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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $394,610,993,640
Number of Records: 7,983
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$87,299,969,499332
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,617,269,231267
Citigroup$27,081,211,792183
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,909,502,443206
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
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 PowerMacquarieconsumer protection 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
NEW YORK LIFE INSURANCE COMPANYNew York Life Insuranceinsurance violation2023LA-INS$100,000
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 Managementsolid waste violation2016KY-ENV$5,000
THE HENNEGAN COMPANYChatham Asset Managementair pollution 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
Progressive Casualty Insurance Co. et al.Progressiveinsurance violation2004KS-INS$19,800
Nationwide Agribusiness Insurance Co.Nationwideinsurance violation2006KS-INS$7,500
Metropolitan Property and Casualty Co.Zurich Insuranceinsurance violation2006KS-INS$5,000
St. Paul Fire & Marine Insurance Co.Travelersinsurance violation2006KS-INS$5,000
Wausau Business Insurance Co.Liberty Mutual Insuranceinsurance violation2008KS-INS$15,622
Continental Western Insurance Co.W.R. Berkleyinsurance violation2008KS-INS$10,000
Reliance Standard Life Insurance Co.Tokio Marineinsurance violation2009KS-INS$6,300
Old Republic Insurance Co.Old Republic Internationalinsurance violation2009KS-INS$5,000
Progressive Direct Insurance Co.Progressiveinsurance violation2009KS-INS$5,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2009KS-INS$8,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2010KS-INS$22,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceinsurance violation2010KS-INS$13,000
The Travelers Indemnity Co. et al.Travelersinsurance violation2010KS-INS$10,000
Globe Life & Accident Insurance Co.Globe Life Inc.insurance violation2012KS-INS$17,250
Continental Western Insurance Co.W.R. Berkleyinsurance violation2012KS-INS$6,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2012KS-INS$5,000
Farmers Insurance Company, Inc.Zurich Insuranceinsurance violation2013KS-INS$50,000
Allstate Fire and Casualty Co.Allstateinsurance violation2014KS-INS$10,000
Seneca Insurance Co.Fairfax Financial Holdingsinsurance violation2014KS-INS$5,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2015KS-INS$81,000
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2015KS-INS$10,000
Farmers Insurance Company, Inc.Zurich Insuranceinsurance violation2016KS-INS$20,000
American General Life Insurance Co.American International Groupinsurance violation2016KS-INS$15,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2016KS-INS$20,000
AGCS Marine Insurance Co.Allianzinsurance violation2017KS-INS$63,483
Great American Insurance Co.American Financial Groupinsurance violation2017KS-INS$13,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2017KS-INS$100,000
Standard Fire Insurance Co.Travelersinsurance violation2018KS-INS$7,500
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2018KS-INS$80,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2019KS-INS$60,000
Auto-Owners (Mutual) Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2019KS-INS$10,000
National Union Fire Insurance Company of Pittsburgh, PaAmerican International Groupinsurance violation2021KS-INS$5,000
USAA Casualty Insurance Company et al.USAAinsurance violation2021KS-INS$5,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2022KS-INS$7,000
Progressive Direct Insurance Company et al.Progressiveinsurance violation2022KS-INS$5,000
Travelers Home and Marine Insurance CompanyTravelersinsurance violation2022KS-INS$26,240
Travelers Personal Insurance CompanyTravelersinsurance violation2022KS-INS$5,980
Hartford Accident and Indemnity Company et al.Hartford Financial Servicesinsurance violation2024KS-INS$37,950
Conseco Finance Servicing Corp.CNO Financialconsumer protection violation2002KS-BKG$7,275,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.