Violation Tracker

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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 Companies	Total Penalty $	Number of Records
Bank of America	$87,286,650,890	328
JPMorgan Chase	$39,340,688,209	275
UBS	$31,069,299,125	179
Wells Fargo	$27,616,269,231	266
Citigroup	$26,945,611,792	181
Deutsche Bank	$20,011,467,563	99
Goldman Sachs	$17,729,358,987	111
NatWest Group PLC	$14,370,701,618	43
Morgan Stanley	$10,780,502,443	203
BNP Paribas	$10,363,464,666	23

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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Company	Current Parent	Primary Offense Type	Year	Agency	Penalty Amount
American Express Centurion Bank	American Express	tax violations	2012	CT-AG	$14,970
Bank of America	Bank of America	privacy violation	2009	CT-AG	$350,000
Brown & Brown Insurance of Arizona, Inc.	Brown & Brown	tax violations	2014	CT-AG	$37,650
Citibank N.A.	Citigroup	privacy violation	2013	CT-AG	$55,000
GE Capital Corp.	Synchrony Financial	consumer protection violation	2006	CT-AG	$336,000
Hartford Financial Services Group, Inc.	Hartford Financial Services	price-fixing or anti-competitive practices	2009	CT-AG	$1,300,000
Jackson National Life Insurance Co	Jackson Financial	investor protection violation	2008	CT-AG	$484,000
John Hancock Assignment Co.	Manulife Financial	tax violations	2014	CT-AG	$38,910
Liberty Mutual Insurance Co.	Liberty Mutual Insurance	kickbacks and bribery	2010	CT-AG	$2,000,000
Marsh & McLennan Companies, Inc.	Marsh & McLennan	kickbacks and bribery	2009	CT-AG	$2,400,000
Metropolitan Life Insurance Co.	MetLife	privacy violation	2012	CT-AG	$10,000
MONY Life Insurance Co.	Dai-ichi Life	consumer protection violation	2000	CT-AG	$250,000
Mutual of Omaha Insurance Co.	Mutual of Omaha	kickbacks and bribery	2008	CT-AG	$1,700,000
Pacific Resources Benefits Advisors, LLC	Brown & Brown	tax violations	2014	CT-AG	$5,400
Pioneer Credit Recovery, Inc.	Navient	tax violations	2013	CT-AG	$12,255
Principal Financial Group	Principal Financial	kickbacks and bribery	2007	CT-AG	$5,000,000
Providian Financial Corp.	JPMorgan Chase	consumer protection violation	2000	CT-AG	$1,600,000
RBS Securities, Inc.	NatWest Group PLC	toxic securities abuses	2016	CT-AG	$120,000,000
Travelers Companies, Inc.	Travelers	consumer protection violation	2018	CT-AG	$5,000,000
United American Insurance Co.	Globe Life Inc.	consumer protection violation	2003	CT-AG	$45,000
United States Fidelity & Guaranty	Travelers	False Claims Act and related	2007	CT-AG	$17,500,000
Wells Fargo Bank	Wells Fargo	consumer protection violation	2011	CT-AG	$741,465
Janney Montgomery Scott LLC	Penn Mutual	investor protection violation	2005	CO-SEC	$259,227
OppenheimerFunds Distributor, Inc.	Invesco	investor protection violation	2007	CO-SEC	$494,500
AllianceBernstein L.P.	Equitable Holdings	investor protection violation	2013	CO-SEC	$20,232
Solium Financial Services LLC	Morgan Stanley	investor protection violation	2020	CO-SEC	$69,338
JPMorgan Chase Bank, National Association	JPMorgan Chase	wage and hour violation	2022	CO-LAE	$5,838
Stewart Title Guaranty Co.	Stewart Information Services	insurance violation	2000	CO-INS	$25,000
Commonwealth Land Title Insurance Co.	Fidelity National Financial	insurance violation	2000	CO-INS	$20,750
