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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
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2008MD-SEC$10,000
Allstate Indemnity Co. et al.Allstateinsurance violation2010MD-INS$10,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2011MD-INS$10,000
AMEX Assurance Co.American Expressinsurance violation2011MD-INS$10,000
State Farm Mutual Automobile Insurance Co. et al.State Farm Insuranceinsurance violation2011MD-INS$10,000
Praetorian Insurance Co. and Redland Insurance Co.QBE Insuranceinsurance violation2011MD-INS$10,000
Praetorian Insurance Co. and Stonington Insurance Co.QBE Insuranceinsurance violation2013MD-INS$10,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2014MD-INS$10,000
The Standard Fire Insurance Co.Travelersinsurance violation2015MD-INS$10,000
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2015MD-INS$10,000
Twin City Fire Insurance Co. et al.Hartford Financial Servicesinsurance violation2016MD-INS$10,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2016MD-INS$10,000
Travelers Commercial Insurance Co. et al.Travelersinsurance violation2017MD-INS$10,000
QBE Insurance Co. and Praetorian Insurance Co.QBE Insuranceinsurance violation2017MD-INS$10,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2018MD-INS$10,000
Washington National Life Insurance Co.CNO Financialinsurance violation2001ME-INS$10,000
Conseco Health Insurance Co.CNO Financialinsurance violation2004ME-INS$10,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2010ME-SEC$10,000
Metropolitan Property and Casualty Insurance Co. et al.Zurich Insuranceinsurance violation2001MN-FIN$10,000
Allstate Insurance Co.Allstateinsurance violation2001MN-FIN$10,000
Fortis Insurance Co. and John Alden Life Insurance Co.Assurantinsurance violation2002MN-FIN$10,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2002MN-FIN$10,000
Horace Mann Insurance Co.Horace Mann Educators Corp.insurance violation2002MN-FIN$10,000
Illinois Farmers Insurance Co.Zurich Insuranceinsurance violation2003MN-FIN$10,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2003MN-FIN$10,000
Berthel Fisher & CompanyBerthel Fisherinvestor protection violation2003MN-FIN$10,000
Fortis Insurance Co.Assurantinsurance violation2005MN-FIN$10,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceinsurance violation2012MN-FIN$10,000
Allstate Insurance Co.Allstateinsurance violation2014MN-FIN$10,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2014MN-FIN$10,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2015MN-FIN$10,000
American General Life Insurance Co.American International Groupinsurance violation2015MN-FIN$10,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2015MN-FIN$10,000
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2016MN-FIN$10,000
Travelers Home and Marine Insurance Co.Travelersinsurance violation2016MN-FIN$10,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2016MN-FIN$10,000
Safeco Surplus Lines Insurance Co.Liberty Mutual Insuranceinsurance violation2017MN-FIN$10,000
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co.CNO Financialinsurance violation2018MN-FIN$10,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019MN-FIN$10,000
Austin Mutual Insurance Co.American Family Insuranceinsurance violation2019MN-FIN$10,000
The Travelers Indemnity Co.Travelersinsurance violation2019MN-FIN$10,000
American Modern Home Insurance Co.Munich Reinsurance violation2015MO-INS$10,000
Safety National Casualty Corp.Tokio Marineinsurance violation2008MS-INS$10,000
Allstate Fire and Casualty Insurance Co. et al.Allstateinsurance violation2017MT-FIN$10,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2014ND-INS$10,000
Cadaret, Grant & Co., Inc.Atria Wealth Solutionsinvestor protection violation2008NE-DBF$10,000
Ameriprise Financial Services Inc.Ameriprise Financialconsumer protection violation2013NE-DBF$10,000
Seterus, Inc.Mr. Cooper Groupconsumer protection violation2014NH-BKG$10,000
AON Risk Services IncAoninsurance violation2004NJ-DBI$10,000
21st Century National Insurance CompanyZurich Insuranceinsurance violation2010NJ-DBI$10,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2012NJ-DBI$10,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2015NJ-DBI$10,000
