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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
Conseco Finance Servicing Corp.CNO Financialconsumer protection violation2002KS-BKG$7,275,000
Bankers Life and Casualty Co.CNO Financialprivacy violation2003KS-AG$15,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010IN-SEC$692,000
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2010IN-SEC$9,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2010IN-SEC$8,495
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2011IN-SEC$10,000
UBS Financial ServicesUBSinvestor protection violation2011IN-SEC$677,000
Fidelity Brokerage Services LLCFidelity Investmentsinvestor protection violation2011IN-SEC$7,500
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2012IN-SEC$210,000
LPL Financial, LLCLPL Financialinvestor protection violation2013IN-SEC$14,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2013IN-SEC$8,500
Prosper MarketplaceProsper Marketplaceinvestor protection violation2015IN-SEC$13,957
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2015IN-SEC$475,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2016IN-SEC$905,000
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2016IN-SEC$950,000
NYLIFE Securities, LLCNew York Life Insuranceinvestor protection violation2017IN-SEC$275,000
LPL Financial, LLCLPL Financialinvestor protection violation2018IN-SEC$450,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020IN-SEC$15,575
Victoria Fire & Casualty Co.Nationwideinsurance violation2003IN-INS$5,000
Workmen's Auto Insurance CompanyMercury General Corporationinsurance violation2003IN-INS$8,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2003IN-INS$8,000
Allstate Insurance CompanyAllstateinsurance violation2003IN-INS$12,220
Sun LIfe Assurance Company of Canada et al.Sun Life Financialinsurance violation2004IN-INS$125,000
Safeco Insurance Co. of AmericaLiberty Mutual Insuranceinsurance violation2005IN-INS$5,000
Universal Underwriters Insurance CompanyZurich Insuranceinsurance violation2006IN-INS$948,240
American Bankers Insurance Company of FloridaAssurantinsurance violation2007IN-INS$87,500
United Insurance Co. of AmericaKemperinsurance violation2007IN-INS$6,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2007IN-INS$6,569
Lawyers Title Insurance Corp.Fidelity National Financialinsurance violation2007IN-INS$9,000
State Farm Mutual Automobile Insurance Co. et al.State Farm Insuranceinsurance violation2009IN-INS$275,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2009IN-INS$24,150
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2009IN-INS$10,850
Liberty Mutual Insurance Co.Liberty Mutual Insuranceinsurance violation2009IN-INS$5,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2010IN-INS$200,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2010IN-INS$5,000
North Pointe Insurance Co.QBE Insuranceinsurance violation2012IN-INS$75,575
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2012IN-INS$5,000
Time Insurance Co. and John Alden Life Insurance Co. and Union Securitiy Insurance Co.Haven Holdingsinsurance violation2012IN-INS$2,950,000
Fidelity National Title Company, LLCFidelity National Financialinsurance violation2014IN-INS$30,000
First American TitleFirst American Financialinsurance violation2014IN-INS$12,500
Stewart Title Co.Stewart Information Servicesinsurance violation2015IN-INS$59,400
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2019IN-INS$5,000
ServiceLink LLCFidelity National Financialinsurance violation2019IN-INS$7,500
ServiceLink LLCFidelity National Financialinsurance violation2022IN-INS$67,175
Stewart Title CompanyStewart Information Servicesinsurance violation2023IN-INS$6,570
BUCKEYE PIPE LINE CO LPIFM Investorsenvironmental violation2019IN-ENV$22,500
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusair pollution violation2016IN-ENV$8,750
BUCKEYE TERMINALS LLCIFM Investorsair pollution violation2016IN-ENV$49,750
BUCKEYE TERMINALS LLC - HAMMONDIFM Investorsair pollution violation2015IN-ENV$158,000
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusair pollution violation2013IN-ENV$7,750
