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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
CitiFinancial, Inc.Citigroupconsumer protection violation2003FL-OFR$8,199
Citizens BankCitizens Financial Groupwage and hour violation2011MI-LEO$8,169
STATE FARM INSURANCEState Farm Insuranceworkplace safety or health violation2012OSHA$8,160
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2016VA-INS$8,131
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2019MSHA$8,016
Peter Cremer CompanyCremerrailroad safety violation2013FRA$8,000
NEW YORK COMMUNITY BANKNew York Community Bancorpbanking violation2004FDIC$8,000
Wells Fargo Fund Distributor, LLCWells Fargoconsumer protection violation2014CA-DFPI$8,000
Pruco Life Insurance Co.Prudential Financialinsurance violation2015CA-INS$8,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2019DE-INS$8,000
Travelers Indemnity Co.Travelersinsurance violation2003FL-OFR$8,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2008FL-OFR$8,000
Amex Assurance Co.American Expressinsurance violation2008FL-OFR$8,000
Workmen's Auto Insurance CompanyMercury General Corporationinsurance violation2003IN-INS$8,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2003IN-INS$8,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2009KS-INS$8,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2010KY-FIN$8,000
Thrivent Financial For LutheransThrivent Financialinsurance violation2012MD-INS$8,000
Fidelity & Guaranty Life Insurance Co.Fidelity National Financialinsurance violation2014MD-INS$8,000
The Standard Fire Insurance Co.Travelersinsurance violation2015MD-INS$8,000
Empire Fire and Marine Insurance Co. et al.Zurich Insuranceinsurance violation2015MD-INS$8,000
LM General Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2015MD-INS$8,000
Selective Insurance Company of South Carolina et al.Selective Insurance Groupinsurance violation2016MD-INS$8,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2017MD-INS$8,000
North Pointe Insurance Co.QBE Insuranceinsurance violation2014MO-INS$8,000
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2016MO-INS$8,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2006ND-SEC$8,000
Progressive Classic Insurance CompanyProgressiveinsurance violation2005OR-FIN$8,000
AMCO Insurance CompanyNationwideinsurance violation2010OR-FIN$8,000
Allied Home Mortgage Capital CorporationAmericus Mortgageconsumer protection violation2009PA-BKG$8,000
Allstate Property & Casualty Insurance CompanyAllstateinsurance violation2012RI-FIN$8,000
Peerless Insurance CompanyLiberty Mutual Insuranceinsurance violation2014RI-FIN$8,000
USAA Casualty Insurance CompanyUSAAinsurance violation2019RI-FIN$8,000
Liberty Insurance Underwriters Inc.Liberty Mutual Insuranceinsurance violation2003SC-INS$8,000
AXA Insurance CompanyAXAinsurance violation2007SC-INS$8,000
United Services Automobile AssociationUSAAinsurance violation2011SC-INS$8,000
AXA Art Insurance CorporationAXAinsurance violation2012SC-INS$8,000
Safeco Insurance CompanyLiberty Mutual Insuranceinsurance violation2013SC-INS$8,000
Standard Fire Insurance CompanyTravelersinsurance violation2010TX-INS$8,000
Accident Fund Insurance Co. of AmericaAF Groupinsurance violation2011TX-INS$8,000
The Netherlands Insurance CompanyLiberty Mutual Insuranceinsurance violation2012TX-INS$8,000
Wausau Underwriters Insurance CompanyLiberty Mutual Insuranceinsurance violation2013TX-INS$8,000
Property and Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2014TX-INS$8,000
Illinois National Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$8,000
Travelers Casualty and Surety CompanyTravelersinsurance violation2015TX-INS$8,000
Wausau Underwriters Insurance CompanyLiberty Mutual Insuranceinsurance violation2015TX-INS$8,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2016TX-INS$8,000
Berkley National Insurance CompanyW.R. Berkleyinsurance violation2016TX-INS$8,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$8,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2019TX-INS$8,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2019TX-INS$8,000
