Violation Tracker

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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 Companies	Total Penalty $	Number of Records
Bank of America	$83,354,221,356	271
JPMorgan Chase	$36,129,286,132	223
Wells Fargo	$25,781,458,643	230
Citigroup	$25,740,655,365	159
Deutsche Bank	$18,541,562,802	79
UBS	$17,082,743,334	106
Goldman Sachs	$16,603,475,848	90
NatWest Group PLC	$13,515,546,857	31
Credit Suisse	$11,427,400,126	52
Morgan Stanley	$10,167,765,234	190

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
Cash Call Inc. and Western Sky Financial LLC	CashCall Inc.	consumer protection violation	2015	WA-FIN	$2,000,000
New Day Financial, LLC d/b/a NewDay USA	New Day Financial LLC	consumer protection violation	2015	WA-FIN	$120,000
CashCall, Inc.	CashCall Inc.	consumer protection violation	2014	WA-FIN	$6,390,670
Fifth Third Mortgage Co.	Fifth Third Bancorp	consumer protection violation	2014	WA-FIN	$228,626
Academy Mortgage Corp.	Academy Mortgage Corp.	consumer protection violation	2014	WA-FIN	$17,760
Countrywide Home Loans Inc.	Bank of America	consumer protection violation	2010	WA-FIN	$650,000
American General Financial Services	OneMain Holdings	consumer protection violation	2009	WA-FIN	$74,984
Freedom Mortgage Corp.	Freedom Mortgage	consumer protection violation	2009	WA-FIN	$52,791
Allstate Financial Services, Inc.	Allstate	consumer protection violation	2003	WA-FIN	$58,988
Solium Financial Services LLC	Morgan Stanley	investor protection violation	2020	WA-FIN	$33,753
Ameriprise Financial Services, Inc.	Ameriprise Financial	investor protection violation	2016	WA-FIN	$55,000
OppenheimerFunds Distributor, Inc.	Invesco	investor protection violation	2007	WA-FIN	$669,500
Morgan Stanley DW Inc.	Morgan Stanley	investor protection violation	2004	WA-FIN	$325,000
Rocket Mortgage, LLC fka Quicken Loans, LLC	Rocket Companies Inc.	consumer protection violation	2021	WA-FIN	$87,500
Austin Mutual Insurance Company	American Family Insurance	insurance violation	2010	WA-INS	$10,000
National Union Fire Insurance Company Of Pittsburgh, Pa	American International Group	insurance violation	2010	WA-INS	$100,000
National Union Fire Insurance Company Of Pittsburgh, Pa	American International Group	insurance violation	2010	WA-INS	$40,000
National Union Fire Insurance Company Of Pittsburgh, Pa	American International Group	insurance violation	2010	WA-INS	$55,000
National General Insurance Company	Allstate	insurance violation	2010	WA-INS	$15,000
State Farm Mutual Automobile Insurance Company	State Farm Insurance	insurance violation	2010	WA-INS	$6,500
State Farm Mutual Automobile Insurance Company	State Farm Insurance	insurance violation	2010	WA-INS	$12,000
Chicago Insurance Company	Allianz	insurance violation	2010	WA-INS	$7,500
Unum Life Insurance Company Of America	Unum	insurance violation	2010	WA-INS	$7,000
Liberty Mutual Fire Insurance Company	Liberty Mutual Insurance	insurance violation	2010	WA-INS	$35,000
Virginia Surety Company Inc	Assurant	insurance violation	2010	WA-INS	$12,000
Austin Mutual Insurance Company	American Family Insurance	insurance violation	2011	WA-INS	$10,000
Chubb Group Of Companies	Chubb Limited	insurance violation	2011	WA-INS	$534,000
Homesite Insurance Company Of The Midwest	American Family Insurance	insurance violation	2011	WA-INS	$12,000
Ace American Insurance Company	Chubb Limited	insurance violation	2011	WA-INS	$50,000
