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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $389,040,962,184
Number of Records: 7,780
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$87,294,669,499330
JPMorgan Chase$39,888,888,209278
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,407,380112
NatWest Group PLC$14,264,317,61841
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
Liberty Insurance Corp. et al.Liberty Mutual Insuranceinsurance violation2018MN-FIN$30,000
Hartford Fire Insurance Co. et al.Hartford Financial Servicesinsurance violation2003MT-FIN$30,000
Principal Life Insurance CompanyPrincipal Financialinvestor protection violation2004ND-SEC$30,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2005ND-SEC$30,000
American General Financial Services, Inc.OneMain Holdingsconsumer protection violation2008NE-DBF$30,000
USAAUSAAinsurance violation2002OH-INS$30,000
Metropolitan Group Property and Casualty Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$30,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2002OR-FIN$30,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2006OR-FIN$30,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2009OR-FIN$30,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012OR-FIN$30,000
Hartford Casualty InsuranceHartford Financial Servicesinsurance violation2004PA-INS$30,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2011SC-SEC$30,000
Transamerica Life Insurance CompanyAegoninsurance violation2019SD-INS$30,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2016TN-SEC$30,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2010TX-INS$30,000
American Guarantee & Liability Insurance CompanyZurich Insuranceinsurance violation2010TX-INS$30,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2012TX-INS$30,000
Protective Insurance CompanyProgressiveinsurance violation2013TX-INS$30,000
Employers Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2017TX-INS$30,000
XL Specialty Insurance CompanyAXAinsurance violation2018TX-INS$30,000
Cincinnati Insurance CompanyCincinnati Financialinsurance violation2018TX-INS$30,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2019TX-INS$30,000
HARTFORD FIRE INSURANCE CO. ET ALHartford Financial Servicesinsurance violation2001VA-INS$30,000
THE CINCINNATI INSURANCE CO. ET AL.Cincinnati Financialinsurance violation2003VA-INS$30,000
LIBERTY MUTUAL INSURANCE CO. ET AL.Liberty Mutual Insuranceinsurance violation2005VA-INS$30,000
CUNA MUTUAL INSURANCE SOCIETYCUNA Mutualinsurance violation2007VA-INS$30,000
Progressive American Insurance CompanyProgressiveinsurance violation2011WA-INS$30,000
Sentinel Insurance Company LtdHartford Financial Servicesinsurance violation2012WA-INS$30,000
Homesite Insurance Company Of The MidwestAmerican Family Insuranceinsurance violation2012WA-INS$30,000
Hartford Insurance Company The MidwestHartford Financial Servicesinsurance violation2012WA-INS$30,000
State Farm Fire & Casualty CompanyState Farm Insuranceinsurance violation2015WA-INS$30,000
Federal Insurance CompanyChubb Limitedinsurance violation2017WA-INS$30,000
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2017WA-INS$30,000
Credit Acceptance CorporationCredit Acceptance Corp.insurance violation2018WA-INS$30,000
Bankers Life & Casualty CompanyCNO Financialinsurance violation2019WA-INS$30,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2019WA-INS$30,000
Travelers Casualty & Surety Company of AmericaTravelersinsurance violation2008WI-INS$30,000
RR DonnelleyChatham Asset Managementwage and hour violation2020IL-DOL$30,000
Buckeye Albany Terminal LLCIFM Investorsenvironmental violation2016NY-ENV$30,000
Buckeye Pipe Line Company, L.P.IFM Investorsenvironmental violation2007OH-ENV$30,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2020TN-INS$30,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$30,000
HSBCHSBCemployment discrimination2020NY-NYCCHR$30,000
Transamerica Life Insurance Co.Aegoninsurance violation2021WA-INS$30,000
Travelers Home and Marine Insurance Company et al.Travelersinsurance violation2021MN-FIN$30,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2022TX-INS$30,000
NATIONWIDE LIFE INSURANCE COMPANYNationwideinsurance violation2022WA-INS$30,000
Alpha Property & Casualty Insurance CompanyKemperinsurance violation2023OR-FIN$30,000
