Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$388,802,802,308
Number of Records: 7,734
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$87,294,650,890329
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$14,264,317,61841
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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Unitrin Direct Property & Casualty Co. et al.Kemperinsurance violation2015MD-INS$5,000
Unitrin Direct Property & Casualty Co.Kemperinsurance violation2013AZ-DIFI$18,000
Unitrin Direct Insurance Co.Kemperinsurance violation2013AZ-DIFI$9,000
Unitrin County Mutual Insurance CompanyKemperinsurance violation2016TX-INS$10,000
Unitrin County Mutual Insurance CompanyKemperinsurance violation2018TX-INS$25,000
Unitrin County Mutual Insurance CompanyKemperinsurance violation2020TX-INS$80,000
Unitrin Auto And Home Insurance CompanyKemperinsurance violation2012WA-INS$15,000
Unitrin Auto And Home Insurance CompanyKemperinsurance violation2014WA-INS$20,000
Unitrin Auto And Home Insurance CompanyKemperinsurance violation2016WA-INS$20,000
Unitrin Auto and Home Insurance Co.Kemperinsurance violation2006CO-INS$7,500
United Wisconsin Insurance Co.AF Groupinsurance violation2018MO-INS$5,000
United Wisconsin Insurance Co.AF Groupinsurance violation2023TX-INS$5,000
United States Life Insurance Company in the City of New YorkAmerican International Groupconsumer protection violation2011MA-AG$760,000
United States Life Insurance Company In the City of New YorkAmerican International Groupinsurance violation2011MD-INS$5,000
United States Life Insurance Company In the City of New YorkAmerican International Groupinsurance violation2014MD-INS$25,000
United States Life Insurance Company in the City of New YorkAmerican International Groupinsurance violation2017NY-DFS$873,918
United States Life Insurance Company in the City of New YorkAmerican International Groupinsurance violation2006OR-FIN$20,000
United States Fire Insurance Company of PlanoFairfax Financial Holdingsinsurance violation2009TX-INS$10,500
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2018NE-DOI$7,500
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2013NJ-DBI$90,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2014NY-DFS$190,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2012SC-INS$10,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2016UT-INS$172,250
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017UT-INS$67,500
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2019VA-INS$5,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2013WA-INS$15,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2016WA-INS$25,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017WA-INS$10,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017MULTI-FIN$1,914,370
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2020OR-FIN$50,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2022RI-FIN$10,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2022PA-INS$25,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2023OR-FIN$25,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2012CO-INS$111,500
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2014DE-INS$10,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2018MD-INS$7,500
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2014MN-FIN$10,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2015MO-INS$23,500
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2016MO-INS$444,000
United States Fire Insurance Co.Fairfax Financial Holdingsconsumer protection violation2021CO-AG$50,000
UNITED STATES FIRE INSURANCE COFairfax Financial Holdingsinsurance violation2017VA-INS$25,000
United States Fidelity and Guaranty CompanyTravelersinsurance violation2014TX-INS$13,307
United States Fidelity and Guaranty Co.TravelersFalse Claims Act and related2010MA-AG$2,925,000
United States Fidelity & GuarantyTravelersFalse Claims Act and related2007CT-AG$17,500,000
United Services Automobile Association et al.USAAinsurance violation2016DE-INS$34,000
United Services Automobile Association et al.USAAinsurance violation2007MO-INS$6,000
United Services Automobile Association et al.USAAinsurance violation2018TX-INS$40,000
UNITED SERVICES AUTOMOBILE ASSOCIATION ET AL.USAAinsurance violation2017VA-INS$182,209
United Services Automobile Association et al.USAAinsurance violation2021VA-INS$10,000
