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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
Mitsubishi UFJ Securities (USA), Inc.Mitsubishi UFJ Financial Groupinvestor protection violation2016SEC$20,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2015SEC$20,000
Fahnestock & Co., Inc.Oppenheimer Holdingsinvestor protection violation2000SEC$20,000
American Bankers Insurance Co.Assurantconsumer protection violation2006MA-AG$20,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceconsumer protection violation2010MA-AG$20,000
Metropolitan Property & CasualtyZurich Insuranceconsumer protection violation2010MA-AG$20,000
Peerless Insurance Co.Liberty Mutual Insuranceconsumer protection violation2010MA-AG$20,000
The Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2007MA-AG$20,000
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2019AK-INS$20,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2017AL-SEC$20,000
American Express Prepaid Card Management Corp.American Expressconsumer protection violation2010AR-SEC$20,000
CitiMortgage, Inc.Citigroupconsumer protection violation2014AR-SEC$20,000
Titan Indemnity Co.Nationwideinsurance violation2010AZ-DIFI$20,000
Sentry Insurance A Mutual Co.Sentry Insuranceinsurance violation2015AZ-DIFI$20,000
Amco Insurance Co. and Allied Property and Casualty Insurance Co.Nationwideinsurance violation2005CA-INS$20,000
AllianceBernstein L.P.Equitable Holdingsinvestor protection violation2012DE-SEC$20,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2019DE-INS$20,000
Sagamore Insurance Co.Progressiveinsurance violation2001KS-INS$20,000
Farmers Insurance Company, Inc.Zurich Insuranceinsurance violation2016KS-INS$20,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2016KS-INS$20,000
PennyMac Loan Services, LLCPennyMac Financial Servicesconsumer protection violation2015KY-FIN$20,000
Fireman's Fund Insurance CompanyAllianzinsurance violation2002MA-INS$20,000
Titan Indemnity Co. and Victoria Fire and Casualty Co.Nationwideinsurance violation2011MD-INS$20,000
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2013MD-INS$20,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2015MD-INS$20,000
Allied Property And Casualty Insurance Co. et al.Nationwideinsurance violation2016MD-INS$20,000
Crum & Forster Indemnity Co.Fairfax Financial Holdingsinsurance violation2018MD-INS$20,000
National Union Fire Insurance Company of Pittsburgh, Pennsylvania et al.American International Groupinsurance violation2020MD-INS$20,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$20,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2011ME-INS$20,000
Illinois Farmers Insurance Co.Zurich Insuranceinsurance violation2003MN-FIN$20,000
AMCO Insurance Co.Nationwideinsurance violation2013MN-FIN$20,000
QBE Insurance Co.QBE Insuranceinsurance violation2014MN-FIN$20,000
ServiceLink, LLCFidelity National Financialinsurance violation2014MN-FIN$20,000
Bristol West Casualty Insurance Co.Zurich Insuranceinsurance violation2017MN-FIN$20,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2009MO-SEC$20,000
Travelers Indemnity Company of AmericaTravelersinsurance violation2016MO-INS$20,000
Liberty Insurance Corp. et al.Liberty Mutual Insuranceinsurance violation2017MO-INS$20,000
Federal Insurance Co.Chubb Limitedinsurance violation2018MT-FIN$20,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2004ND-SEC$20,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2004ND-SEC$20,000
A.G. Edwards & Sons Inc.Wells Fargoinvestor protection violation2003NE-DBF$20,000
Virginia Surety Company Inc.Assurantinsurance violation2010NH-INS$20,000
Chicago Title Insurance CompanyFidelity National Financialinsurance violation2008NJ-DBI$20,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018NY-DFS$20,000
Fortis Insurance CompanyAssurantinsurance violation2003OR-FIN$20,000
United States Life Insurance Company in the City of New YorkAmerican International Groupinsurance violation2006OR-FIN$20,000
Farmers Insurance Company of OregonZurich Insuranceinsurance violation2007OR-FIN$20,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2007OR-FIN$20,000
