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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,479,735,000115
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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 sort icon . Current ParentPrimary Offense TypeYearAgencyPenalty Amount
Time Insurance Co.Haven Holdingsinsurance violation2010MT-INS$50,000
Time Insurance Co.Haven Holdingsinsurance violation2010WI-INS$280,000
Ticor Title Insurance CompanyFidelity National Financialinsurance violation2007OR-FIN$6,000
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2009IN-INS$10,850
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2009MO-INS$20,725
Ticor Title Company of CaliforniaFidelity National Financialinsurance violation2018CA-INS$6,000
Ticor Title Company of CaliforniaFidelity National Financialwage and hour violation2022CA-LCO$32,017
Ticor Title CompanyFidelity National Financialinsurance violation2015WA-INS$5,000
Ticor Title CompanyFidelity National Financialinsurance violation2017WA-INS$6,000
Ticor Title CompanyFidelity National Financialinsurance violation2018WA-INS$10,000
Ticor Title CompanyFidelity National Financialinsurance violation2019WA-INS$5,000
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2016NY-DFS$29,325
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2016NY-DFS$139,940
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2013MULTI-FIN$6,200,000
TIAA-CREF Individual & Institutional Services, LLCTIAAinvestor protection violation2019SEC$2,395,722
TIAA-CREF Individual & Institutional Services, LLCTIAAbenefit plan administrator violation2021NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $97,000,000
TIAA-CREF Individual & Institutional Services LLCTIAAaccounting fraud or deficiencies2021SEC$97,000,000
TIAA-CREFTIAAlabor relations violation2016NLRB$304,216
TIAA-CREFTIAAaviation safety violation2015FAA$7,500
TIAA-CREFTIAAbenefit plan administrator violation2014private lawsuit-federal$22,800,000
TIAA Bank, FSBTIAAwage and hour violation2020private lawsuit-federal$3,500,000
TIAA - CREFTIAAwage and hour violation2006WHD$468,336
TIAATIAAwage and hour violation2005WHD$327,168
Thrivent Investment Management Inc.Thrivent Financialinvestor protection violation2020IL-SEC$400,000
Thrivent Financial For LutheransThrivent Financialinsurance violation2012MD-INS$8,000
Thrivent Financial for LutheransThrivent Financialinsurance violation2013WI-INS$5,000
Thomas Weisel Partners, LLCStifel Financialinvestor protection violation2008FINRA$200,000
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2004SEC$12,500,000
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2006CT-SEC$52,480
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
Thomas Weisel PartnersStifel Financialinvestor protection violation2005FINRA$1,750,000
THEO. DAVIS SONS, INCORPORATEDChatham Asset Managementworkplace safety or health violation2013OSHA$6,750
The United States Life Insurance Company In the City of New YorkAmerican International Groupinsurance violation2012MD-INS$75,000
The United States Life Insurance CompanyAmerican International Groupinsurance violation2019NY-DFS$171,902
The Travelers Indemnity Company ofAmericaTravelersinsurance violation2020VA-INS$49,500
The Travelers Indemnity Company of ConnecticutTravelersinsurance violation2016TX-INS$7,000
The Travelers Indemnity Company of ConnecticutTravelersinsurance violation2018TX-INS$20,000
The Travelers Indemnity Company of America et al.Travelersinsurance violation2020DE-INS$6,000
The Travelers Indemnity Company of America et al.Travelersinsurance violation2014MD-INS$55,000
The Travelers Indemnity Company of America et al.Travelersinsurance violation2014MD-INS$20,400
The Travelers Indemnity CompanyTravelerswage and hour violation2009WHD$21,283
The Travelers Indemnity CompanyTravelersinsurance violation2014TX-INS$19,442
The Travelers Indemnity CompanyTravelersinsurance violation2014TX-INS$11,500
The Travelers Indemnity CompanyTravelersinsurance violation2015TX-INS$10,000
The Travelers Indemnity CompanyTravelersinsurance violation2015TX-INS$7,500
The Travelers Indemnity CompanyTravelersinsurance violation2016TX-INS$9,000
The Travelers Indemnity CompanyTravelersinsurance violation2018TX-INS$7,500