Genworth Life Insurance CompanyGenworth Financialinsurance violation2019NJ-DBI$10,000
Ocwen Loan Servicing LLCOcwen Financialconsumer protection violation2009OH-BKG$10,000
Allied Home Mortgage Capital CorporationAmericus Mortgageconsumer protection violation2009NY-DFS$10,000
Investment Professionals Inc.Ameriprise Financialinsurance violation2014NY-DFS$10,000
Virginia Surety Company, Inc.Assurantinsurance violation2015NY-DFS$10,000
USAA Life Insurance Company of New YorkUSAAinsurance violation2016NY-DFS$10,000
Waddell & Reed Inc.Macquarieinvestor protection violation2008OK-SEC$10,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2000OR-FIN$10,000
Great American Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2002OR-FIN$10,000
AIU Insurance CompanyAmerican International Groupinsurance violation2002OR-FIN$10,000
Jackson National Life Insurance CompanyJackson Financialinsurance violation2002OR-FIN$10,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2003OR-FIN$10,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2004OR-FIN$10,000
ING Life Insurance and Annuity CompanyVoya Financialinsurance violation2004OR-FIN$10,000
AIG Life Insurance CompanyAmerican International Groupinsurance violation2006OR-FIN$10,000
Progressive Northern Insurance CompanyProgressiveinsurance violation2006OR-FIN$10,000
John Alden Life Insurance CompanyAssurantinsurance violation2007OR-FIN$10,000
Fidelity National Title Insurance CompanyFidelity National Financialinsurance violation2007OR-FIN$10,000
Reliance Standard Life Insurance CompanyTokio Marineinsurance violation2007OR-FIN$10,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2007OR-FIN$10,000
American Home Assurance CompanyAmerican International Groupinsurance violation2007OR-FIN$10,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2007OR-FIN$10,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2007OR-FIN$10,000
Farmers Insurance Company of OregonZurich Insuranceinsurance violation2007OR-FIN$10,000
Virginia Surety Company, Inc.Assurantinsurance violation2009OR-FIN$10,000
Farmers Insurance Company of OregonZurich Insuranceinsurance violation2009OR-FIN$10,000
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2012OR-FIN$10,000
Progressive Universal Insurance Company et al.Progressiveinsurance violation2017OR-FIN$10,000
Bristol West Insurance CompanyZurich Insuranceinsurance violation2004PA-INS$10,000
Northwestern Mutual Investment ServicesNorthwestern Mutualinsurance violation2006PA-INS$10,000
Freedom Mortgage Corporation dba Jefferson Home Mortgage and LoanFreedom Mortgageconsumer protection violation2010PA-BKG$10,000
Allied Home Mortgage Corporation et al.Americus Mortgageconsumer protection violation2012PA-BKG$10,000
QBE Insurance CorporationQBE Insuranceinsurance violation2015PA-INS$10,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2016PA-BKG$10,000
AGCS Marine Insurance CompanyAllianzinsurance violation2016PA-INS$10,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2017PA-INS$10,000
AIG National Insurance CompanyAmerican International Groupinsurance violation2008RI-FIN$10,000
Allstate Insurance CompanyAllstateinsurance violation2016RI-FIN$10,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2019RI-FIN$10,000
Standard Fire Insurance CompanyTravelersinsurance violation2000SC-INS$10,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2012SC-INS$10,000
Allstate Vehicle and Property Insurance CompanyAllstateinsurance violation2018SC-INS$10,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2018SC-INS$10,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2014SD-INS$10,000
Nationwide Life Insurance CompanyNationwideinsurance violation2015SD-INS$10,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2016SD-INS$10,000
Hartford Life and Accident Insurance CompanyHartford Financial Servicesinsurance violation2018SD-INS$10,000
Transamerica Life Insurance CompanyAegoninsurance violation2018SD-INS$10,000
Edward D. Jones & Co. L.P.Jones Financialinvestor protection violation2019SD-INS$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.