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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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
Western Union Financial ServicesWestern Unionconsumer protection violation2005MULTI-AG$8,529,000
Western Union Financial Services, Inc.Western Unionanti-money-laundering deficiencies2010MULTI-AG$94,000,000
Zurich American Insurance CompanyZurich Insuranceprice-fixing or anti-competitive practices2006MULTI-AG$171,700,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020MULTI-AG$550,000,000
Nationstar Mortgage dba Mr. CooperMr. Cooper Groupconsumer protection violation2020MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $86,300,000
CitibankCitigroupconsumer protection violation2021MULTI-AG$4,200,000
Rocket Mortgage, LLC fka Quicken Loans, LLCRocket Companies Inc.consumer protection violation2021MULTI-AG$500,000
NavientNavientconsumer protection violation2022MULTI-AG$1,850,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyprivacy violation2023MULTI-AG$6,500,000
AllstateAllstateinsurance violation2010MULTI-FIN$10,000,000
Allstate Life Insurance CompanyAllstateinsurance violation2018MULTI-FIN$150,000
American Bankers Insurance Group Inc.Assurantinsurance violation2001MULTI-FIN$3,000,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2012MULTI-FIN$1,600,000
American Family Life Insurance Company of ColumbusAflacinsurance violation2018MULTI-FIN$2,500,000
American Family Life Insurance Company of ColumbusAflacinsurance violation2017MULTI-FIN$350,000
American GeneralAmerican International Groupinsurance violation2000MULTI-FIN$7,500,000
American International GroupAmerican International Groupinsurance violation2010MULTI-FIN$146,500,000
American International GroupAmerican International Groupinsurance violation2012MULTI-FIN$11,000,000
American Modern Home Insurance CompanyMunich Reinsurance violation2017MULTI-FIN$255,000
American Modern Insurance Group Inc.Munich Reinsurance violation2015MULTI-FIN$6,000,000
American-Amicable Life Insurance CompanyAmerican-Amicable Groupinsurance violation2006MULTI-FIN$60,000,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2009MULTI-FIN$720,000
Amerisave Mortgage CorporationAmeriSave Mortgageinvestor protection violation2013MULTI-FIN$2,300,000
AmSouth Investment Services Inc.Regions Financialinvestor protection violation2004MULTI-FIN$225,000
Arch Insurance CompanyArch Capitalinsurance violation2017MULTI-FIN$1,017,000
Assurant Inc.Assurantinsurance violation2016MULTI-FIN$80,217,000
Bank of AmericaBank of Americainvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Bankers Life and Casualty Company and BLC Financial Services, Inc.CNO Financialinvestor protection violation2012MULTI-FIN$10,641,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2012MULTI-FIN$4,000,000
BCS Insurance CompanyBCS Financial Corporationinsurance violation2017MULTI-FIN$1,000,000
Bear, Stearns & Co. Inc.JPMorgan Chaseinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Cincinnati Life Insurance CompanyCincinnati Financialinsurance violation2004MULTI-FIN$216,750
CitifinancialCitigrouphousing program violation2010MULTI-FIN$1,250,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2010MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015MULTI-FIN$1,965,000
Conseco Life Insurance CompanyCNO Financialinsurance violation2010MULTI-FIN$11,000,000
Conseco Senior Health Insurance Company and Bankers Life and Casualty CompanyCNO Financialinsurance violation2008MULTI-FIN$2,342,728
Credit Suisse First Boston LLCUBSinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,000,000
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2008MULTI-FIN$15,000,000
CUNA Mutual Insurance SocietyCUNA Mutualinsurance violation2007MULTI-FIN$584,622
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $15,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2005MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $28,750,000
E*TRADE Securities LLCMorgan Stanleyinvestor protection violation2011MULTI-FIN$5,000,000
Generali U.S. BranchAssicurazioni Generaliinsurance violation2017MULTI-FIN$492,000
Globe Life and Accident Insurance Company of Omaha, NebraskaGlobe Life Inc.insurance violation2019MULTI-FIN$3,300,000
Goldman SachsGoldman Sachsinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $22,500,000