RELIASTAR LIFE INSURANCE CO.Voya Financialinsurance violation2007VA-INS$8,000
Allstate Insurance Company and Allstate Indemnity CompanyAllstateinsurance violation2007VA-INS$8,000
American Economy Insurance CompanyLiberty Mutual Insuranceinsurance violation2009VA-INS$8,000
METROPOLITAN LIFE INSURANCEMetLifeinsurance violation2010VA-INS$8,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2011VA-INS$8,000
PEERLESS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2012VA-INS$8,000
NATIONAL UNION FIRE INSURANCEAmerican International Groupinsurance violation2014VA-INS$8,000
ALLIED INSURANCE COMPANY OF AMERICANationwideinsurance violation2016VA-INS$8,000
Old Republic Title LtdOld Republic Internationalinsurance violation2012WA-INS$8,000
Jackson National Life Insurance CompanyJackson Financialinsurance violation2016WA-INS$8,000
Lincoln National Life Insurance Company TheLincoln Nationalinsurance violation2020WA-INS$8,000
Austin Mutual Insurance Co.American Family Insuranceinsurance violation2007WI-INS$8,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2010WI-INS$8,000
LIBERTY MUTUAL INSURANCE CO IH LABLiberty Mutual Insuranceenvironmental violation2011MA-ENV$8,000
Everest Reinsurance CompanyEverest Re Groupinsurance violation2020MN-FIN$8,000
Carolina Coastal Railway, Inc.3i Infrastructure PLCrailroad safety violation2021FRA$8,000
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2022TX-INS$8,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2022TX-INS$8,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$8,000
Standard Fire Insurance CompanyTravelersinsurance violation2022TX-INS$8,000
Asset Acceptance, LLCEncore Capital Groupconsumer protection violation2013NC-INS$8,000
Ace American Insurance CompanyChubb Limitedinsurance violation2023TX-INS$8,000
Chubb Indemnity Insurance CompanyChubb Limitedinsurance violation2023TX-INS$8,000
Freedom MortgageFreedom Mortgagewage and hour violation2021MI-LEO$8,000
New York Life Insurance CompanyNew York Life Insurancewage and hour violation2017MI-LEO$8,000
Quicken LoansRocket Companies Inc.wage and hour violation2015MI-LEO$8,000
Metlife Human ResourcesMetLifewage and hour violation2014MI-LEO$8,000
Metlife SecuritiesMetLifewage and hour violation2014MI-LEO$8,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2023TX-INS$8,000
Hanover Insurance CompanyHanover Insuranceinsurance violation2023TX-INS$8,000
AIU Insurance CompanyAmerican International Groupinsurance violation2024TX-INS$8,000
IFCO SYSTEMSTriton Investments Advisersworkplace safety or health violation2010OSHA$8,000
IFCO SYSTEMS NORTH AMERICA INCTriton Investments Advisersworkplace safety or health violation2011OSHA$8,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,000
Nyrstar Gordonsville, LLCTrafiguraworkplace safety or health violation2014MSHA$8,000
Fidelity National Financial, IncFidelity National Financialwage and hour violation2004WHD$7,945
Synagro of Texas-CDR, Inc.Goldman Sachsenvironmental violation2015TX-ENV$7,927
Ace Fire Underwriters Insurance CompanyChubb Limitedinsurance violation2010OR-FIN$7,900
American Home Assurance CompanyAmerican International Groupinsurance violation2014TX-INS$7,848
Ruesch International, Inc.Western Unioneconomic sanction violation2004OFAC$7,811
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2020VA-INS$7,800
Huntington Bancshares IncorporatedHuntington BancsharesFamily and Medical Leave Act2015WHD$7,788
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusenvironmental violation2013IN-ENV$7,750
RR DONNELLEY INCChatham Asset Managementworkplace safety or health violation2012OSHA$7,750
Continental Western Insurance Co.W.R. Berkleyinsurance violation2007MO-INS$7,708
Wheelabrator Portsmouth Inc.Macquarieenvironmental violation2016VA-ENV$7,669
CITICORP CREDIT CARD SERVICES, INC. (USA)Citigroupworkplace safety or health violation2014OSHA$7,650
Bank of HawaiiBank of Hawaiiwage and hour violation2018WHD$7,631
NEOVIA LOGISTICS SERVICES, LLCGoldman Sachsworkplace safety or health violation2017OSHA$7,605
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2018TX-INS$7,600
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.