Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$228,770,992,016
Number of Records: 
1,939
Note: 
The total includes only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The penalty dollar total above is adjusted to account for the fact that the list of entries below 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. Duplicate penalty amounts are marked with an asterisk in the individual records list below.

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$58,406,055,098119
JPMorgan Chase$29,715,750,70499
Citigroup$17,267,715,78968
Wells Fargo$14,779,993,51593
Deutsche Bank$12,527,268,08632
Royal Bank of Scotland$12,429,670,00016
Goldman Sachs$9,602,492,86026
BNP Paribas$9,542,129,75011
Credit Suisse$9,238,499,63019
HSBC$5,718,137,00740


Individual Penalty Records:

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Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
UBS Financial Services Inc. UBS wage and hour violation 2018 WHD $6,246
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2016 MSHA $6,225
Bank of America Bank of America wage and hour violation 2008 WHD $6,209
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,188
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $6,188
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $6,153
National City Mortgage, Co. PNC Financial Services wage and hour violation 2004 WHD $6,150
NATIONWIDE MUTUAL INS CO/LOWER SALFORD Nationwide environmental violation 2017 EPA $6,150
Gas Incorporated Macquarie motor vehicle safety violation 2012 FMCSA $6,140
Bowie Resources LLC Trafigura workplace safety or health violation 2013 MSHA $6,115
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $6,100
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $6,100
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2015 MSHA $6,062
Louis Dreyfus Company LLC Louis Dreyfus railroad safety violation 2016 FRA $6,000
INTERNATIONAL AUTOMOTIVE COMPONENTS Invesco workplace safety or health violation 2009 OSHA $6,000
IMPERIAL-SAVANNAH, L.P. Louis Dreyfus environmental violation 2012 EPA $6,000
PRUDENTIAL Prudential Financial environmental violation 2011 EPA $6,000
IMTT BAYONNE 340171219400046 Macquarie environmental violation 2002 EPA $6,000
MORGAN STANLEY - 2000 WESTCHESTER AVE Morgan Stanley environmental violation 2011 EPA $6,000
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $6,000
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $6,000
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $6,000
Bank of America Corporation Bank of America wage and hour violation 2004 WHD $5,972
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $5,961
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2013 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2014 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2012 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2014 MSHA $5,961
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2014 MSHA $5,961
Bowie Resources LLC Trafigura workplace safety or health violation 2008 MSHA $5,900
DITECH INC Ditech Holding Corporation workplace safety or health violation 2014 OSHA $5,880
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLC Invesco workplace safety or health violation 2011 OSHA $5,850
The Bank of New York Bank of New York Mellon economic sanction violation 2005 OFAC $5,844
Bank of America, NA Bank of America wage and hour violation 2010 WHD $5,827
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2004 MSHA $5,800
Mastercard International, Inc MasterCard wage and hour violation 2008 WHD $5,777
IAC DAYTON LLC Invesco workplace safety or health violation 2013 OSHA $5,775
Midland States Bank Midland States Bancorp banking violation 2013 FED $5,645
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $5,645
IMTT BAYONNE Macquarie railroad safety violation 2009 FRA $5,625
INTERNATIONAL AUTOMOTIVE COMPONENTS Invesco workplace safety or health violation 2007 OSHA $5,625
THE HARTFORD FINANCIAL SERVICES GROUP, INC. Hartford Financial Services workplace safety or health violation 2011 OSHA $5,600
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $5,600
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $5,600
Bowie Resources LLC Trafigura workplace safety or health violation 2009 MSHA $5,600
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $5,596
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2012 MSHA $5,596
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2012 MSHA $5,596
Lansing Trade Group LLC Lansing Trade Group environmental violation 2012 EPA $5,586
CLECO CORPORATION Macquarie workplace safety or health violation 2017 OSHA $5,545
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2017 MSHA $5,517
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $5,504
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2010 MSHA $5,504
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,503
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,503
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $5,503
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2009 MSHA $5,503
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2012 MSHA $5,503
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2013 MSHA $5,503
CANYON FUEL CO., LLC - SKYLINE (Permit UT0023540) Cwa Penalty Ao Trafigura environmental violation 2001 EPA $5,501
Wachovia Bank Wells Fargo economic sanction violation 2005 OFAC $5,500
American Express Company American Express economic sanction violation 2004 OFAC $5,500
Arab Banking Corp. Arab Banking Corp. economic sanction violation 2004 OFAC $5,500
Bank of New York Bank of New York Mellon economic sanction violation 2004 OFAC $5,500
Bank One JPMorgan Chase economic sanction violation 2004 OFAC $5,500
Citibank Citigroup economic sanction violation 2004 OFAC $5,500
Commerzbank AG Commerzbank economic sanction violation 2004 OFAC $5,500
Deutsche Bank Deutsche Bank economic sanction violation 2004 OFAC $5,500
HSBC Bank USA HSBC economic sanction violation 2004 OFAC $5,500
Credit Lyonnais, NY Credit Agricole economic sanction violation 2003 OFAC $5,500
Deutsche Bank A.G. Deutsche Bank economic sanction violation 2003 OFAC $5,500
HSBC Bank USA HSBC economic sanction violation 2003 OFAC $5,500
National City Bank PNC Financial Services economic sanction violation 2003 OFAC $5,500
Wells Fargo Bank Wells Fargo economic sanction violation 2003 OFAC $5,500
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $5,500
Scott Danahy Naylon Co. Inc. Financial Institutions Inc. wage and hour violation 2005 WHD $5,495
Bowie Resources LLC Trafigura workplace safety or health violation 2007 MSHA $5,460
UNUM GROUP CORPORATION Unum workplace safety or health violation 2011 OSHA $5,400
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $5,390
IAC Springfield, LLC Invesco Family and Medical Leave Act 2015 WHD $5,377
HSBC North America Inc HSBC wage and hour violation 2006 WHD $5,357
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2014 MSHA $5,305
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2005 MSHA $5,300
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,300
Bowie Resources LLC Trafigura workplace safety or health violation 2010 MSHA $5,300
Lansing Trade Group LLC Lansing Trade Group environmental violation 2016 EPA $5,296
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2006 MSHA $5,280
City National Bank Royal Bank of Canada banking violation 2010 OCC $5,250
International Matex Tank Terminals Macquarie railroad safety violation 2007 FRA $5,250
DEUTSCHE BANK USA Deutsche Bank workplace safety or health violation 2013 OSHA $5,250
IMPERIAL SUGAR COMPANY Louis Dreyfus environmental violation 2009 EPA $5,240
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2007 MSHA $5,211
Sherwin Alumina Company, LLC Glencore workplace safety or health violation 2009 MSHA $5,211
BUSEY BANK First Busey Corp. banking violation 2006 FDIC $5,200
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INC Invesco workplace safety or health violation 2007 OSHA $5,200
Canyon Fuel Company LLC Trafigura workplace safety or health violation 2000 MSHA $5,200
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $5,200
Bowie Resources LLC Trafigura workplace safety or health violation 2012 MSHA $5,200
Wells Fargo Bank Wells Fargo Family and Medical Leave Act 2006 WHD $5,152
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