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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
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
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2008MD-SEC$10,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2008MD-SEC$35,000
Wachovia Securities, LLCWells Fargoinvestor protection violation2008MD-SEC$50,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2009MD-SEC$100,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2009MD-SEC$28,706
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2012MD-SEC$50,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013MD-SEC$50,000
JPMorgan Chase Bank, N.A.JPMorgan Chaseinvestor protection violation2017MD-SEC$100,000
LPL Financial LLCLPL Financialinvestor protection violation2019MD-SEC$499,000
Ocwen Financial CorporationOcwen Financialconsumer protection violation2019ME-AG$84,000
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2000ME-INS$6,000
Washington National Life Insurance Co.CNO Financialinsurance violation2001ME-INS$10,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2003ME-INS$5,000
Conseco Health Insurance Co.CNO Financialinsurance violation2004ME-INS$10,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$20,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2005ME-INS$500,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2006ME-INS$7,500
Hartford Fire Insurance Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Hartford Casualty Insurance Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Hartford Underwriters Insurance Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Twin City Fire Insurance Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Bankers Life & Casualty Co.CNO Financialinsurance violation2009ME-INS$500,000
AIU Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
American Home Assurance Co.American International Groupinsurance violation2010ME-INS$11,111
Commerce and Industry Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
Granite State Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
Illinois National Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2010ME-INS$11,111
National Union Fire Insurance Company of Pittsburg, Pa.American International Groupinsurance violation2010ME-INS$11,111
New Hampshire Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
Bankers Life & Casualty Co.CNO Financialinsurance violation2011ME-INS$102,801
CUNA Mutual Insurance SocietyCUNA Mutualinsurance violation2011ME-INS$100,000
Progressive Northwestern Insurance Co.Progressiveinsurance violation2011ME-INS$100,000
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2011ME-INS$7,500
American Family Life Assurance Company of ColumbusAflacinsurance violation2011ME-INS$20,000
ACE American Insurance Co. et al.Chubb Limitedinsurance violation2013ME-INS$30,550
Zurich American Insurance Co. et al.Zurich Insuranceinsurance violation2013ME-INS$35,350
Globe Life and Accident Insurance Co.Globe Life Inc.insurance violation2017ME-INS$250,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2010ME-SEC$10,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2011ME-SEC$5,000
LendingClub CorporationLendingClub Corp.investor protection violation2013ME-SEC$45,000
NYLIFE Securities LLCNew York Life Insuranceinvestor protection violation2019ME-SEC$50,000
Solium Financial Services, LLCMorgan Stanleyinvestor protection violation2020ME-SEC$5,000
Wells Fargo Clearing Services LLCWells Fargoinvestor protection violation2023ME-SEC$5,000
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2023ME-SEC$5,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualinvestor protection violation2024ME-SEC$5,000
American International Group, Inc.American International Grouptax violations2006MI-AG$5,279,484
Bear StearnsJPMorgan Chaseinvestor protection violation2012MI-AG$275,000,000
Comerica BankComericatoxic securities abuses2008MI-AG$110,000
UBSUBSinvestor protection violation2010MI-AG$117,000,000
Western Sky Financial, LLC and CashCall, Inc.CashCall Inc.consumer protection violation2015MI-AG$24,700,000
Western Sky Financial, LLC and CashCall, Inc.CashCall Inc.consumer protection violation2015MI-FIN$2,200,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2016MI-FIN$146,000
Securian FinancialSecurian Financialwage and hour violation2022MI-LEO$12,530
Western & Southern LifeWestern & Southern Financial Groupwage and hour violation2021MI-LEO$20,000
Western & Southern LifeWestern & Southern Financial Groupwage and hour violation2021MI-LEO$7,000
Freedom MortgageFreedom Mortgagewage and hour violation2021MI-LEO$8,000
Raymond James & AssociatesRaymond James Financialwage and hour violation2020MI-LEO$29,361
Guaranteed RateGuaranteed Rate Inc.wage and hour violation2020MI-LEO$6,020
Quicken LoansRocket Companies Inc.wage and hour violation2019MI-LEO$10,500
American International GroupAmerican International Groupwage and hour violation2018MI-LEO$15,939
Guaranteed RateGuaranteed Rate Inc.wage and hour violation2018MI-LEO$7,191
Jackson FinancialJackson Financialwage and hour violation2018MI-LEO$51,118
Citizens BankCitizens Financial Groupwage and hour violation2017MI-LEO$5,719
New York Life Insurance CompanyNew York Life Insurancewage and hour violation2017MI-LEO$8,000
Allstate InsuranceAllstatewage and hour violation2017MI-LEO$5,000
Allstate Insurance CompanyAllstatewage and hour violation2017MI-LEO$5,000
Bankers Life & CasualtyCNO Financialwage and hour violation2017MI-LEO$16,190
Bank Of AmericaBank of Americawage and hour violation2016MI-LEO$23,500
Bank Of AmericaBank of Americawage and hour violation2016MI-LEO$23,500
Northwestern MutualNorthwestern Mutualwage and hour violation2016MI-LEO$34,371
Northwestern MutualNorthwestern Mutualwage and hour violation2016MI-LEO$68,815
Allstate InsuranceAllstatewage and hour violation2015MI-LEO$6,350
Quicken LoansRocket Companies Inc.wage and hour violation2015MI-LEO$8,000
Fifth Third BankFifth Third Bancorpwage and hour violation2014MI-LEO$5,535
Fifth Third Financial CorporationFifth Third Bancorpwage and hour violation2014MI-LEO$5,535
Metlife Human ResourcesMetLifewage and hour violation2014MI-LEO$8,000
Metlife SecuritiesMetLifewage and hour violation2014MI-LEO$8,000
Jackson HewittJackson Hewittwage and hour violation2013MI-LEO$8,553
Ace American InsuranceChubb Limitedwage and hour violation2012MI-LEO$6,000
Bank Of AmericaBank of Americawage and hour violation2011MI-LEO$5,000
Huntington National BankHuntington Bancshareswage and hour violation2011MI-LEO$11,434
Jackson National Life Distributors IncJackson Financialwage and hour violation2011MI-LEO$10,716
Citizens BankCitizens Financial Groupwage and hour violation2011MI-LEO$8,169
Wells Fargo Home Mortgage IncWells Fargowage and hour violation2010MI-LEO$9,222
Comerica Securities IncComericawage and hour violation2010MI-LEO$24,968
Bank Of AmericaBank of Americawage and hour violation2010MI-LEO$15,406
Bank Of AmericaBank of Americawage and hour violation2010MI-LEO$14,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.