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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
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2013MA-AG$50,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2012MA-AG$395,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2000MA-AG$1,840,000
Morgan Stanley & Co.Morgan Stanleytoxic securities abuses2010MA-AG$102,000,000
Morgan Stanley & Co.Morgan Stanleytoxic securities abuses2008MA-AG$1,500,000
Mutual of Omaha Insurance Co.Mutual of Omahaconsumer protection violation2019MA-AG$25,000
Nationstar Mortgage LLC dba Mr. CooperMr. Cooper Groupmortgage abuses2018MA-AG$500,000
Nationwide Life InsuranceNationwideconsumer protection violation2005MA-AG$650,000
Ocwen Financial Corp.Ocwen Financialmortgage abuses2014MA-AG$3,700,000
Ocwen Loan Servicing LLCOcwen Financialmortgage abuses2019MA-AG$2,000,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsinvestor protection violation2013MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,800,000
Peerless Insurance Co.Liberty Mutual Insuranceconsumer protection violation2010MA-AG$20,000
Premier Insurance Company of MassachusettsTravelersconsumer protection violation2011MA-AG$5,000,386
Progressive Direct Insurance Co.Progressiveconsumer protection violation2009MA-AG$120,000
QBE InsuranceQBE Insuranceconsumer protection violation2018MA-AG$2,400,000
QBE InsuranceQBE Insuranceconsumer protection violation2016MA-AG$375,000
RBS Financial Products Inc.NatWest Group PLCtoxic securities abuses2011MA-AG$52,000,000
Santander Consumer USA Holdings Inc.Banco Santanderconsumer protection violation2017MA-AG$22,000,000
Santander Securities LLCBanco Santanderconsumer protection violation2019MA-AG$100,000
Santander USA Holdings Inc.Banco Santanderconsumer protection violation2015MA-AG$5,400,000
Sentry InsuranceSentry Insuranceconsumer protection violation2014MA-AG$53,430
State Street Bank & Trust Co.State Street Corp.investor protection violation2010MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000
State Street Bank and Trust Co.State Street Corp.investor protection violation2016MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,500,000
State Street Corp.State Street Corp.consumer protection violation2019MA-AG$53,500,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2015MA-AG$160,000
TD BankToronto-Dominion Bankprivacy violation2014MA-AG$625,000
The Chubb Corp.Chubb Limitedconsumer protection violation2009MA-AG$239,011
The Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2007MA-AG$20,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupconsumer protection violation2015MA-AG$430,000
Time Insurance CompanyHaven Holdingsconsumer protection violation2007MA-AG$16,000
Transamerica Life Insurance Co.Aegoninsurance violation2013MA-AG$1,330,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2018MA-AG$19,647
UBS Financial Services, Inc. and UBS Securities LLCUBStoxic securities abuses2008MA-AG$35,000,000
Union Security Insurance CompanyAssurantconsumer protection violation2007MA-AG$28,000
Union Security Life Insurance CoAssurantconsumer protection violation2000MA-AG$1,000,000
United Services Automobile AssociationUSAAdiscriminatory practices (non-employment)2014MA-AG$50,000
United Services Automobile AssociationUSAAconsumer protection violation2010MA-AG$25,000
United Services Automobile AssociationUSAAconsumer protection violation2010MA-AG$2,300,000
United States Fidelity and Guaranty Co.TravelersFalse Claims Act and related2010MA-AG$2,925,000
United States Life Insurance Company in the City of New YorkAmerican International Groupconsumer protection violation2011MA-AG$760,000
Unum Life Insurance Co.UnumFalse Claims Act and related2005MA-AG$650,000
Wells Fargo BankWells Fargomortgage abuses2015MA-AG$675,000
Western Sky Financial, LLC, WS Funding, LLC, CashCall, Inc., Delbert Services Corp.CashCall Inc.consumer protection violation2015MA-AG$259,115
Wheelabrator Saugus, Wheelabrator Andover and Wheelabrator MillburyMacquarieenvironmental violation2011MA-AG$7,500,000
LendingClub CorporationLendingClub Corp.consumer protection violation2020MA-AG$1,250,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020MA-AG$363,000
Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2020MA-AG$145,000
Credit Acceptance CorporationCredit Acceptance Corp.consumer protection violation2021MA-AG$27,200,000
U.S. BankU.S. Bancorpconsumer protection violation2021MA-AG$230,000