United Services Automobile Association et al.USAAconsumer protection violation2022VA-INS$71,358
UNITED SERVICES AUTOMOBILE ASSOCIATION et a.USAAinsurance violation2022WA-INS$50,000
United Services Automobile Association (USAA)USAAinsurance violation2017VT-FIN$85,000
United Services Automobile AssociationUSAAdiscriminatory practices (non-employment)2014MA-AG$50,000
United Services Automobile AssociationUSAAconsumer protection violation2010MA-AG$25,000
United Services Automobile AssociationUSAAconsumer protection violation2010MA-AG$2,300,000
United Services Automobile AssociationUSAAinsurance violation2001KS-INS$5,000
United Services Automobile AssociationUSAAinsurance violation2018OR-FIN$6,200
United Services Automobile AssociationUSAAinsurance violation2011SC-INS$8,000
United Services Automobile AssociationUSAAinsurance violation2006VA-INS$5,000
United Services Automobile AssociationUSAAinsurance violation2007VA-INS$6,000
United Services Automobile AssociationUSAAinsurance violation2021CT-INS$32,500
United Services Automobile AssociationUSAAconsumer protection violation2017private lawsuit-federal$53,200,000
United Service Automobile Association et al.USAAinsurance violation2019DE-INS$32,500
United of Omaha Life Insurance CompanyMutual of Omahainsurance violation2005OR-FIN$25,000
United of Omaha Life Insurance CompanyMutual of Omahainsurance violation2011OR-FIN$5,000
United Of Omaha Life Insurance CompanyMutual of Omahainsurance violation2015WA-INS$5,000
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2018DE-INS$17,000
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2011MD-INS$5,500
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2000ME-INS$6,000
UNITED OF OMAHA LIFE INSURANCEMutual of Omahainsurance violation2012VA-INS$7,500
United Insurance Company of AmericaKemperemployment discrimination2012EEOC$37,500
United Insurance CompanyKemperinsurance violation2012UT-INS$5,500
United Insurance Co. of AmericaKemperinsurance violation2007IN-INS$6,500
United Insurance Co.Kemperinsurance violation2013AZ-DIFI$23,000
United Community Banks, Inc.United Community Banks Inc.benefit plan administrator violation2013private lawsuit-federal$3,500,000
United Casualty Insurance Company of AmericaKemperinsurance violation2005FL-OFR$17,500
United Casualty Insurance Company of AmericaKemperinsurance violation2019MD-INS$54,900
United Casualty Insurance Co.Kemperinsurance violation2018CA-INS$22,500
United American Insurance CompanyGlobe Life Inc.wage and hour violation2012WHD$19,791
United American Insurance Co.Globe Life Inc.consumer protection violation2003CT-AG$45,000
United American Insurance Co.Globe Life Inc.insurance violation2012CO-INS$86,500
United American Insurance Co.Globe Life Inc.insurance violation2013MD-INS$5,200
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2002VA-INS$10,000
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2003VA-INS$15,000
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2005VA-INS$5,000
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2007VA-INS$15,000
Union Security Life Insurance Company of New YorkAssurantinsurance violation2021NY-DFS$20,000
Union Security Life Insurance CoAssurantconsumer protection violation2000MA-AG$1,000,000
UNION SECURITY LIFE INSURANCEAssurantinsurance violation2007VA-INS$27,000
Union Security Insurance CompanyAssurantconsumer protection violation2007MA-AG$28,000
Union Security Insurance CompanyAssurantinsurance violation2015SD-INS$7,500
Union Security Insurance CompanyAssurantinsurance violation2016SD-INS$35,000
Union Security Insurance Co.Assurantinsurance violation2013AZ-DIFI$40,000
Union Savings Bank and Guardian Savings BankUnion Savings Bankdiscriminatory practices (non-employment)2016DOJ_RIGHTS$9,000,000
Union Bank of California, N.A.U.S. Bancorpanti-money-laundering deficiencies2007DOJ_CRIMINAL$21,600,000
Union Bank of California, N.A.U.S. Bancorpanti-money-laundering deficiencies2007FINCEN$10,000,000
Union Bank of CaliforniaU.S. Bancorpeconomic sanction violation2005OFAC$5,500
Union Bank of CAU.S. Bancorpeconomic sanction violation2003OFAC$14,913
Union Bank of CAU.S. Bancorpeconomic sanction violation2003OFAC$12,000
Union Bank N.A.U.S. Bancorpconsumer protection violation2012private lawsuit-federal$35,000,000
Union BankU.S. Bancorpwage and hour violation2012private lawsuit-federal$3,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.