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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$39,340,688,209275
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
Lincoln Life Assurance Company of BostonLincoln Nationalinsurance violation2016MD-INS$13,200
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2016MD-INS$18,000
Progressive Select Insurance Co.Progressiveinsurance violation2016MD-INS$18,000
Progressive Specialty Insurance Co.Progressiveinsurance violation2016MD-INS$22,500
Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2016MD-INS$60,000
Genworth Life Insurance Co.Genworth Financialinsurance violation2016MD-INS$37,800
Allied Property And Casualty Insurance Co. et al.Nationwideinsurance violation2016MD-INS$20,000
Nationwide General Insurance Co.Nationwideinsurance violation2016MD-INS$15,000
Progressive Classic Insurance Co. et al.Progressiveinsurance violation2016MD-INS$17,500
Erie Insurance ExchangeErie Indemnityinsurance violation2016MD-INS$5,000
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2016MD-INS$7,500
Twin City Fire Insurance Co. et al.Hartford Financial Servicesinsurance violation2016MD-INS$10,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2016MD-INS$5,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2016MD-INS$10,000
Standard Fire Insurance Co. et al.Travelersinsurance violation2016MD-INS$7,500
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2016MD-INS$15,000
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MD-INS$38,000
Federal Insurance Co. et al.Chubb Limitedinsurance violation2016MD-INS$12,000
Selective Insurance Company of South Carolina et al.Selective Insurance Groupinsurance violation2016MD-INS$8,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2017MD-INS$8,000
Safety National Casualty Corp.Tokio Marineinsurance violation2017MD-INS$5,000
Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2017MD-INS$25,600
Allied Property And Casualty Insurance Co. et al.Nationwideinsurance violation2017MD-INS$5,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2017MD-INS$11,300
Transamerica Life Insurance Co.Aegoninsurance violation2017MD-INS$8,300
American Security Insurance Co. et al.Assurantinsurance violation2017MD-INS$25,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2017MD-INS$9,850
Travelers Commercial Insurance Co. et al.Travelersinsurance violation2017MD-INS$10,000
QBE Insurance Co. and Praetorian Insurance Co.QBE Insuranceinsurance violation2017MD-INS$10,000
Allstate Insurance Co.Allstateinsurance violation2017MD-INS$18,000
Allstate Indemnity Co.Allstateinsurance violation2017MD-INS$25,000
Pacific Life Insurance Co.Pacific Lifeinsurance violation2017MD-INS$9,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2017MD-INS$67,500
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2018MD-INS$10,000
Progressive Direct Insurance Co.Progressiveinsurance violation2018MD-INS$70,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2018MD-INS$14,100
Elephant Insurance Co.Admiral Groupinsurance violation2018MD-INS$75,000
Allstate Insurance Co.Allstateinsurance violation2018MD-INS$32,500
Travelers Casualty and Surety Co.Travelersinsurance violation2018MD-INS$67,500
Nationwide General Insurance Co. et al.Nationwideinsurance violation2018MD-INS$33,000
Progressive Casualty Insurance Co.Progressiveinsurance violation2018MD-INS$81,520
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2018MD-INS$6,600
Crum & Forster Indemnity Co.Fairfax Financial Holdingsinsurance violation2018MD-INS$20,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2018MD-INS$7,500
United Casualty Insurance Company of AmericaKemperinsurance violation2019MD-INS$54,900
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2019MD-INS$23,863
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2019MD-INS$15,300
Praetorian Insurance CompanyQBE Insuranceinsurance violation2019MD-INS$5,920
Transamerica Life Insurance CompanyAegoninsurance violation2019MD-INS$184,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2020MD-INS$90,000
First American Title Insurance Co.First American Financialinsurance violation2020MD-INS$52,000
National Union Fire Insurance Company of Pittsburgh, Pennsylvania et al.American International Groupinsurance violation2020MD-INS$20,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2020MD-INS$64,600
USAA General Indemnity Co. et al.USAAinsurance violation2020MD-INS$67,500
Ace American Insurance Co. and Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2021MD-INS$7,000
The Cincinnati Insurance CompanyCincinnati Financialinsurance violation2021MD-INS$96,980
American States Preferred Insurance CompanyLiberty Mutual Insuranceinsurance violation2021MD-INS$111,176
SAFECO Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2021MD-INS$196,044
American General Life Insurance CompanyAmerican International Groupinsurance violation2021MD-INS$32,250
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2022MD-INS$123,105
Allstate Indemnity CompanyAllstateinsurance violation2021MD-INS$50,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2022MD-INS$128,790
Nationwide Property and Casualty Insurance Company et al.Nationwideinsurance violation2023MD-INS$180,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2023MD-INS$25,000
Transamerica Life Insurance CompanyAegoninsurance violation2023MD-INS$102,000
USAA General Indemnity Company et al.USAAinsurance violation2023MD-INS$45,900
Progressive Specialty Insurance CompanyProgressiveinsurance violation2023MD-INS$38,500
Liberty Mutual Personal Insurance CompanyLiberty Mutual Insuranceinsurance violation2024MD-INS$8,500
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2024MD-INS$5,000
Allstate Indemnity CompanyAllstateinsurance violation2024MD-INS$5,000
Ace Cash Express Inc.ACE Cash Expressconsumer protection violation2002MD-FIN$164,000
Litton Loan ServicingOcwen Financialconsumer protection violation2010MD-FIN$71,000
Saxon Mortgage ServicesOcwen Financialconsumer protection violation2010MD-FIN$71,000
CashCall, Inc. and Western Sky Financial, LLC et al.CashCall Inc.payday lending violation2014MD-FIN$100,018
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2015MD-FIN$353,286
WHEELABRATOR BALTIMOREMacquarieenvironmental violation2011MD-ENV$77,500
SYNAGRO-PATAPSCO PELLETIZERGoldman Sachsenvironmental violation2008MD-ENV$27,000
WHEELABRATOR BALTIMOREMacquarieenvironmental violation2003MD-ENV$17,500
Arch Insurance CompanyArch Capitalconsumer protection violation2010MD-AG$460,000
Deutsche BankDeutsche Banktoxic securities abuses2017MD-AG$95,000,000
Encore Capital Group Inc., Midland Credit Management, Inc. and Midland Funding LLCEncore Capital Groupconsumer protection violation2009MD-AG$998,000
JPMorgan Chase BankJPMorgan Chasemortgage abuses2015MD-AG$400,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2018MD-AG$760,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007MD-AG$402,386
Wells FargoWells Fargomortgage abuses2012MD-AG$940,056
Wells Fargo BankWells Fargomortgage abuses2015MD-AG$13,800,000
Wells Fargo & Co.Wells Fargoinvestor protection violation2020MD-AG$20,000,000
RBS Financial Products, Inc.NatWest Group PLCtoxic securities abuses2020MD-AG$18,000,000
State Street Global AdvisorsState Street Corp.investor protection violation2012MA-SEC$5,000,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2012MA-SEC$250,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2012MA-SEC$2,000,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2012MA-SEC$5,000,000
LPL Financial LLCLPL Financialinvestor protection violation2013MA-SEC$500,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2013MA-SEC$17,500,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013MA-SEC$400,000
Lincoln Financial Advisors Corp.Lincoln Nationalinvestor protection violation2013MA-SEC$100,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2013MA-SEC$30,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2015MA-SEC$2,500,000
LPL Financial LLCLPL Financialinvestor protection violation2015MA-SEC$250,000
LPL Financial LLCLPL Financialinvestor protection violation2017MA-SEC$975,000
Investment Professionals, Inc.Ameriprise Financialinvestor protection violation2017MA-SEC$100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.