American Home Assurance CompanyAmerican International Groupconsumer protection violation2012OR-FIN$20,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2012OR-FIN$20,000
Great American Insurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$20,000
Empire Fire & Marine Insurance CompanyZurich Insuranceinsurance violation2006PA-INS$20,000
Morgan Keegan & Co. Inc.Raymond James Financialinvestor protection violation2010RI-FIN$20,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2010TX-INS$20,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2014TX-INS$20,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2015TX-INS$20,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2015TX-INS$20,000
Sentry InsuranceSentry Insuranceinsurance violation2015TX-INS$20,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2015TX-INS$20,000
American Home Assurance CompanyAmerican International Groupinsurance violation2016TX-INS$20,000
American Fire and Casualty CoLiberty Mutual Insuranceinsurance violation2016TX-INS$20,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2017TX-INS$20,000
Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2018TX-INS$20,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2018TX-INS$20,000
The Travelers Indemnity Company of ConnecticutTravelersinsurance violation2018TX-INS$20,000
The Hanover Insurance CompanyHanover Insuranceinsurance violation2019TX-INS$20,000
Standard Fire Insurance CompanyTravelersinsurance violation2019TX-INS$20,000
FIDELITY & GUARANTY LIFE INSURANCEFidelity National Financialinsurance violation2003VA-INS$20,000
BRISTOL WEST INSURANCE COMPANYZurich Insuranceinsurance violation2006VA-INS$20,000
ESURANCE INSURANCE COMPANYAllstateinsurance violation2009VA-INS$20,000
LINCOLN FINANCIAL SECURITIESLincoln Nationalinvestor protection violation2018VA-SEC$20,000
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2017VT-FIN$20,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2011WA-INS$20,000
Arch Insurance CompanyArch Capitalinsurance violation2011WA-INS$20,000
Transamerica Casualty Insurance CompanyAegoninsurance violation2014WA-INS$20,000
Unitrin Auto And Home Insurance CompanyKemperinsurance violation2014WA-INS$20,000
Hartford Accident & Indemnity Company et al.Hartford Financial Servicesinsurance violation2015WA-INS$20,000
Jackson National Life Insurance CompanyJackson Financialinsurance violation2016WA-INS$20,000
Unitrin Auto And Home Insurance CompanyKemperinsurance violation2016WA-INS$20,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2016WA-INS$20,000
Hartford Insurance Company The MidwestHartford Financial Servicesinsurance violation2018WA-INS$20,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018WA-INS$20,000
National Casualty CompanyNationwideinsurance violation2019WA-INS$20,000
State Farm Fire & Casualty CompanyState Farm Insuranceinsurance violation2019WA-INS$20,000
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2020WA-INS$20,000
St. Paul Fire & Marine Insurance Co.Travelersinsurance violation2005WI-INS$20,000
Conseco Health Insurance Co.CNO Financialinsurance violation2009WI-INS$20,000
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2020CT-INS$20,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2020NY-DFS$20,000
Property and Casualty Insurance Co. of HartfordHartford Financial Servicesinsurance violation2020TX-INS$20,000
National Union Fire Insurance Company of Pittsburgh, PA. et al.American International Groupinsurance violation2020WA-INS$20,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2020DE-INS$20,000
Allied Property & Casualty Insurance Company et al.Nationwideinsurance violation2020VA-INS$20,000
SYNAGRO CTL LLCGoldman Sachsenvironmental violation2004PA-ENV$20,000
VitolVitolair pollution violation2005CA-ARB$20,000
PayPal, Inc. dba VenmoPayPal Holdingsconsumer protection violation2020MN-FIN$20,000
Prudential Securities IncorporatedWells Fargoinvestor protection violation2001FINRA$20,000
E-TRADE Securities, Inc.Morgan Stanleyinvestor protection violation2000FINRA$20,000
E-TRADE Securities, Inc.Morgan Stanleyinvestor protection violation2000FINRA$20,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2021SD-SEC$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.