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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
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
Minnesota Life Insurance CompanySecurian Financialinsurance violation2024MD-INS$10,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2024MD-INS$10,000
Nationwide Insurance Company of America et al.Nationwideinsurance violation2024MD-INS$15,000
Elephant Insurance CompanyAdmiral Groupinsurance violation2024MD-INS$72,000
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 BALTIMOREMacquarieair pollution violation2011MD-ENV$77,500
SYNAGRO-PATAPSCO PELLETIZERGoldman Sachsair pollution violation2008MD-ENV$27,000
WHEELABRATOR BALTIMOREMacquarieair pollution 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
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2017MA-SEC$1,000,000
LPL Financial LLCLPL Financialinvestor protection violation2017MA-SEC$1,000,000
MetLife, Inc.MetLifeinvestor protection violation2018MA-SEC$1,000,000
LPL Financial LLCLPL Financialinvestor protection violation2019MA-SEC$1,100,000
Wells Fargo Clearing Services, LLCWells Fargoinvestor protection violation2019MA-SEC$450,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2019MA-SEC$382,500
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2019MA-SEC$150,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2021MA-SEC$4,000,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2022MA-SEC$262,092
STIFEL, NICOLAUS & COMPANY, INC.Stifel Financialinvestor protection violation2023MA-SEC$2,500,000
Fidelity Brokerage Services LLCFidelity Investmentsinvestor protection violation2023MA-SEC$750,000
LPL Financial, LLCLPL Financialinvestor protection violation2023MA-SEC$250,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2024MA-SEC$7,500,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2024MA-SEC$2,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2024MA-SEC$2,000,000
Scottsdale Insurance CompanyNationwideinsurance violation2000MA-INS$26,208
National Casualty CompanyNationwideinsurance violation2000MA-INS$6,500
Philadelphia Indemnity Insurance CompanyTokio Marineinsurance violation2000MA-INS$7,040
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2002MA-INS$639,576
Insurance Company of the State of PAAmerican International Groupinsurance violation2002MA-INS$124,532
Hanover Insurance CompanyHanover Insuranceinsurance violation2001MA-INS$7,040
Fidelity & Guaranty Insurance CompanyFidelity National Financialinsurance violation2001MA-INS$21,037
Valley Forge Life Insurance CompanyPrudential PLCinsurance violation2001MA-INS$11,600
American Bankers Insurance Company of FloridaAssurantinsurance violation2001MA-INS$65,000
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2001MA-INS$14,500
AIU Insurance CompanyAmerican International Groupinsurance violation2002MA-INS$365,615
American Home Assurance CompanyAmerican International Groupinsurance violation2002MA-INS$64,546
Fireman's Fund Insurance CompanyAllianzinsurance violation2002MA-INS$20,000
Travelers Insurance CompanyTravelersinsurance violation2002MA-INS$8,600
Zurich DirectZurich Insuranceinsurance violation2002MA-INS$6,000
Zurich Life Insurance Company of AmericaZurich Insuranceinsurance violation2002MA-INS$12,000
Harleysville Worcester Insurance CompanyNationwideinsurance violation2002MA-INS$6,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.