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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$347,416,567,662
Number of Records: 7,172
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$83,354,221,356271
JPMorgan Chase$36,129,286,132223
Wells Fargo$25,781,458,643230
Deutsche Bank$18,541,562,80279
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
Morgan Stanley$10,167,765,234190

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 icon . Penalty Amount
Globe Life and Accident Insurance CompanyGlobe Life violation2019VA-INS$15,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2019VA-INS$183,819
Elephant Insurance CompanyAdmiral Groupinsurance violation2019VA-INS$47,619
General Automobile Insurance Company, IncAmerican Family Insuranceinsurance violation2019VA-INS$27,624
National Union Fire Insurance Company of Pittsburgh, PennsylvaniaAmerican International Groupinsurance violation2019VA-INS$28,806
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2019VA-INS$27,828
Erie Insurance ExchangeErie Indemnityinsurance violation2019VA-INS$1,921,784
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2019VA-INS$10,137
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2019VA-INS$5,000
Acadia Insurance Company et al.W.R. Berkleyinsurance violation2019VA-INS$9,341
Nationwide Mutual Fire Insurance CompanyNationwideinsurance violation2019VA-INS$397,667
Progressive Advanced Insurance Company et al.Progressiveinsurance violation2019VA-INS$4,876,344
American Fire and Casualty Company and Ohio Security Insurance CompanyLiberty Mutual Insuranceinsurance violation2019VA-INS$148,910
Arch Insurance CompanyArch Capitalinsurance violation2019VA-INS$26,447
Erie Insurance Company and Erie Insurance ExchangeErie Indemnityinsurance violation2019VA-INS$90,219
Bristol West Casualty Insurance Company and Bristol West Insurance CompanyZurich Insuranceinsurance violation2020VA-INS$27,560
Bristol West Casualty Insurance Company and Bristol West Insurance CompanyZurich Insuranceinsurance violation2020VA-INS$91,872
John Hancock Life Insurance CompanyManulife Financialinsurance violation2020VA-INS$60,600
Jefferson National Life Insurance CompanyNationwideinsurance violation2020VA-INS$27,600
The Travelers Indemnity Company ofAmericaTravelersinsurance violation2020VA-INS$49,500
Dairyland Insurance Co. and Peak Property and Casualty Insurance Corp.Sentry Insuranceinsurance violation2020VA-INS$140,492
Carefirst Bluechoice, Inc.CareFirst of Marylandinsurance violation2020VA-INS$90,600
Group Hospitalization and Medical Services, Inc.CareFirst of Marylandinsurance violation2020VA-INS$36,250
American Income Life Insurance CompanyGlobe Life violation2020VA-INS$18,000
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2020VA-INS$6,600
Allied Property & Casualty Insurance Company et al.Nationwideinsurance violation2020VA-INS$17,500
Allied Property & Casualty Insurance Company et al.Nationwideinsurance violation2020VA-INS$20,000
Farmers Insurance Exchange and Truck Insurance ExchangeFarmers Insurance Exchangeinsurance violation2021VA-INS$15,950
CMFG Life Insurance CompanyCUNA Mutualinsurance violation2021VA-INS$7,500
Erie Insurance Company and Erie Insurance ExchangeErie Indemnityinsurance violation2020VA-INS$19,371
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2020VA-INS$7,800
United Services Automobile Association et al.USAAinsurance violation2021VA-INS$10,000
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2021VA-INS$19,295
Servicelink, LLCFidelity National Financialconsumer protection violation2022VA-INS$5,000
United Services Automobile Association et al.USAAconsumer protection violation2022VA-INS$71,358
Gerber Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2022VA-INS$27,600
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2022VA-INS$86,400
Travelers Personal Insurance CompanyTravelersinsurance violation2022VA-INS$167,427
Hartford Casualty Insurance Company et al.Hartford Financial Servicesinsurance violation2022VA-INS$30,030
JEFFERSON PILOT SECURITIESLincoln Nationalinvestor protection violation2003VA-SEC$26,500
MERRILL LYNCH PIERCE FENNER &Bank of Americainvestor protection violation2004VA-SEC$268,723
CITIGROUP GLOBAL MARKETS INCCitigroupinvestor protection violation2004VA-SEC$72,486
SUNAMERICA SECURITIES, INC.American International Groupinvestor protection violation2006VA-SEC$10,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2006VA-SEC$75,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2006VA-SEC$33,000
UBS FINANCIAL SERVICES, INC.UBSinvestor protection violation2007VA-SEC$100,000