HARTFORD UNDERWRITERS INSURANCE COMPANY et al.Hartford Financial Servicesinsurance violation2023AZ-DIFI$30,000
Hanover Insurance CompanyHanover Insuranceinsurance violation2023TX-INS$30,000
PROSPER MARKETPLACE, INCProsper Marketplaceconsumer protection violation2024MN-FIN$30,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2014TX-INS$29,981
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$29,800
Tokio Marine & Nichido Fire Insurance Co.Tokio Marineinsurance violation2013MO-INS$29,750
State Farm Fire & Casualty Company and State Farm Mutual Auto Insurance Co.State Farm Insuranceinsurance violation2015VT-FIN$29,750
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2012VA-INS$29,709
Central Payment Co., LLCGlobal Payments Inc.wage and hour violation2014WHD$29,634
AXA Equitable Life Insurance CompanyEquitable Holdingswage and hour violation2006WHD$29,534
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2011UT-INS$29,500
Allstate Insurance CompanyAllstateinsurance violation2022CT-INS$29,500
Raymond James & AssociatesRaymond James Financialwage and hour violation2020MI-LEO$29,361
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2016NY-DFS$29,325
Brothers Property CorporationAmerican Financial Groupwage and hour violation2006WHD$29,273
Arch Insurance Co.Arch Capitalinsurance violation2013MT-FIN$29,075
American Express CompanyAmerican Expressemployment discrimination2022DOJ_RIGHTS$29,008
PHH Mortgage Corp. dba Century MortgageOcwen Financialconsumer protection violation2013CT-BKG$29,000
VICTORIA FIRE & CASUALTY ET ALNationwideinsurance violation2003VA-INS$29,000
LIFE INVESTORS INSURANCE COMPANY OF AMERICAAegoninsurance violation2006VA-INS$29,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2023TX-INS$29,000
PROGRESSIVE, INC.Progressiveworkplace safety or health violation2012OSHA$29,000
Old Republic Insurance CoOld Republic Internationalinsurance violation2016TX-INS$28,921
THE NORTH RIVER INSURANCE CO.Fairfax Financial Holdingsinsurance violation2009VA-INS$28,916
NYRSTAR CLARKSVILLE, INC.Trafiguraworkplace safety or health violation2020OSHA$28,916
National Union Fire Insurance Company of Pittsburgh, PennsylvaniaAmerican International Groupinsurance violation2019VA-INS$28,806
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2009MD-SEC$28,706
Auto-Owners Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2007MO-INS$28,704
Safeco Insurance Company of AmericaLiberty Mutual Insurancewage and hour violation2009WHD$28,560
Broadspire Services, Inc.Crawford & Co.workplace safety or health violation2011MO-AG$28,500
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
THE GAS COMPANY LLCMacquariemotor vehicle safety violation2009FMCSA$28,440
NationwideNationwidewage and hour violation2009WHD$28,290
SAFECO INSURANCE CO. ET AL.Liberty Mutual Insuranceinsurance violation2002VA-INS$28,200
BUCKEYE PENNSAUKEN TERMINAL LLCIFM Investorsair pollution violation2006NJ-ENV$28,200
Universal Underwriters Insurance CompanyZurich Insuranceinsurance violation2007NH-INS$28,125
Praetorian Insurance Co.QBE Insuranceinsurance violation2018MO-INS$28,120
PEERLESS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2003VA-INS$28,100
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020SC-SEC$28,007
Union Security Insurance CompanyAssurantconsumer protection violation2007MA-AG$28,000
State Farm Fire & Casualty Insurance Co. and State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2016DE-INS$28,000
American Heritage Life Insurance Co.Allstateinsurance violation2011FL-OFR$28,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2016FL-OFR$28,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2014TX-INS$28,000
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2016VT-FIN$28,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2020CT-INS$28,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$28,000
KEYBANK NATIONAL ASSOCIATIONKeyCorpworkplace safety or health violation2004OSHA$28,000
Nuveen Services LLCTIAAwage and hour violation2018IL-DOL$27,983
Allied Property & Casualty Insurance CompanyNationwideinsurance violation2011VA-INS$27,911
Bankers Conseco Life InsuranceCNO Financialinsurance violation2019NY-DFS$27,900
Fidelity National Financial, IncFidelity National Financialwage and hour violation2008WHD$27,858
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.