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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
Seneca Insurance Co.Fairfax Financial Holdingsinsurance violation2005NJ-DBI$72,256
Chicago Title Insurance CompanyFidelity National Financialinsurance violation2008NJ-DBI$20,000
Monumental Life Insurance CompanyAegoninsurance violation2008NJ-DBI$250,000
Allstate New Jersey Insurance CompanyAllstateinsurance violation2009NJ-DBI$5,000
21st Century National Insurance CompanyZurich Insuranceinsurance violation2010NJ-DBI$10,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2010NJ-DBI$500,000
PHH Mortgage CorporationOcwen Financialconsumer protection violation2011NJ-DBI$9,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2012NJ-DBI$10,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2012NJ-DBI$4,233,100
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2012NJ-DBI$100,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2013NJ-DBI$90,000
National Western Life Insurance Co.National Western Lifeinsurance violation2014NJ-DBI$2,973,656
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2014NJ-DBI$750,000
Marsh & McLennan Agency, LLCMarsh & McLennaninsurance violation2014NJ-DBI$15,000
Gallagher Benefit Services, Inc.Arthur J. Gallagher & Co.insurance violation2014NJ-DBI$5,000
AIG Property Casualty CompanyAmerican International Groupinsurance violation2014NJ-DBI$25,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2015NJ-DBI$2,524,290
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2015NJ-DBI$50,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2015NJ-DBI$10,000
Liberty MutualLiberty Mutual Insuranceinsurance violation2015NJ-DBI$25,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2016NJ-DBI$400,000
Transamerica Premier Life Insurance CompanyAegoninsurance violation2016NJ-DBI$75,000
Horizon Healthcare of New Jersey, Inc.Horizon Healthcare Servicesinsurance violation2017NJ-DBI$291,824
Horizon Healthcare Services, Inc. and Horizon Healthcare of New Jersey Inc.Horizon Healthcare Servicesinsurance violation2017NJ-DBI$1,500,000
Tokio Marine Kiln Syndicates Limited et al.Tokio Marineinsurance violation2018NJ-DBI$60,000
Mercury Indemnity Company of AmericaMercury General Corporationinsurance violation2018NJ-DBI$25,000
Oscar Garden State Insurance CorporationOscar Health Inc.insurance violation2018NJ-DBI$500,000
Transamerica Life Insurance CompanyAegoninsurance violation2019NJ-DBI$5,942,519
Horizon Healthcare of New Jersey, Inc.Horizon Healthcare Servicesinsurance violation2019NJ-DBI$1,940,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2019NJ-DBI$250,000
Genworth Life Insurance CompanyGenworth Financialinsurance violation2019NJ-DBI$10,000
Liberty Insurance Underwriters, Inc.Liberty Mutual Insuranceinsurance violation2022NJ-DBI$1,778,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2021NJ-DBI$1,200,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2022NJ-DBI$142,800
Transamerica Life Insurance CompanyAegoninsurance violation2020NJ-DBI$137,000
Smith BarneyMorgan Stanleyinvestor protection violation2007NJ-BOS$5,000,000
Stifel Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2010NJ-BOS$5,415,381
Pruco Securities, LLCPrudential Financialinvestor protection violation2013NJ-BOS$100,000
A.G. Edwards & Sons, Inc.Wells Fargoinvestor protection violation2008NJ-AG$387,000
Allianz Dresdner Asset Management of America LPAllianzinvestor protection violation2004NJ-AG$18,000,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2005NJ-AG$5,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2018NJ-AG$375,000
Banc of America Securities LLCBank of Americainvestor protection violation2010NJ-AG$1,268,393
Bank of New York MellonBank of New York Mellonemployment discrimination2010NJ-AG$188,037
CIT Technology Financing Services, Inc.First Citizens BancSharesconsumer protection violation2005NJ-AG$4,360,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009NJ-AG$3,300,932
Credit Suisse Securities (USA) LLCUBSinvestor protection violation2011NJ-AG$1,057,996
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2009NJ-AG$1,057,350
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2011NJ-AG$959,794