AMERIPRISE FINANCIAL SERVICESAmeriprise Financialinvestor protection violation2008VA-SEC$780,000
CITIGROUP GLOBAL MARKETSCitigroupinvestor protection violation2008VA-SEC$22,000
UBS FINANCIAL SERVICES, INC.UBSinvestor protection violation2010VA-SEC$625,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2014VA-SEC$9,500
WELLS FARGO ADVISORSWells Fargoinvestor protection violation2015VA-SEC$205,000
NEXT FINANCIAL GROUP, INC.Atria Wealth Solutionsinvestor protection violation2015VA-SEC$18,000
AMERIPRISE FINANCIAL SERVICES, INC.Ameriprise Financialinvestor protection violation2016VA-SEC$14,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2016VA-SEC$11,500
NEXT FINANCIAL GROUP, INC.Atria Wealth Solutionsinvestor protection violation2017VA-SEC$60,000
LINCOLN FINANCIAL SECURITIESLincoln Nationalinvestor protection violation2018VA-SEC$20,000
UBS Financial Services Inc.UBSinvestor protection violation2019VA-SEC$288,970
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2019VA-SEC$10,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2020VA-SEC$5,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2021VA-SEC$10,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2020VT-AG$105,000
Lincoln Financial Securities CorporationLincoln Nationalinvestor protection violation2010VT-FIN$10,000
Horace Mann Insurance CompanyHorace Mann Educators violation2013VT-FIN$11,007
Bankers Life and Casualty CompanyCNO Financialinsurance violation2013VT-FIN$600,000
Dairyland Insurance CompanySentry Insuranceinsurance violation2013VT-FIN$37,852
UBS Financial Services Inc.UBSinvestor protection violation2014VT-FIN$325,000
State Farm Fire & Casualty Company and State Farm Mutual Auto Insurance Co.State Farm Insuranceinsurance violation2015VT-FIN$29,750
Ocwen Loan Servicing LLCOcwen Financialprivacy violation2015VT-FIN$155,000
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2016VT-FIN$28,000
Travelers Indemnity Co. et al.Travelersinsurance violation2016VT-FIN$96,000
Prosper Marketplace Inc.Prosper Marketplaceconsumer protection violation2016VT-FIN$60,000
Raymond James and Associates Inc.Raymond James Financialinvestor protection violation2016VT-FIN$4,200,000
Wells Fargo Advisors LLCWells Fargoinvestor protection violation2016VT-FIN$300,000
United Services Automobile Association (USAA)USAAinsurance violation2017VT-FIN$85,000
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2017VT-FIN$20,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2018VT-FIN$120,000
State Farm Fire & Casualty Company and State Farm Mutual Auto Insurance Co.State Farm Insuranceinsurance violation2019VT-FIN$265,000
CMFG Life Insurance CompanyCUNA Mutualinsurance violation2019VT-FIN$231,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2019VT-FIN$11,000
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2019VT-FIN$1,656,000
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2019VT-FIN$800,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020VT-FIN$6,900
Merrill LynchBank of Americainvestor protection violation2020VT-FIN$125,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2020VT-FIN$31,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2020VT-FIN$204,000
Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2021VT-FIN$287,000
Transamerica Premier Life Insurance CompanyAegoninsurance violation2021VT-FIN$84,000
Metropolitan Property and Casualty Insurance CompanyZurich Insuranceinsurance violation2021VT-FIN$13,000
Allstate Fire & Casualty Insurance Company et al.Allstateinsurance violation2021VT-FIN$225,000
Acadia Insurance CompanyW.R. Berkleyinsurance violation2022VT-FIN$100,000
Robinhood Financial LLCRobinhood Marketsinvestor protection violation2022VT-FIN$640,000
State Street BankState Street Corp.investor protection violation2010WA-AG$11,700,000
Umpqua BankUmpqua Holdingswage and hour violation2015WA-DLI$15,350
UNUMUnumwage and hour violation2011WA-DLI$15,070
GOODRICH AVIATION TECH SRV INCMacquarieenvironmental violation2004WA-ENV$9,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2016WA-FIN$59,678
Ocwen Loan Servicing, LLCOcwen Financialconsumer protection violation2016WA-FIN$900,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2016WA-FIN$76,421
Quicken Loans Inc.Rocket Companies Inc.consumer protection violation2016WA-FIN$250,000
MLD Mortgage, Inc. d/b/a The Money Store and Mortgage Loan DirectMLD Mortgage Inc. dba The Money Storeconsumer protection violation2016WA-FIN$407,103
Cash Call Inc. and Western Sky Financial LLCCashCall Inc.consumer protection violation2015WA-FIN$2,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.