
NavientNavientconsumer protection violation2022MULTI-AG$1,850,000,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2022MULTI-FIN$1,950,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2022OK-SEC$15,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2022RI-FIN$10,000
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyinvestor protection violation2022SEC$4,628,194
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$19,500
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2022TX-INS$10,000
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2022TX-INS$10,950
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$6,000
Chubb Seguros Mexico, S.A.Chubb Limitedinsurance violation2022TX-INS$100,000
Philadelphia Indemnity Insurance CompanyTokio Marineinsurance violation2022TX-INS$40,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2022WA-INS$40,000
Allstate Vehicle And Property Insurance CompanyAllstateinsurance violation2022WA-INS$25,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2022WA-INS$25,000
American Family Insurance CompanyAmerican Family Insuranceinsurance violation2022WA-INS$25,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2022WA-INS$50,000
CashCall, Inc. and WS Funding LLCCashCall Inc.consumer protection violation2022AZ-AG$4,800,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$40,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$10,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2022CA-MHC$10,000
NavientNavientconsumer protection violation2022ID-AG$3,972,316
The Hartford et al.Hartford Financial Servicesinsurance violation2022ID-INS$360,000
ACE American Insurance Co.Chubb Limitedinsurance violation2022ID-INS$156,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2022MD-INS$128,790
The Hartford Casualty Insurance Co. and Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2022MN-FIN$11,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2022MN-FIN$25,000
Transamerica Life Insurance CompanyAegoninsurance violation2022NE-DOI$25,000
Ameritas Investment Co.Ameritas Mutual Holding Companyinvestor protection violation2022NV-SEC$15,000
Navient Corp. and Navient Solutions, LLCNavientconsumer protection violation2022NH-AG$3,590,988
Nationwide Life Insurance CompanyNationwideinsurance violation2022NY-DFS$5,640,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022NY-DFS$2,200,000
Progressive Direct Insurance CompanyProgressiveinsurance violation2022NY-DFS$2,000,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2022ND-INS$5,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2022PA-INS$25,000
National Casualty CompanyNationwideinsurance violation2022RI-FIN$20,000
SYNAGRO WOONSOCKET, LLCGoldman Sachsenvironmental violation2022RI-ENV$120,000
Producers Agriculture Insurance CompanyTokio Marineinsurance violation2022SD-INS$45,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$7,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$20,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$5,000
Safety National Casualty CorporationTokio Marineinsurance violation2022TX-INS$12,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$14,000
Ace American Insurance Co.Chubb Limitedinsurance violation2022TX-INS$6,500
Acadia Insurance CompanyW.R. Berkleyinsurance violation2022VT-FIN$100,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2022VT-FIN$640,000
Servicelink, LLCFidelity National Financialconsumer protection violation2022VA-INS$5,000
United Services Automobile Association et al.USAAconsumer protection violation2022VA-INS$71,358
Travelers Indemnity Company et al.Travelersinsurance violation2022WA-INS$20,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.