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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
Travelers Home and Marine Insurance CompanyTravelersinsurance violation2021WA-INS$10,000
AMERICAN FAMILY INSURANCE COMPANYAmerican Family Insuranceinsurance violation2021WA-INS$50,000
HSBC SECURITIES USA INCHSBCinsurance violation2021WA-INS$10,000
STANDARD FIRE INSURANCE COMPANYTravelersinsurance violation2021WA-INS$5,000
ALLIED PROPERTY AND CASUALTY INSURANCE COMPANY ET AL.Nationwideinsurance violation2021WA-INS$20,000
NATIONAL CASUALTY COMPANYNationwideinsurance violation2021WA-INS$50,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2021WA-INS$100,000
Nationwide General Insurance Co.Nationwideinsurance violation2021WA-INS$35,000
Foremost Insurance Company Grand Rapids MichiganZurich Insuranceinsurance violation2021WA-INS$75,000
Transamerica Life Insurance Co.Aegoninsurance violation2021WA-INS$30,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2021WA-INS$10,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2021WA-INS$10,000
Nationwide Life And Annuity Insurance Company et al.Nationwideinsurance violation2021WA-INS$5,000
Farmers Insurance Company of Washington et al.Zurich Insuranceinsurance violation2021WA-INS$20,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2021WA-INS$5,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2021WA-INS$10,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2021WA-INS$20,000
American Memorial Life Insurance CompanyAssurantinsurance violation2021WA-INS$20,000
Allstate Fire & Casualty Insurance CompanyAllstateinsurance violation2021WA-INS$10,000
Allstate Fire & Casualty Insurance Company et al.Allstateinsurance violation2021WA-INS$7,500
North River Insurance Company et al.Fairfax Financial Holdingsinsurance violation2021WA-INS$25,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2022WA-INS$40,000
Allstate Vehicle And Property Insurance CompanyAllstateinsurance violation2022WA-INS$25,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2022WA-INS$25,000
American Family Insurance CompanyAmerican Family Insuranceinsurance violation2022WA-INS$25,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2022WA-INS$50,000
Sentry Select Insurance CompanySentry Insuranceinsurance violation2021WA-INS$5,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2021WA-INS$100,000
Jackson National Life Insurance CompanyJackson Financialinsurance violation2021WA-INS$10,000
Travelers Indemnity Company et al.Travelersinsurance violation2022WA-INS$20,000
State Farm Mutual Automobile Insurance CompanyState Farm Insuranceinsurance violation2022WA-INS$50,000
Cincinnati Insurance Company et al.Cincinnati Financialinsurance violation2022WA-INS$5,000
Fidelity National Title Company of Washington IncFidelity National Financialinsurance violation2022WA-INS$5,000
AMERICAN FAMILY CONNECT PROPERTY AND CASUALTY INSURANCE COMPANYAmerican Family Insuranceinsurance violation2022WA-INS$40,000
NATIONWIDE LIFE INSURANCE COMPANYNationwideinsurance violation2022WA-INS$30,000
NATIONWIDE GENERAL INSURANCE COMPANYNationwideinsurance violation2022WA-INS$35,000
AMERICAN FAMILY MUTUAL INSURANCE COMPANY S.I.American Family Insuranceinsurance violation2022WA-INS$10,000
STANDARD INSURANCE COMPANYMeiji Yasuda Life Insuranceinsurance violation2022WA-INS$25,000
UNITED SERVICES AUTOMOBILE ASSOCIATION et a.USAAinsurance violation2022WA-INS$50,000
STANDARD FIRE INSURANCE COMPANYTravelersinsurance violation2022WA-INS$15,000
ESURANCE INSURANCE COMPANYAllstateinsurance violation2023WA-INS$5,000
STATE FARM LIFE INSURANCE COMPANYState Farm Insuranceinsurance violation2023WA-INS$10,000
NATIONWIDE LIFE AND ANNUITY INSURANCE COMPANYNationwideinsurance violation2023WA-INS$140,273
Riversource Life Insurance CompanyAmeriprise Financialinsurance violation2023WA-INS$59,613
TRANSAMERICA LIFE INSURANCE COMPANYAegoninsurance violation2023WA-INS$40,000
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANYMassachusetts Mutual Life Insuranceinsurance violation2023WA-INS$10,000
STATE FARM FIRE & CASUALTY COMPANY et al.State Farm Insuranceinsurance violation2024WA-INS$100,000
NEW YORK LIFE INSURANCE COMPANYNew York Life Insuranceinsurance violation2024WA-INS$46,328
AMERITAS LIFE INSURANCE CORPAmeritas Mutual Holding Companyinsurance violation2024WA-INS$5,000
STANDARD INSURANCE COMPANYMeiji Yasuda Life Insuranceinsurance violation2024WA-INS$5,000
SUN LIFE ASSURANCE COMPANY OF CANADASun Life Financialinsurance violation2024WA-INS$5,000
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
New Day Financial, LLC d/b/a NewDay USANew Day Financial LLCconsumer protection violation2015WA-FIN$120,000
CashCall, Inc.CashCall Inc.consumer protection violation2014WA-FIN$6,390,670
Fifth Third Mortgage Co.Fifth Third Bancorpconsumer protection violation2014WA-FIN$228,626
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2014WA-FIN$17,760
Countrywide Home Loans Inc.Bank of Americaconsumer protection violation2010WA-FIN$650,000
Fidelity National Title Co.Fidelity National Financialconsumer protection violation2010WA-FIN$23,500
American General Financial ServicesOneMain Holdingsconsumer protection violation2009WA-FIN$74,984
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2009WA-FIN$52,791
Allstate Financial Services, Inc.Allstateconsumer protection violation2003WA-FIN$58,988
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020WA-FIN$33,753
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016WA-FIN$55,000
OppenheimerFunds Distributor, Inc.Invescoinvestor protection violation2007WA-FIN$669,500
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004WA-FIN$325,000
Rocket Mortgage, LLC fka Quicken Loans, LLCRocket Companies Inc.consumer protection violation2021WA-FIN$87,500
GOODRICH AVIATION TECH SRV INCMacquarieenvironmental violation2004WA-ENV$9,000
Umpqua BankUmpqua Holdingswage and hour violation2015WA-DLI$15,350
UNUMUnumwage and hour violation2011WA-DLI$15,070
JP Morgan Chase Bank, N.A.JPMorgan Chasewage and hour violation2022WA-DLI$9,526
JP Morgan Chase Bank, N.A.JPMorgan Chasewage and hour violation2022WA-DLI$9,526
State Street BankState Street Corp.investor protection violation2010WA-AG$11,700,000
AllianzAllianzdiscriminatory practices (non-employment)2024WA-AG$1,500,000
AllianzAllianzdiscriminatory practices (non-employment)2024WA-AG$1,500,000
Lincoln Financial Securities CorporationLincoln Nationalinvestor protection violation2010VT-FIN$10,000
Horace Mann Insurance CompanyHorace Mann Educators Corp.insurance 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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.