GreenSky Servicing LLCGoldman Sachsconsumer protection violation2017NJ-AG$160,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesprivacy violation2017NJ-AG$1,100,000
Interactive Brokers, LLCInteractive Brokers Groupinvestor protection violation2019NJ-AG$100,000
J.P. Morgan Securities, LLCJPMorgan Chaseinvestor protection violation2014NJ-AG$50,460
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2010NJ-AG$1,149,028
LPL Financial, LLCLPL Financialinvestor protection violation2017NJ-AG$975,000
Merrill LynchBank of Americainvestor protection violation2010NJ-AG$4,871,620
Merrill Lynch & Co.Bank of Americainvestor protection violation2013NJ-AG$45,000,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2005NJ-AG$10,000,000
Merrill, Lynch, Pierce, Fenner and Smith, Inc.Bank of Americainvestor protection violation2010NJ-AG$728,260
Morgan StanleyMorgan Stanleyinvestor protection violation2011NJ-AG$1,560,000
Morgan Stanley & Co., LLCMorgan Stanleyinvestor protection violation2013NJ-AG$100,000
PHH Mortgage CorporationOcwen Financialmortgage abuses2013NJ-AG$6,250,000
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2011NJ-AG$35,000
RBC Capital Markets Corp.Royal Bank of Canadainvestor protection violation2010NJ-AG$51,724
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013NJ-AG$450,000
Smith BarneyMorgan Stanleyinvestor protection violation2007NJ-AG$5,000,000
Smith BarneyMorgan Stanleyinvestor protection violation2007NJ-AG$978,000
UBS Financial Services Inc.UBSinvestor protection violation2006NJ-AG$24,750,000
UBS Securities LLC and UBS Financial Services, IncUBSinvestor protection violation2011NJ-AG$3,790,487
Wachovia Securities, LLCWells Fargoinvestor protection violation2011NJ-AG$3,200,000
Credit Suisse Securities (USA) LLC et al.UBSinvestor protection violation2022NJ-AG$495,000,000
Coinbase, Inc.Coinbase Global Inc.investor protection violation2023NJ-AG$5,000,000
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2023NJ-AG$502,000
Progressive Northern Insurance CompanyProgressiveinsurance violation2006NH-INS$5,000
Universal Underwriters Insurance CompanyZurich Insuranceinsurance violation2007NH-INS$28,125
John Alden Life Insurance CompanyAssurantinsurance violation2008NH-INS$450,000
Time Insurance CompanyHaven Holdingsinsurance violation2008NH-INS$450,000
MetLife Investors USA Insurance CompanyMetLifeinsurance violation2009NH-INS$54,524
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2010NH-INS$100,000
Virginia Surety Company Inc.Assurantinsurance violation2010NH-INS$20,000
USAA Casualty Insurance Company et al.USAAinsurance violation2021NH-INS$25,000
Scottsdale Insurance Co.Nationwideinsurance violation2021NH-INS$10,579
Old Republic National Title Insurance CompanyOld Republic Internationalinsurance violation2021NH-INS$10,000
Northwestern Mutual Life Insurance CompanyNorthwestern Mutualinsurance violation2023NH-INS$200,000
Merrill LynchBank of Americainvestor protection violation2002NH-BSR$500,000
Morgan StanleyMorgan Stanleyinvestor protection violation2004NH-BSR$500,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2005NH-BSR$435,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2005NH-BSR$7,375,000
ING Life Insurance and Annuity CompanyVoya Financialinvestor protection violation2006NH-BSR$3,000,000
CCO Investment Services Corp.Citizens Financial Groupinvestor protection violation2007NH-BSR$375,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008NH-BSR$3,400,000
UBS Financial Services Inc.UBSinvestor protection violation2011NH-BSR$1,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2012NH-BSR$155,000
Morgan Stanley Smith BarneyMorgan Stanleyinvestor protection violation2012NH-BSR$35,000
UBS Financial Services Inc.UBSinvestor protection violation2012NH-BSR$72,500
Edward Jones & Co. LPJones Financialinvestor protection violation2014NH-BSR$750,000
NEXT Financial Group, IncAtria Wealth Solutionsinvestor protection violation2014NH-BSR$140,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2014NH-BSR$90,000
Merrill LynchBank of Americaprivacy violation2014NH-BSR$400,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015NH-BSR$35,000
LPL Financial, LLCLPL Financialinvestor protection violation2015NH-BSR$750,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.