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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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Zurich Life Insurance Company of AmericaZurich Insuranceinsurance violation2002MA-INS$12,000
Zurich Life Insurance Company LtdZurich Insurancetax violations2019DOJ_TAX$5,115,000
Zurich Insurance GroupZurich Insuranceinsurance violation2010CT-INS$235,000
Zurich Financial ServicesZurich Insuranceaccounting fraud or deficiencies2008SEC$25,000,000
Zurich DirectZurich Insuranceinsurance violation2002MA-INS$6,000
Zurich Capital Markets Inc.Zurich Insuranceinvestor protection violation2007SEC$16,800,000
Zurich American Life Insurance Company of New YorkZurich Insuranceinsurance violation2020NY-DFS$25,000
Zurich American Insurance Company et al.Zurich InsuranceFalse Claims Act and related2010NY-AG$37,500,000
Zurich American Insurance CompanyZurich Insuranceprice-fixing or anti-competitive practices2006MULTI-AG$171,700,000
Zurich American Insurance CompanyZurich Insuranceprice-fixing or anti-competitive practices2006OH-AG$7,000,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2013NY-DFS$4,560,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2015SD-INS$100,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2016SD-INS$15,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2009TX-INS$15,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2010TX-INS$45,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2011TX-INS$10,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2012TX-INS$35,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$47,735
Zurich American Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$5,500
Zurich American Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$90,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$15,200
Zurich American Insurance CompanyZurich Insuranceinsurance violation2016TX-INS$35,012
Zurich American Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$8,500
Zurich American Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$32,400
Zurich American Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$42,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2019TX-INS$15,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2016WA-INS$20,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2021WA-INS$5,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022NY-DFS$2,200,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$7,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$5,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$12,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2022CT-INS$12,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$12,500
Zurich American Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$17,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$18,000
Zurich American Insurance Co. of IllinoisZurich Insuranceinsurance violation2020TX-INS$10,800
Zurich American Insurance Co. et al.Zurich Insuranceinsurance violation2011MD-INS$30,000
Zurich American Insurance Co. et al.Zurich Insuranceinsurance violation2013ME-INS$35,350
Zurich American Insurance Co. et al.Zurich Insuranceinsurance violation2016MO-INS$250,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2006CA-INS$15,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$44,500
Zurich American Insurance Co.Zurich Insuranceinsurance violation2008FL-OFR$8,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2015ID-INS$5,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2011MD-INS$125,000
ZURICH AMERICAN INS COZurich Insurancewage and hour violation2018IL-DOL$13,865
Zions First National BankZions Bancorporationbanking violation2011OCC$8,000,000
Zions First National BankZions Bancorporationconsumer protection violation2014private lawsuit-federal$2,500,000
Zions Direct, Inc.Zions Bancorporationinvestor protection violation2010FINRA$225,000
Zions Bancorporation dba California Bank & TrustZions Bancorporationconsumer protection violation2022private lawsuit-federal$14,000,000
Zions BancorporationZions Bancorporationwage and hour violation2009WHD$15,347
ZENITH INSURANCE COMPANYFairfax Financial Holdingsinsurance violation2001FL-OFR$6,850
Zenith Insurance Co.Fairfax Financial Holdingsemployment discrimination2006EEOC$180,000
Zenith Insurance Co.Fairfax Financial Holdingsinsurance violation2012MO-INS$93,842
ZB N.A. (fka Zions First National Bank)Zions Bancorporationconsumer protection violation2017USAO$3,600,000
Xstrata CopperGlencorerailroad safety violation2011FRA$7,500
Xstrata CopperGlencorerailroad safety violation2012FRA$12,000
XL Specialty Insurance CompanyAXAinsurance violation2011TX-INS$25,000
XL Specialty Insurance CompanyAXAinsurance violation2014TX-INS$8,500
XL Specialty Insurance CompanyAXAinsurance violation2018TX-INS$30,000
XL Specialty Insurance CompanyAXAconsumer protection violation2021RI-FIN$15,000
XL Specialty Insurance CompanyAXAinsurance violation2022TX-INS$10,000
XL Specialty Insurance CompanyAXAinsurance violation2022TX-INS$10,500
XL Specialty Insurance CompanyAXAinsurance violation2023TX-INS$22,500
XL Specialty Insurance CompanyAXAinsurance violation2023TX-INS$9,500
XL Specialty Insurance Co.AXAinsurance violation2012MO-INS$21,000
XL Specialty Insurance Co.AXAinsurance violation2020TX-INS$7,000
XL Specialty Insurance Co.AXAinsurance violation2021TX-INS$15,825
XL LIFE INSURANCE AND ANNUITYAXAinsurance violation2006VA-INS$10,000
XL Insurance America, Inc.AXAinsurance violation2018TX-INS$32,000
XL Insurance America, Inc.AXAinsurance violation2019TX-INS$5,000
XL Insurance America, Inc.AXAinsurance violation2021TX-INS$17,000
XL Insurance America, Inc.AXAinsurance violation2021TX-INS$10,000
XL Insurance America Inc.AXAinsurance violation2011TX-INS$7,000
XL Insurance America Inc.AXAinsurance violation2022TX-INS$6,500
XL Insurance America Inc.AXAinsurance violation2022TX-INS$5,000
XL Insurance America Inc.AXAinsurance violation2023TX-INS$24,000
World Group Securities, Inc.Aegoninvestor protection violation2010SEC$200,000
World Group Securities, Inc.Aegoninvestor protection violation2010AZ-CC$853,501
World Group Securities, Inc.Aegoninvestor protection violation2004ID-SEC$15,000
World Group Securities, Inc.Aegoninvestor protection violation2006MO-SEC$228,600
World Group Securities, Inc.Aegoninvestor protection violation2004FINRA$150,000
World Acceptance Corporation, IncWorld Acceptance Corporationwage and hour violation2019WHD$6,582
World Acceptance CorporationWorld Acceptance Corporationwage and hour violation2019WHD$5,549
World Acceptance CorporationWorld Acceptance CorporationForeign Corrupt Practices Act2020SEC$21,700,000
Workmen's Auto Insurance CompanyMercury General Corporationinsurance violation2003IN-INS$8,000
Workmen's Auto Insurance Co.Mercury General Corporationinsurance violation2006CA-INS$100,000
Woodforest National BankWoodforest National Bankbanking violation2010OCC$33,000,000
WL Ross & Co. LLCInvescoinvestor protection violation2016SEC$2,300,000
Wintrust Financial CorporationWintrust Financial Corp.banking violation2019FED$1,012,500
Wilmington Trust, N.A.M&T Bankbenefit plan administrator violation2020EBSA$88,000,000
Wilmington Trust, N.A.M&T Bankbenefit plan administrator violation2021private lawsuit-federal$5,500,000
Wilmington Trust N.A.M&T Bankbenefit plan administrator violation2017private lawsuit-federal$29,773,250
Wilmington Trust Investment Management, LLCM&T Bankinvestor protection violation2023SEC$1,327,147
Wilmington Trust CorporationM&T Bankemployment discrimination2018EEOC$700,000
Wilmington Trust Corp.M&T Bankbenefit plan administrator violation2014private lawsuit-federal$3,000,000
Wilmington Trust CompanyM&T Bankinvestor protection violation2004SEC$125,000
Wilmington Trust CompanyM&T Bankinvestor protection violation2007SEC$100,000
Wilmington Trust Co.M&T Bankemployment discrimination2004EEOC$70,000
Wilmington Trust Co.M&T Bankinvestor protection violation2005DE-SEC$50,000
Wilmington TrustM&T Bankaccounting fraud or deficiencies2014SEC$18,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.