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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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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CompanyCurrent ParentPrimary Offense TypeYearAgency sort iconPenalty Amount
ING Financial Partners, Inc.Voya Financialinvestor protection violation2012MN-FIN$5,000
ING Life Insurance and Annuity Co. et al.Voya Financialinsurance violation2012MN-FIN$200,000
John Hancock Life Insurance Co. (USA) et al.Manulife Financialinsurance violation2012MN-FIN$200,000
MetLife Investors USA Insurance Co. et al.MetLifeinsurance violation2012MN-FIN$200,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2012MN-FIN$200,000
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2012MN-FIN$5,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceinsurance violation2012MN-FIN$10,000
Allstate Insurance Co.Allstateinsurance violation2012MN-FIN$5,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2012MN-FIN$60,000
Transamerica Life Insurance Co. et al.Aegoninsurance violation2012MN-FIN$50,000
Lincoln National Life Insurance Co. and Lincoln Financial GroupLincoln Nationalinsurance violation2013MN-FIN$150,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2013MN-FIN$5,000
AMCO Insurance Co.Nationwideinsurance violation2013MN-FIN$20,000
The Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2013MN-FIN$150,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2013MN-FIN$1,000,000
Depositors Insurance Co.Nationwideinsurance violation2013MN-FIN$40,000
QBE Insurance Co.QBE Insuranceinsurance violation2013MN-FIN$5,000
American Security Insurance CompanyAssurantinsurance violation2013MN-FIN$5,000
QBE Insurance Co.QBE Insuranceinsurance violation2014MN-FIN$20,000
Progressive Casualty Insurance Co.Progressiveinsurance violation2014MN-FIN$5,000
ServiceLink, LLCFidelity National Financialinsurance violation2014MN-FIN$20,000
MetLife, Inc. et al.MetLifeinsurance violation2014MN-FIN$1,500,000
Transamerica Life Insurance Co. et al.Aegoninsurance violation2014MN-FIN$2,500,000
Conseco Life Insurance Co.CNO Financialinsurance violation2014MN-FIN$250,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2014MN-FIN$7,500
Allstate Insurance Co.Allstateinsurance violation2014MN-FIN$10,000
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2014MN-FIN$25,000
QBE North AmericaQBE Insuranceinsurance violation2014MN-FIN$5,000
The Lincoln National Life Insurance Co. et al.Lincoln Nationalinsurance violation2014MN-FIN$2,500,000
Voya Insurance and Annuity Co. et al.Voya Financialinsurance violation2014MN-FIN$1,250,000
USAA Casualty Insurance Co.USAAinsurance violation2014MN-FIN$5,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2014MN-FIN$10,000
ReliaStar Life Insurance Co.Voya Financialinsurance violation2014MN-FIN$30,000
Esurance Property and Casualty Insurance Co.Allstateinsurance violation2015MN-FIN$60,000
The Hanover Insurance Co.Hanover Insuranceinsurance violation2015MN-FIN$7,500
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2015MN-FIN$5,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2015MN-FIN$22,500
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2015MN-FIN$10,000
American General Life Insurance Co.American International Groupinsurance violation2015MN-FIN$10,000
Genworth Mortgage Insurance Corp.Genworth Financialinsurance violation2015MN-FIN$90,000
John Hancock Life Insurance Co. (USA) et al.Manulife Financialinsurance violation2015MN-FIN$900,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2015MN-FIN$5,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2015MN-FIN$15,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2015MN-FIN$10,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2015MN-FIN$7,500
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2015MN-FIN$5,000
USAA Casualty Insurance Co.USAAinsurance violation2015MN-FIN$50,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2015MN-FIN$17,500
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2016MN-FIN$5,000
AXA Equitable Life Insurance Co. et al.Equitable Holdingsinsurance violation2016MN-FIN$900,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2016MN-FIN$1,250,000
New York Life Insurance Co. et al.New York Life Insuranceinsurance violation2016MN-FIN$800,000