Fidelity National Title Insurance Co.	Fidelity National Financial	insurance violation	2001	CO-INS	$17,250
Federal Insurance Co.	Chubb Limited	insurance violation	2005	CO-INS	$16,000
Commerce and Industry Insurance Co.	American International Group	insurance violation	2005	CO-INS	$6,000
Allstate Insurance Co.	Allstate	insurance violation	2005	CO-INS	$10,500
Old Republic Insurance Co.	Old Republic International	insurance violation	2006	CO-INS	$6,000
Unitrin Auto and Home Insurance Co.	Kemper	insurance violation	2006	CO-INS	$7,500
American Family Mutual Insurance Co.	American Family Insurance	insurance violation	2006	CO-INS	$6,000
Farmers Insurance Exchange and Truck Insurance Exchange and Mid-Century Insurance Co.	Farmers Insurance Exchange	insurance violation	2006	CO-INS	$49,500
New England Life Insurance Co.	Brighthouse Financial	insurance violation	2006	CO-INS	$32,000
Allianz Life Insurance Company of North America	Allianz	insurance violation	2006	CO-INS	$34,800
Jackson National Life Insurance Co.	Jackson Financial	insurance violation	2007	CO-INS	$10,000
Auto-Owners Insurance Co.	Auto-Owners Insurance	insurance violation	2007	CO-INS	$5,000
American Family Mutual Insurance Co.	American Family Insurance	insurance violation	2007	CO-INS	$5,500
Nationwide Insurance Company of America	Nationwide	insurance violation	2007	CO-INS	$81,500
ING USA Annuity and Life Insurance Co.	Voya Financial	insurance violation	2007	CO-INS	$5,000
Stewart Title Guaranty Co.	Stewart Information Services	insurance violation	2007	CO-INS	$50,000
Nationwide Mutual Fire Insurance Co.	Nationwide	insurance violation	2007	CO-INS	$6,000
Nationwide Mutual Insurance Co.	Nationwide	insurance violation	2007	CO-INS	$8,500
Nationwide Property and Casualty Insurance Co.	Nationwide	insurance violation	2007	CO-INS	$6,000
National Western Life Insurance Co.	National Western Life	insurance violation	2009	CO-INS	$11,500
Time Insurance Co.	Haven Holdings	insurance violation	2009	CO-INS	$103,500
Permanent General Assurance Corp.	American Family Insurance	insurance violation	2009	CO-INS	$31,900
Esurance Insurance Co.	Allstate	insurance violation	2010	CO-INS	$154,500
Wedbush Securities Inc.	Wedbush Securities	insurance violation	2011	CO-INS	$14,300
Mid-Century Insurance Co.	Zurich Insurance	insurance violation	2011	CO-INS	$255,500
Farmers Insurance Exchange	Farmers Insurance Exchange	insurance violation	2011	CO-INS	$81,400
Mid-Century Insurance Co.	Zurich Insurance	insurance violation	2011	CO-INS	$66,000
Bristol West Insurance Co.	Zurich Insurance	insurance violation	2011	CO-INS	$161,500
Farmers Insurance Exchange	Farmers Insurance Exchange	insurance violation	2012	CO-INS	$218,000
United American Insurance Co.	Globe Life Inc.	insurance violation	2012	CO-INS	$86,500
Transamerica Life Insurance Co.	Aegon	insurance violation	2012	CO-INS	$6,270
John Alden Life Insurance Co.	Assurant	insurance violation	2012	CO-INS	$86,500
Stewart Title Guaranty Co.	Stewart Information Services	insurance violation	2012	CO-INS	$70,400
North River Insurance Co.	Fairfax Financial Holdings	insurance violation	2012	CO-INS	$62,700
United States Fire Insurance Co.	Fairfax Financial Holdings	insurance violation	2012	CO-INS	$111,500
First American Title Insurance Co.	First American Financial	insurance violation	2013	CO-INS	$177,500