Goldman Sachs & Co.Goldman Sachsinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
HCC Life Insurance Company et al.Tokio Marineinsurance violation2018MULTI-FIN$5,000,000
Homesite Insurance GroupAmerican Family Insuranceinsurance violation2016MULTI-FIN$500,000
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2014MULTI-FIN$2,800,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
James B. Nutter & CompanyJames B. Nutter & Companymortgage abuses2012MULTI-FIN$492,050
Jefferson Insurance CompanyAllianzinsurance violation2017MULTI-FIN$1,800,000
John Hancock Life Insurance CompanyManulife Financialinsurance violation2012MULTI-FIN$13,300,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Life Insurance Company of Georgia and Southland Life Insurance CompanyPrudential PLCinsurance violation2002MULTI-FIN$4,000,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2005MULTI-FIN$264,079
LPL Financial LLCLPL Financialinvestor protection violation2015MULTI-FIN$1,425,000
LPL Financial LLCLPL Financialinvestor protection violation2018MULTI-FIN$26,000,000
Merrill LynchBank of Americainvestor protection violation2010MULTI-FIN$26,563,094
Merrill LynchBank of Americainvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Minnesota Life Insurance Company et al.Securian Financialinsurance violation2016MULTI-FIN$625,000
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2018MULTI-FIN$720,000
Monumental Life Insurance CompanyAegoninsurance violation2003MULTI-FIN$37,000,000
Morgan Keegan & CompanyRaymond James Financialtoxic securities abuses2013MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $35,000,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2009MULTI-FIN$8,500,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Mortgage Access Corp. dba Weichert Financial ServicesWeichert Financial Servicesconsumer protection violation2011MULTI-FIN$3,000,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2012MULTI-FIN$39,000,000
Nationwide Life Insurance CompanyNationwideinsurance violation2010MULTI-FIN$2,100,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2018MULTI-FIN$725,000
New Day Financial, LLC d/b/a NewDay USANew Day Financial LLCinvestor protection violation2015MULTI-FIN$5,160,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2017MULTI-FIN$298,958
ProEquities, IncDai-ichi Lifeinvestor protection violation2012MULTI-FIN$435,000
Prospect Mortgage LLCHomebridge Financial Servicesmortgage abuses2015MULTI-FIN$7,035,300
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2008MULTI-FIN$1,000,000
Protective Life Insurance Company et al.Dai-ichi Lifeinsurance violation2019MULTI-FIN$350,000
QBE Holdings Inc.QBE Insuranceinsurance violation2017MULTI-FIN$21,164,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2011MULTI-FIN$1,750,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $9,800,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2014MULTI-FIN$2,800,000
RiverSource Life Insurance CompanyAmeriprise Financialinsurance violation2016MULTI-FIN$1,500,000
Seterus Inc.Mr. Cooper Groupmortgage abuses2019MULTI-FIN$350,000
State Farm Life Insurance Company et al.State Farm Insuranceinsurance violation2017MULTI-FIN$250,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2009MULTI-FIN$525,000
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2005MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2013MULTI-FIN$6,200,000
Transamerica Casualty Insurance CompanyAegoninsurance violation2017MULTI-FIN$3,000,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $12,500,000
UBS Financial Services Inc.UBSinvestor protection violation2013MULTI-FIN$4,600,000
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000
UBS Warburg and UBS PaineWebberUBSinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017MULTI-FIN$1,914,370
Unitrin Inc.Kemperinsurance violation2002MULTI-FIN$33,000,000
UVEST Financial Services Group, Inc.LPL Financialinvestor protection violation2013MULTI-FIN$750,000
Virginia Surety Company Inc.Assurantinsurance violation2013MULTI-FIN$200,000
Wachovia Capital Markets LLCWells Fargoinvestor protection violation2007MULTI-FIN$24,650,000
Wachovia Securities LLCWells Fargoinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2005MULTI-FIN$18,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.