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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $395,312,528,119
Number of Records: 8,003
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$87,320,969,499333
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,618,169,231268
Citigroup$27,081,211,792183
Deutsche Bank$20,015,467,563100
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,924,502,443207
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
Quicken LoansRocket Companies Inc.wage and hour violation2015MI-LEO$8,000
Fifth Third BankFifth Third Bancorpwage and hour violation2014MI-LEO$5,535
Fifth Third Financial CorporationFifth Third Bancorpwage and hour violation2014MI-LEO$5,535
Metlife Human ResourcesMetLifewage and hour violation2014MI-LEO$8,000
Metlife SecuritiesMetLifewage and hour violation2014MI-LEO$8,000
Jackson HewittJackson Hewittwage and hour violation2013MI-LEO$8,553
Ace American InsuranceChubb Limitedwage and hour violation2012MI-LEO$6,000
Bank Of AmericaBank of Americawage and hour violation2011MI-LEO$5,000
Huntington National BankHuntington Bancshareswage and hour violation2011MI-LEO$11,434
Jackson National Life Distributors IncJackson Financialwage and hour violation2011MI-LEO$10,716
Citizens BankCitizens Financial Groupwage and hour violation2011MI-LEO$8,169
Wells Fargo Home Mortgage IncWells Fargowage and hour violation2010MI-LEO$9,222
Comerica Securities IncComericawage and hour violation2010MI-LEO$24,968
Bank Of AmericaBank of Americawage and hour violation2010MI-LEO$15,406
Bank Of AmericaBank of Americawage and hour violation2010MI-LEO$14,000
Chase BankJPMorgan Chasewage and hour violation2010MI-LEO$15,000
Western Sky Financial, LLC and CashCall, Inc.CashCall Inc.consumer protection violation2015MI-FIN$2,200,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2016MI-FIN$146,000
American International Group, Inc.American International Grouptax violations2006MI-AG$5,279,484
Bear StearnsJPMorgan Chaseinvestor protection violation2012MI-AG$275,000,000
Comerica BankComericatoxic securities abuses2008MI-AG$110,000
UBSUBSinvestor protection violation2010MI-AG$117,000,000
Western Sky Financial, LLC and CashCall, Inc.CashCall Inc.consumer protection violation2015MI-AG$24,700,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2010ME-SEC$10,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2011ME-SEC$5,000
LendingClub CorporationLendingClub Corp.investor protection violation2013ME-SEC$45,000
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2019ME-SEC$50,000
Solium Financial Services, LLCMorgan Stanleyinvestor protection violation2020ME-SEC$5,000
Wells Fargo Clearing Services LLCWells Fargoinvestor protection violation2023ME-SEC$5,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2023ME-SEC$5,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualinvestor protection violation2024ME-SEC$5,000
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2000ME-INS$6,000
Washington National Life Insurance Co.CNO Financialinsurance violation2001ME-INS$10,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2003ME-INS$5,000
Conseco Health Insurance Co.CNO Financialinsurance violation2004ME-INS$10,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$20,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2005ME-INS$500,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2006ME-INS$7,500
Hartford Fire Insurance Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Hartford Casualty Insurance Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Hartford Underwriters Insurance Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Twin City Fire Insurance Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2009ME-INS$500,000
AIU Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
American Home Assurance Co.American International Groupinsurance violation2010ME-INS$11,111
Commerce and Industry Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
Granite State Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
Illinois National Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2010ME-INS$11,111
National Union Fire Insurance Company of Pittsburg, Pa.American International Groupinsurance violation2010ME-INS$11,111
New Hampshire Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
Bankers Life & Casualty Co.CNO Financialinsurance violation2011ME-INS$102,801
CUNA Mutual Insurance SocietyCUNA Mutualinsurance violation2011ME-INS$100,000
Progressive Northwestern Insurance Co.Progressiveinsurance violation2011ME-INS$100,000
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2011ME-INS$7,500
American Family Life Assurance Company of ColumbusAflacinsurance violation2011ME-INS$20,000
ACE American Insurance Co. et al.Chubb Limitedinsurance violation2013ME-INS$30,550
Zurich American Insurance Co. et al.Zurich Insuranceinsurance violation2013ME-INS$35,350
Globe Life and Accident Insurance Co.Globe Life Inc.insurance violation2017ME-INS$250,000
Everest Reinsurance CompanyEverest Re Groupinsurance violation2024ME-INS$30,000
Ocwen Financial CorporationOcwen Financialconsumer protection violation2019ME-AG$84,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2008MD-SEC$10,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2008MD-SEC$35,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2008MD-SEC$50,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2009MD-SEC$100,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2009MD-SEC$28,706
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2012MD-SEC$50,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013MD-SEC$50,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2017MD-SEC$100,000
LPL Financial LLCLPL Financialinvestor protection violation2019MD-SEC$499,000
Allstate Indemnity Co. et al.Allstateinsurance violation2010MD-INS$10,000
American Modern Home Insurance Co.Munich Reinsurance violation2010MD-INS$5,000
American General Life and Accident Insurance Co.American International Groupinsurance violation2011MD-INS$7,000
Travelers Casualty and Surety Company of AmericaTravelersinsurance violation2011MD-INS$5,000
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2011MD-INS$5,500
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2011MD-INS$5,000
Monumental Life Insurance Co.Aegoninsurance violation2011MD-INS$9,000
Transamerica Life Insurance Co.Aegoninsurance violation2011MD-INS$5,000
Zurich American Insurance Co. et al.Zurich Insuranceinsurance violation2011MD-INS$30,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2011MD-INS$10,000
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2011MD-INS$30,000
Commonwealth Land Title Insurance Co. et al.Fidelity National Financialinsurance violation2011MD-INS$30,000
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2011MD-INS$7,500
AMEX Assurance Co.American Expressinsurance violation2011MD-INS$10,000
Federal Insurance Co. et al.Chubb Limitedinsurance violation2011MD-INS$25,000
United States Life Insurance Company In the City of New YorkAmerican International Groupinsurance violation2011MD-INS$5,000
National General Assurance Co.Allstateinsurance violation2011MD-INS$50,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2011MD-INS$125,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2011MD-INS$75,000
Hartford Accident and Indemnity Co. et al.Hartford Financial Servicesinsurance violation2011MD-INS$125,000
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2011MD-INS$30,000
First American Title Insurance Co.First American Financialinsurance violation2011MD-INS$15,000
Federal Insurance Co. et al.Chubb Limitedinsurance violation2011MD-INS$15,000
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
Titan Indemnity Co. and Victoria Fire and Casualty Co.Nationwideinsurance violation2011MD-INS$20,000
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2011MD-INS$15,000
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2011MD-INS$15,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.