Progressive American Insurance Company	Progressive	insurance violation	2011	WA-INS	$30,000
American Family Mutual Insurance Company S.I.	American Family Insurance	insurance violation	2011	WA-INS	$20,000
Old Republic Title Ltd	Old Republic International	insurance violation	2011	WA-INS	$5,000
Metropolitan Life Insurance Company	MetLife	insurance violation	2011	WA-INS	$10,000
Unum Life Insurance Company Of America	Unum	insurance violation	2011	WA-INS	$75,000
American Bankers Insurance Company Of Florida	Assurant	insurance violation	2011	WA-INS	$170,000
Victoria Fire & Casualty Company	Nationwide	insurance violation	2011	WA-INS	$5,000
HSBC Securities USA Inc	HSBC	insurance violation	2011	WA-INS	$7,000
Allstate Insurance Company	Allstate	insurance violation	2011	WA-INS	$50,000
Chicago Title Insurance Company	Fidelity National Financial	insurance violation	2011	WA-INS	$10,000
Lifewise Health Plan Of Washington	Premera Blue Cross	insurance violation	2011	WA-INS	$10,000
Arch Insurance Company	Arch Capital	insurance violation	2011	WA-INS	$20,000
Lifewise Health Plan Of Washington	Premera Blue Cross	insurance violation	2011	WA-INS	$20,000
Fidelity National Title Insurance Company	Fidelity National Financial	insurance violation	2012	WA-INS	$100,000
State Farm Mutual Automobile Insurance Company	State Farm Insurance	insurance violation	2012	WA-INS	$5,000
Sentinel Insurance Company Ltd	Hartford Financial Services	insurance violation	2012	WA-INS	$30,000
Premera Blue Cross	Premera Blue Cross	insurance violation	2012	WA-INS	$10,000
Premera Blue Cross	Premera Blue Cross	insurance violation	2012	WA-INS	$10,000
Farmers Insurance Company Of Washington And Farmers Insurance Exchange	Zurich Insurance	insurance violation	2012	WA-INS	$10,000
Homesite Insurance Company Of The Midwest	American Family Insurance	insurance violation	2012	WA-INS	$30,000
Old Republic Title Ltd	Old Republic International	insurance violation	2012	WA-INS	$8,000
Fidelity & Guaranty Life Insurance Company	Fidelity National Financial	insurance violation	2012	WA-INS	$7,500
Hartford Insurance Company The Midwest	Hartford Financial Services	insurance violation	2012	WA-INS	$30,000
State Farm Fire & Casualty Company	State Farm Insurance	insurance violation	2012	WA-INS	$50,000
Unitrin Auto And Home Insurance Company	Kemper	insurance violation	2012	WA-INS	$15,000
American Income Life Insurance Company	Globe Life Inc.	insurance violation	2013	WA-INS	$75,000
American Family Mutual Insurance Company S.I.	American Family Insurance	insurance violation	2013	WA-INS	$10,000
United States Fire Insurance Company	Fairfax Financial Holdings	insurance violation	2013	WA-INS	$15,000
American Alternative Insurance Corporation et al.	Munich Re	insurance violation	2013	WA-INS	$10,000
Allianz Life Insurance Company Of North America	Allianz	insurance violation	2013	WA-INS	$150,000
Hartford Fire Insurance Company And Twin City Fire Insurance Company	Hartford Financial Services	insurance violation	2013	WA-INS	$10,000
Hartford Accident & Indemnity Company et al.	Hartford Financial Services	insurance violation	2013	WA-INS	$100,000
Allstate Fire & Casualty Insurance Company	Allstate	insurance violation	2013	WA-INS	$15,000
American Guarantee & Liability Insurance Company et al.	Zurich Insurance	insurance violation	2013	WA-INS	$50,000
Transamerica Premier Life Insurance Company	Aegon	insurance violation	2013	WA-INS	$150,000
Transamerica Casualty Insurance Company	Aegon	insurance violation	2014	WA-INS	$20,000