The Travelers Indemnity Co. of ConnecticutTravelersinsurance violation2016TX-INS$18,000
The Travelers Indemnity Co. et al.Travelersinsurance violation2010KS-INS$10,000
THE TRAVELERS INDEMNITY CO. et al.Travelersinsurance violation2009VA-INS$7,000
The Travelers Indemnity Co.Travelersinsurance violation2019MN-FIN$10,000
The Travelers Home and Marine Insurance Co.Travelersinsurance violation2016MN-FIN$15,000
The Tokio Marine and Fire Insurance Company, Ltd. and Trans Pacific Insurance Co.Tokio Marineinsurance violation2003CA-INS$42,500
The Standard Insurance Co.Meiji Yasuda Life Insuranceinsurance violation2020CT-INS$7,500
The Standard Fire Insurance CompanyTravelersinsurance violation2014TX-INS$9,795
The Standard Fire Insurance CompanyTravelersinsurance violation2016TX-INS$5,000
The Standard Fire Insurance CompanyTravelersinsurance violation2018TX-INS$27,855
The Standard Fire Insurance Co.Travelersinsurance violation2015MD-INS$8,000
The Standard Fire Insurance Co.Travelersinsurance violation2015MD-INS$10,000
The Signal, LP, an Assurant CompanyAssurantinsurance violation2020NY-DFS$2,800,000
THE ROYAL BANK OF SCOTLAND GROUP PLCNatWest Group PLCbanking violation2013FED$50,000,000
THE RICHLAND TRUST COMPANYPark National Corp.banking violation2006FDIC$11,100
The Prudential Insurance Company of AmericaPrudential Financiallabor relations violation2018NLRB$17,842
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006CA-INS$700,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2011MD-INS$75,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006MN-FIN$5,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2013MN-FIN$1,000,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006MO-INS$7,373
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2015MT-INS$5,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2019NY-DFS$49,020
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2020OR-FIN$25,000
The Phoenix Insurance CompanyTravelersinsurance violation2014TX-INS$10,628
The Phoenix Insurance CompanyTravelersinsurance violation2019TX-INS$6,000
The Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2019NY-DFS$455,584
The Park National BankPark National Corp.banking violation2011OCC$30,415
The Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2013MN-FIN$150,000
The Northern Trust CompanyNorthern Trustinvestor protection violation2015SEC$60,000
THE NORTH RIVER INSURANCE CO.Fairfax Financial Holdingsinsurance violation2009VA-INS$28,916
The Netherlands Insurance CompanyLiberty Mutual Insuranceinsurance violation2012TX-INS$8,000
The Netherlands Insurance CompanyLiberty Mutual Insuranceinsurance violation2014TX-INS$24,000
The Netherlands Insurance CompanyLiberty Mutual Insuranceinsurance violation2014TX-INS$6,000
THE MCCLATCHY COMPANYChatham Asset Managementworkplace safety or health violation2015OSHA$13,500
The Lincoln National Life Insurance Co. et al.Lincoln Nationalinsurance violation2014MN-FIN$2,500,000
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019CT-INS$65,000
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019LA-INS$10,000
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2016MN-FIN$10,000
THE KEMPER COMPANYKemperworkplace safety or health violation2012OSHA$9,800
THE KANSAS CITY STARChatham Asset Managementworkplace safety or health violation2016OSHA$23,696
The Insurance Company of the State of PennsylvaniaAmerican International Groupconsumer protection violation2015MA-AG$430,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2010ME-INS$11,111
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2007OR-FIN$10,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2009TX-INS$7,500
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2014TX-INS$8,397
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2014TX-INS$6,500
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2016TX-INS$18,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2017TX-INS$44,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2017TX-INS$5,300
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2018TX-INS$8,400
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2019TX-INS$9,000
The Huntington National BankHuntington Bancshareswage and hour violation2013WHD$32,553
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.