Fidelity National Title Insurance Co.	Fidelity National Financial	insurance violation	2014	CO-INS	$48,400
Globe Life and Accident Insurance Co.	Globe Life Inc.	insurance violation	2014	CO-INS	$12,100
National Western Life Insurance Co.	National Western Life	insurance violation	2014	CO-INS	$11,500
Safeco Insurance Company of America	Liberty Mutual Insurance	insurance violation	2015	CO-INS	$140,500
Chicago Title Insurance Co.	Fidelity National Financial	insurance violation	2015	CO-INS	$66,000
Auto Owners Insurance Co.	Auto-Owners Insurance	insurance violation	2017	CO-INS	$25,875
National Western Life Insurance Co.	National Western Life	insurance violation	2019	CO-INS	$34,500
Companion Life Insurance Co.	BlueCross BlueShield of South Carolina	insurance violation	2019	CO-INS	$147,775
Permanent General Assurance Corp.	American Family Insurance	insurance violation	2019	CO-INS	$56,494
Permanent General Assurance Corporation of Ohio	American Family Insurance	insurance violation	2019	CO-INS	$50,974
ACE Cash Express, Inc.	ACE Cash Express	consumer protection violation	2002	CO-AG	$1,300,000
CashCall, Inc., WS Funding, LLC, and Delbert Services Corporation	CashCall Inc.	consumer protection violation	2016	CO-AG	$7,384,005
Countrywide Financial Corp.	Bank of America	mortgage abuses	2009	CO-AG	$6,000,000
Western Sky Financial, LLC et al.	CashCall Inc.	consumer protection violation	2014	CO-AG	$565,000
Santander Consumer USA, Inc.	Banco Santander	consumer protection violation	2021	CO-AG	$3,065,000
United States Fire Insurance Co.	Fairfax Financial Holdings	consumer protection violation	2021	CO-AG	$50,000
Prosper Marketplace, Inc.	Prosper Marketplace	consumer protection violation	2024	CO-AG	$10,000
Torchmark Corporation	Globe Life Inc.	Medicare Parts C and D Enforcement Action	2014	CMS	$40,000
Torchmark Corporation	Globe Life Inc.	Medicare Parts C and D Enforcement Action	2013	CMS	$150,000
Citigroup	Citigroup	price-fixing or anti-competitive practices	2016	CFTC	$175,000,000
Citibank	Citigroup	price-fixing or anti-competitive practices	2016	CFTC	$250,000,000
JPMorgan Chase	JPMorgan Chase	data submission deficiencies	2016	CFTC	$225,000
Credit Suisse	UBS	investor protection violation	2016	CFTC	$665,000
JPMorgan Chase Bank	JPMorgan Chase	data submission deficiencies	2015	CFTC	$100,000,000
BNP Paribas Securities	BNP Paribas	investor protection violation	2015	CFTC	$140,000
Deutsche Bank AG	Deutsche Bank	data submission deficiencies	2015	CFTC	$2,500,000
Morgan Stanley	Morgan Stanley	investor protection violation	2015	CFTC	$300,000
Barclays	Barclays	price-fixing or anti-competitive practices	2015	CFTC	$400,000,000
Barclays	Barclays	price-fixing or anti-competitive practices	2015	CFTC	$115,000,000
Deutsche Bank	Deutsche Bank	price-fixing or anti-competitive practices	2015	CFTC	$800,000,000
Deutsche Bank Securities	Deutsche Bank	accounting fraud or deficiencies	2014	CFTC	$3,000,000
Royal Bank of Canada	Royal Bank of Canada	investor protection violation	2014	CFTC	$35,000,000
Citibank	Citigroup	price-fixing or anti-competitive practices	2014	CFTC	$310,000,000
HSBC Bank	HSBC	price-fixing or anti-competitive practices	2014	CFTC	$275,000,000
JPMorgan Chase Bank	JPMorgan Chase	price-fixing or anti-competitive practices	2014	CFTC	$310,000,000
Royal Bank of Scotland plc	NatWest Group PLC	price-fixing or anti-competitive practices	2014	CFTC	$290,000,000