Unitrin Auto And Home Insurance Company	Kemper	insurance violation	2014	WA-INS	$20,000
Combined Insurance Company Of America	Chubb Limited	insurance violation	2014	WA-INS	$5,000
Life Insurance Company Of The Southwest	National Life Group	insurance violation	2014	WA-INS	$17,500
Fidelity & Guaranty Life Insurance Company	Fidelity National Financial	insurance violation	2014	WA-INS	$10,000
Lifewise Health Plan Of Washington	Premera Blue Cross	insurance violation	2014	WA-INS	$50,000
Time Insurance Company Ii	Haven Holdings	insurance violation	2015	WA-INS	$10,000
State Farm Fire & Casualty Company	State Farm Insurance	insurance violation	2015	WA-INS	$30,000
Farmers Insurance Company Of Washington	Zurich Insurance	insurance violation	2015	WA-INS	$100,000
National Union Fire Insurance Company Of Pittsburgh, Pa	American International Group	insurance violation	2015	WA-INS	$300,000
Hartford Accident & Indemnity Company et al.	Hartford Financial Services	insurance violation	2015	WA-INS	$20,000
Transamerica Casualty Insurance Company	Aegon	insurance violation	2015	WA-INS	$10,000
Allstate Indemnity Company et al.	Allstate	insurance violation	2015	WA-INS	$10,000
Bankers Standard Insurance Company	Chubb Limited	insurance violation	2015	WA-INS	$25,000
United Of Omaha Life Insurance Company	Mutual of Omaha	insurance violation	2015	WA-INS	$5,000
National Union Fire Insurance Company Of Pittsburgh, Pa	American International Group	insurance violation	2015	WA-INS	$110,000
National Union Fire Insurance Company Of Pittsburgh, Pa	American International Group	insurance violation	2015	WA-INS	$200,000
American Family Mutual Insurance Company S.I.	American Family Insurance	insurance violation	2015	WA-INS	$10,000
Hartford Accident & Indemnity Company	Hartford Financial Services	insurance violation	2015	WA-INS	$15,000
AGCS Marine Insurance Company	Allianz	insurance violation	2015	WA-INS	$300,000
Ticor Title Company	Fidelity National Financial	insurance violation	2015	WA-INS	$5,000
Farmers Insurance Company Of Washington	Zurich Insurance	insurance violation	2015	WA-INS	$300,000
American Family Mutual Insurance Company S.I.	American Family Insurance	insurance violation	2016	WA-INS	$15,000
Qbe Insurance Corporation	QBE Insurance	insurance violation	2016	WA-INS	$10,000
National Casualty Company	Nationwide	insurance violation	2016	WA-INS	$9,000
Jackson National Life Insurance Company	Jackson Financial	insurance violation	2016	WA-INS	$8,000
Jackson National Life Insurance Company	Jackson Financial	insurance violation	2016	WA-INS	$20,000
American Family Connect Property And Casualty Insurance Company	American Family Insurance	insurance violation	2016	WA-INS	$10,000
Unitrin Auto And Home Insurance Company	Kemper	insurance violation	2016	WA-INS	$20,000
Zurich American Insurance Company	Zurich Insurance	insurance violation	2016	WA-INS	$20,000
Permanent General Assurance Corporation	American Family Insurance	insurance violation	2016	WA-INS	$5,000
Jefferson Insurance Company	Allianz	insurance violation	2016	WA-INS	$5,000
Transamerica Life Insurance Company	Aegon	insurance violation	2016	WA-INS	$5,000
American Modern Home Insurance Company	Munich Re	insurance violation	2016	WA-INS	$5,000
United States Fire Insurance Company	Fairfax Financial Holdings	insurance violation	2016	WA-INS	$25,000
AGCS Marine Insurance Company	Allianz	insurance violation	2016	WA-INS	$15,000
Premera Blue Cross	Premera Blue Cross	insurance violation	2016	WA-INS	$5,000