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2016MN-FIN$10,000
Genworth Life Insurance Co.Genworth Financialinsurance violation2016MN-FIN$7,500
Travelers Home and Marine Insurance Co.Travelersinsurance violation2016MN-FIN$10,000
American Modern Insurance Group, Inc. et al.Munich Reinsurance violation2016MN-FIN$1,000,000
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MN-FIN$15,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2016MN-FIN$10,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2016MN-FIN$50,000
AXA Equitable Life Insurance Co.Equitable Holdingsinsurance violation2016MN-FIN$5,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2016MN-FIN$5,000
HCC Life Insurance Co.Tokio Marineinsurance violation2016MN-FIN$5,000
The Travelers Home and Marine Insurance Co.Travelersinsurance violation2016MN-FIN$15,000
Allstate Insurance Co.Allstateinsurance violation2016MN-FIN$5,000
John Hancock Life & Health Insurance Co.Manulife Financialinsurance violation2016MN-FIN$5,000
Allianz Life Insurance Company of North America et al.Allianzinsurance violation2016MN-FIN$550,000
American Security Insurance Company et al.Assurantinsurance violation2016MN-FIN$5,000,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2017MN-FIN$50,000
Bristol West Casualty Insurance Co.Zurich Insuranceinsurance violation2017MN-FIN$20,000
ReliaStar Insurance Co.Voya Financialinsurance violation2017MN-FIN$5,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2017MN-FIN$75,000
QBE Holdings, Inc. et al.QBE Insuranceinsurance violation2017MN-FIN$750,000
Riversource Life Insurance Co. and Riversource Life Insurance Co. of New YorkAmeriprise Financialinsurance violation2017MN-FIN$1,500,000
Safeco Surplus Lines Insurance Co.Liberty Mutual Insuranceinsurance violation2017MN-FIN$10,000
Washington National Insurance Co.CNO Financialinsurance violation2017MN-FIN$140,000
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co.CNO Financialinsurance violation2018MN-FIN$10,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2018MN-FIN$40,000
Nationwide Insurance Company of America et al.Nationwideinsurance violation2018MN-FIN$25,000
Liberty Insurance Corp. et al.Liberty Mutual Insuranceinsurance violation2018MN-FIN$30,000
Progressive Casualty Insurance Co. et al.Progressiveinsurance violation2018MN-FIN$40,000
Auto-Owners Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2019MN-FIN$35,000
Esurance Property and Casualty Co. and Esurance Insurance Co.Allstateinsurance violation2019MN-FIN$35,000
Transamerica Life Insurance Co. and Transamerica Premier Life Insurance Co.Aegoninsurance violation2019MN-FIN$100,000
Allstate Insurance Co. and Encompass Indemnity Co. et al.Allstateinsurance violation2019MN-FIN$75,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019MN-FIN$10,000
Austin Mutual Insurance Co.American Family Insuranceinsurance violation2019MN-FIN$10,000
Homesite Insurance Co.American Family Insuranceinsurance violation2019MN-FIN$5,000
Time Insurance Co.Haven Holdingsinsurance violation2019MN-FIN$5,000
Bankers Life and Casualty Co. and Colonial Penn Life Insurance Co.CNO Financialinsurance violation2019MN-FIN$175,000
The Travelers Indemnity Co.Travelersinsurance violation2019MN-FIN$10,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2020MN-FIN$15,000
Horace Mann Insurance Co.Horace Mann Educators Corp.insurance violation2020MN-FIN$5,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2020MN-FIN$5,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2021MN-FIN$10,000
Everest Reinsurance CompanyEverest Re Groupinsurance violation2020MN-FIN$8,000
American Family Mutual Insurance Co. and American Family Insurance Co.American Family Insuranceinsurance violation2020MN-FIN$35,000
PayPal, Inc. dba VenmoPayPal Holdingsconsumer protection violation2020MN-FIN$20,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2021MN-FIN$6,000
ACE American Insurance Company and Insurance Company of North America, and ACE Fire Underwriters Insurance CompanyChubb Limitedinsurance violation2021MN-FIN$15,400
Great American Assurance CompanyAmerican Financial Groupinsurance violation2021MN-FIN$25,000
Travelers Home and Marine Insurance Company et al.Travelersinsurance violation2021MN-FIN$30,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.