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusair pollution violation2011IN-ENV$103,750
GM ACCEPTANCE CORP TRUCK & BUS GRPAlly Financialhazardous waste violation2006IN-ENV$57,750
RR DONNELLEY & SONS COChatham Asset Managementhazardous waste violation2006IN-ENV$9,563
RR DONNELLEY & SONS COChatham Asset Managementhazardous waste violation2001IN-ENV$15,800
RR DONNELLEY & SONS COChatham Asset Managementhazardous waste violation2001IN-ENV$9,200
Louis Dreyfus Company Agricultural Industries LLCLouis Dreyfusenvironmental violation2021IN-ENV$17,400
IAC Greencastle, LLCInvescoenvironmental violation2022IN-ENV$14,000
R. R. Donnelley Seymour, Inc.Chatham Asset Managementair pollution violation2024IN-ENV$8,750
Countrywide Home LoansBank of Americamortgage abuses2009IN-AG$2,800,000
Western Sky Financial LLC, CashCall, Inc., WS Funding, LLC and Delbert Services Corp.CashCall Inc.consumer protection violation2016IN-AG$1,000,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2004IL-SEC$5,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2005IL-SEC$7,500
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2005IL-SEC$10,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2006IL-SEC$250,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2007IL-SEC$40,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008IL-SEC$1,449,384
ING Financial Partners, Inc.Voya Financialinvestor protection violation2008IL-SEC$4,677,326
LPL Financial Corp.LPL Financialinvestor protection violation2010IL-SEC$300,000
MetLife Securities, Inc.MetLifeinvestor protection violation2010IL-SEC$135,000
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.investor protection violation2011IL-SEC$8,567,364
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2011IL-SEC$80,224
LPL Financial, LLCLPL Financialinvestor protection violation2011IL-SEC$250,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2012IL-SEC$25,930,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2012IL-SEC$7,500
LPL Financial, LLCLPL Financialinvestor protection violation2014IL-SEC$2,000,000
LPL Financial, LLCLPL Financialinvestor protection violation2014IL-SEC$815,218
Pruco Securities, LLCPrudential Financialinvestor protection violation2017IL-SEC$900,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2017IL-SEC$270,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020IL-SEC$11,385
Thrivent Investment Management Inc.Thrivent Financialinvestor protection violation2020IL-SEC$400,000
Indiana Insurance Co.Liberty Mutual Insuranceinsurance violation2010IL-INS$25,000
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2011IL-INS$50,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2011IL-INS$15,000
Sentinel Insurance Company Ltd.Hartford Financial Servicesinsurance violation2011IL-INS$9,000
State Farm Fire and Casualty CompanyState Farm Insuranceinsurance violation2024IL-INS$50,000
BUCKEYE PIPE LINE & WEST SHORE PIPE LINEIFM Investorsenvironmental violation2014IL-ENV$125,000
RR DONNELLEY & SONSChatham Asset Managementair pollution violation2013IL-ENV$5,000
BUCKEYE PIPELINEIFM Investorsenvironmental violation2009IL-ENV$82,845
BUCKEYE PARTNERSIFM Investorsenvironmental violation2009IL-ENV$354,540
Buckeye Pipe Line Company, L.P. and West Shore Pipe Line ComanyIFM Investorsoil spill2021IL-ENV$8,700,000
GUARANTEED RATE INCGuaranteed Rate Inc.wage and hour violation2015IL-DOL$7,291
US BANKU.S. Bancorpwage and hour violation2014IL-DOL$131,922
RR DonnelleyChatham Asset Managementwage and hour violation2020IL-DOL$30,000
Nuveen Services LLCTIAAwage and hour violation2018IL-DOL$27,983
FIRST MIDWEST BANKOld National Bancorpwage and hour violation2018IL-DOL$15,000
ZURICH AMERICAN INS COZurich Insurancewage and hour violation2018IL-DOL$13,865
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$9,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$9,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$7,000
NORTHWESTERN MUTUALNorthwestern Mutualwage and hour violation2023IL-DOL$7,000
WELLS FARGO BANK NAWells Fargowage and hour violation2022IL-DOL$18,049
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.