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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
Bank Of AmericaBank of Americawage and hour violation2010MI-LEO$14,000
Chase BankJPMorgan Chasewage and hour violation2010MI-LEO$15,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2016MI-SEC$900,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2020MI-SEC$50,000
MML Investors Services, LLCMassachusetts Mutual Life Insuranceinvestor protection violation2023MI-SEC$10,000
Allianz Life Insurance Company of North AmericaAllianzinvestor protection violation2007MN-AG$500,000
CashCall, Inc.CashCall Inc.consumer protection violation2016MN-AG$11,700,000
Discover BankDiscover Financial Servicesconsumer protection violation2011MN-AG$2,000,000
Great American Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2009MN-AG$50,000,000
Midland Funding, LLCEncore Capital Groupconsumer protection violation2012MN-AG$500,000
Indiana Insurance Co.Liberty Mutual Insuranceinsurance violation2000MN-FIN$25,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2000MN-FIN$15,000
Fortis Insurance Co. and Fortis Benefits Insurance Co.Assurantinsurance violation2001MN-FIN$5,000
Metropolitan Property and Casualty Insurance Co. et al.Zurich Insuranceinsurance violation2001MN-FIN$10,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2001MN-FIN$7,500
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2001MN-FIN$75,000
Allstate Insurance Co.Allstateinsurance violation2001MN-FIN$10,000
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2001MN-FIN$6,000
Fortis Insurance Co. and John Alden Life Insurance Co.Assurantinsurance violation2002MN-FIN$10,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2002MN-FIN$5,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceinsurance violation2002MN-FIN$7,500
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2002MN-FIN$5,000
Austin Mutual Insurance Co. and Northern Mutual Insurance Co.American Family Insuranceinsurance violation2002MN-FIN$12,500
Travelers Indemnity Co.Travelersinsurance violation2002MN-FIN$5,000
Harleysville Insurance Co.Nationwideinsurance violation2002MN-FIN$80,000
Illinois Union Insurance Co.Chubb Limitedinsurance violation2002MN-FIN$5,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2002MN-FIN$10,000
Chubb Indemnity Insurance Co.Chubb Limitedinsurance violation2002MN-FIN$5,000
Fortis Insurance Co. and John Alden Life Insurance Co.Assurantinsurance violation2002MN-FIN$75,000
Horace Mann Insurance Co.Horace Mann Educators Corp.insurance violation2002MN-FIN$10,000
Illinois Farmers Insurance Co.Zurich Insuranceinsurance violation2003MN-FIN$20,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2003MN-FIN$100,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2003MN-FIN$100,000
Illinois Farmers Insurance Co.Zurich Insuranceinsurance violation2003MN-FIN$10,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2003MN-FIN$5,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2003MN-FIN$10,000
Berthel Fisher & CompanyBerthel Fisherinvestor protection violation2003MN-FIN$10,000
Foremost Insurance Co.Zurich Insuranceinsurance violation2003MN-FIN$5,000
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2004MN-FIN$5,000
Conseco Health Insurance Co.CNO Financialinsurance violation2004MN-FIN$5,000
Universal Underwriter Insurance Co.Zurich Insuranceinsurance violation2004MN-FIN$200,000
Fortis Insurance Co.Assurantinsurance violation2004MN-FIN$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004MN-FIN$5,000
Foremost Insurance Co. at al.Zurich Insuranceinsurance violation2004MN-FIN$75,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2004MN-FIN$5,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceinsurance violation2005MN-FIN$5,000
Fortis Insurance Co.Assurantinsurance violation2005MN-FIN$7,500
Fortis Insurance Co.Assurantinsurance violation2005MN-FIN$10,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2005MN-FIN$2,000,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2006MN-FIN$15,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2006MN-FIN$5,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006MN-FIN$5,000
MetLife Investors USA Insurance Co. et al.MetLifeinsurance violation2006MN-FIN$250,000
First American Title Insurance Co.First American Financialinsurance violation2007MN-FIN$500,000
Time Insurance Co.Haven Holdingsinsurance violation2008MN-FIN$7,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2008MN-FIN$7,500
Illinois Farmers Insurance Co.Zurich Insuranceinsurance violation2008MN-FIN$70,000
Allied Property and Casualty Insurance Co.Nationwideinsurance violation2008MN-FIN$7,000
Sun Life Insurance Company of CanadaSun Life Financialinsurance violation2009MN-FIN$7,500
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2009MN-FIN$15,000
Marsh USA Inc.Marsh & McLennaninsurance violation2009MN-FIN$325,000
Allstate Indemnity Insurance Co.Allstateinsurance violation2010MN-FIN$9,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2010MN-FIN$100,000
First American Title Insurance Co.First American Financialinsurance violation2010MN-FIN$21,750
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2011MN-FIN$5,000
Safeco Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2011MN-FIN$25,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2012MN-FIN$2,731,385
ING Financial Partners, Inc.Voya Financialinvestor protection violation2012MN-FIN$5,000
ING Life Insurance and Annuity Co. et al.Voya Financialinsurance violation2012MN-FIN$200,000
John Hancock Life Insurance Co. (USA) et al.Manulife Financialinsurance violation2012MN-FIN$200,000
MetLife Investors USA Insurance Co. et al.MetLifeinsurance violation2012MN-FIN$200,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2012MN-FIN$200,000
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2012MN-FIN$5,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceinsurance violation2012MN-FIN$10,000
Allstate Insurance Co.Allstateinsurance violation2012MN-FIN$5,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2012MN-FIN$60,000
Transamerica Life Insurance Co. et al.Aegoninsurance violation2012MN-FIN$50,000
Lincoln National Life Insurance Co. and Lincoln Financial GroupLincoln Nationalinsurance violation2013MN-FIN$150,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2013MN-FIN$5,000
AMCO Insurance Co.Nationwideinsurance violation2013MN-FIN$20,000
The Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2013MN-FIN$150,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2013MN-FIN$1,000,000
Depositors Insurance Co.Nationwideinsurance violation2013MN-FIN$40,000
QBE Insurance Co.QBE Insuranceinsurance violation2013MN-FIN$5,000
American Security Insurance CompanyAssurantinsurance violation2013MN-FIN$5,000
QBE Insurance Co.QBE Insuranceinsurance violation2014MN-FIN$20,000
Progressive Casualty Insurance Co.Progressiveinsurance violation2014MN-FIN$5,000
ServiceLink, LLCFidelity National Financialinsurance violation2014MN-FIN$20,000
MetLife, Inc. et al.MetLifeinsurance violation2014MN-FIN$1,500,000
Transamerica Life Insurance Co. et al.Aegoninsurance violation2014MN-FIN$2,500,000
Conseco Life Insurance Co.CNO Financialinsurance violation2014MN-FIN$250,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2014MN-FIN$7,500
Allstate Insurance Co.Allstateinsurance violation2014MN-FIN$10,000
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2014MN-FIN$25,000
QBE North AmericaQBE Insuranceinsurance violation2014MN-FIN$5,000
The Lincoln National Life Insurance Co. et al.Lincoln Nationalinsurance violation2014MN-FIN$2,500,000
Voya Insurance and Annuity Co. et al.Voya Financialinsurance violation2014MN-FIN$1,250,000
USAA Casualty Insurance Co.USAAinsurance violation2014MN-FIN$5,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2014MN-FIN$10,000
ReliaStar Life Insurance Co.Voya Financialinsurance violation2014MN-FIN$30,000
Esurance Property and Casualty Insurance Co.Allstateinsurance violation2015MN-FIN$60,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.