Santander Consumer USABanco Santanderconsumer protection violation2022MA-AG$5,560,000
Encore Capital Group, Inc. et al.Encore Capital Groupconsumer protection violation2022MA-AG$12,000,000
Nelnet, Inc.Nelnetconsumer protection violation2024MA-AG$1,800,000
Cleco PowerMacquarieutility administrative violation2004LA-PSC$18,000,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2017LA-INS$10,000
AIG Claims, Inc.American International Groupinsurance violation2018LA-INS$11,000
American Health and Life Insurance Co.OneMain Holdingsinsurance violation2019LA-INS$11,000
Progressive Paloverde Insurance Co.Progressiveinsurance violation2019LA-INS$5,000
Axa Insurance Co.AXAinsurance violation2019LA-INS$6,000
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019LA-INS$10,000
First American Title Insurance Company of LouisianaFirst American Financialinsurance violation2021LA-INS$5,000
National Union Fire Insurance Company of Pittsburgh, PaAmerican International Groupinsurance violation2021LA-INS$9,000
Louisiana Generating, LLCMacquarieenvironmental violation2019LA-ENV$16,500
Iberiabank CorpFirst Horizon Nationalenvironmental violation2017LA-ENV$14,213
Louisiana Generating, LLCMacquarieenvironmental violation2014LA-ENV$46,962
Louisiana Generating, LLCMacquarieenvironmental violation2013LA-ENV$1,750,000
Imperial Sugar CompanyLouis Dreyfusenvironmental violation2012LA-ENV$10,770
Bank of LouisvilleTruist Financialinvestor protection violation2002KY-INS$27,000,000
Morgan Stanley D.W., Inc.Morgan Stanleyinvestor protection violation2004KY-FIN$100,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2008KY-FIN$105,000
Home Loan Center, Inc. dba Lending Tree LoansLendingTreeconsumer protection violation2008KY-FIN$16,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2009KY-FIN$18,000
Allied Home Mortgage Capital Corp.Americus Mortgageconsumer protection violation2009KY-FIN$5,740
Mortgage Access Corp. dba Weichert Financial ServicesWeichert Financial Servicesconsumer protection violation2009KY-FIN$5,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009KY-FIN$983,984
James B. Nutter & CompanyJames B. Nutter & Companyconsumer protection violation2010KY-FIN$24,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2010KY-FIN$8,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2010KY-FIN$19,500
Provident Funding Associates, LPProvident Funding Associatesconsumer protection violation2011KY-FIN$66,000
PHH Mortgage Corp.Ocwen Financialconsumer protection violation2011KY-FIN$5,000
Stonegate Mortgage Corp.Home Point Capitalconsumer protection violation2013KY-FIN$5,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2015KY-FIN$25,000
PennyMac Loan Services, LLCPennyMac Financial Servicesconsumer protection violation2015KY-FIN$20,000
Cash America International, Inc.FirstCashconsumer protection violation2015KY-FIN$116,998
Homeward Residential, Inc.Ocwen Financialconsumer protection violation2015KY-FIN$10,000
LendingTree, LLCLendingTreeconsumer protection violation2016KY-FIN$25,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2016KY-FIN$6,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2019KY-FIN$5,000
J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2020KY-FIN$325,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020KY-FIN$5,465
THE HENNEGAN COChatham Asset Managementenvironmental violation2016KY-ENV$5,000
THE HENNEGAN COMPANYChatham Asset Managementenvironmental violation2004KY-ENV$70,000
Bankers Life and Casualty CompanyCNO Financialprivacy violation2002KY-AG$5,000
Discover Financial Services, Inc./Millenium Teleservices, Inc.Discover Financial Servicesprivacy violation2002KY-AG$5,000
PNC BankPNC Financial Servicesprivacy violation2002KY-AG$5,000
Student Loan Xpress, Inc.First Citizens BancSharesconsumer protection violation2010KY-AG$3,600,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceconsumer protection violation2023KY-AG$1,350,000
American General Life and Accident Insurance Co.American International Groupinsurance violation2000KS-INS$23,400
New Hampshire Insurance Co.American International Groupinsurance violation2000KS-INS$10,375
National Union Fire Insurance Company of Pittsburgh, PennsylvaniaAmerican International Groupinsurance violation2000KS-INS$10,375
Sagamore Insurance Co.Progressiveinsurance violation2001KS-INS$20,000
United Services Automobile AssociationUSAAinsurance violation2001KS-INS$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.