Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Arthur J Gallagher & Co. Insurance Brokers of California Inc.Arthur J. Gallagher & Co.insurance violation2023NY-DFS$45,300
Arch Insurance CompanyArch Capitalconsumer protection violation2010MD-AG$460,000
Arch Insurance CompanyArch Capitalinsurance violation2019NY-DFS$5,000,000
Arch Insurance CompanyArch Capitalinsurance violation2010TX-INS$14,000
Arch Insurance CompanyArch Capitalinsurance violation2012TX-INS$26,500
Arch Insurance CompanyArch Capitalinsurance violation2014TX-INS$40,143
Arch Insurance CompanyArch Capitalinsurance violation2014TX-INS$10,000
Arch Insurance CompanyArch Capitalinsurance violation2015TX-INS$19,000
Arch Insurance CompanyArch Capitalinsurance violation2016TX-INS$32,500
Arch Insurance CompanyArch Capitalinsurance violation2017TX-INS$5,000
Arch Insurance CompanyArch Capitalinsurance violation2018TX-INS$7,000
Arch Insurance CompanyArch Capitalinsurance violation2019VA-INS$26,447
Arch Insurance CompanyArch Capitalinsurance violation2011WA-INS$20,000
Arch Insurance CompanyArch Capitalinsurance violation2017MULTI-FIN$1,017,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$20,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$11,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$22,000
Arch Insurance CompanyArch Capitalinsurance violation2022CT-INS$6,500
Arch Insurance CompanyArch Capitalinsurance violation2023TX-INS$10,000
Arch Insurance CompanyArch Capitalinsurance violation2023TX-INS$25,000
Arch Insurance Co.Arch Capitalinsurance violation2019ID-INS$5,000
Arch Insurance Co.Arch Capitalinsurance violation2016MO-INS$145,000
Arch Insurance Co.Arch Capitalinsurance violation2013MT-FIN$29,075
Arch Insurance Co.Arch Capitalinsurance violation2020WA-INS$10,000
Arch Insurance Co.Arch Capitalinsurance violation2021TX-INS$6,000
Arch Insurance Co.Arch Capitalinsurance violation2021TX-INS$69,000
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2019TX-INS$10,250
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2022TX-INS$19,000
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2023TX-INS$8,500
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2023TX-INS$11,000
Arab Banking Corp.Arab Banking Corp.economic sanction violation2004OFAC$5,500
AON SERVICE CORPORATIONAonwage and hour violation2017WHD$7,406
Aon Risk Services Southwest IncAoninsurance violation2023TX-INS$7,575
AON RISK SERVICES OF PR, INC.Aonbenefit plan administrator violation2019EBSA$10,001
Aon Risk Services Northeast Inc.Aoninsurance violation2023NY-DFS$215,725
Aon Risk Services NortheastAoninsurance violation2014MA-INS$15,000
Aon Risk Services Inc. of WashingtonAoninsurance violation2002AK-INS$5,000
Aon Risk Services Inc. of PennsylvaniaAoninsurance violation2005MA-INS$19,000
AON Risk Services IncAoninsurance violation2004NJ-DBI$10,000
Aon Risk Services Central Inc.Aoninsurance violation2008PA-INS$5,000
Aon Risk Services Central Inc.Aoninsurance violation2023NY-DFS$12,000
Aon Risk ServicesAonemployment discrimination2022NY-NYCCHR$80,000
Aon Investments USA Inc.Aoninvestor protection violation2024SEC$1,542,187
Aon Hewitt Health Market Insurance Solutions, Inc.Aonwage and hour violation2021private lawsuit-federal$1,250,000
Aon CorporationAonForeign Corrupt Practices Act2011DOJ_CRIMINAL$1,760,000
Aon CorporationAonForeign Corrupt Practices Act2011SEC$14,545,020
Aon CorporationAonbenefit plan administrator violation2010private lawsuit-federal$1,800,000
Aon CorporationAonprice-fixing or anti-competitive practices2005MULTI-AG$190,000,000
Aon CorporationAonprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Aon Corp.Aonconsumer protection violation2008FL-AG$4,000,000
AON Consulting Corporation IncAonwage and hour violation2004WHD$47,131
AonAonwage and hour violation2011private lawsuit-state$10,500,000
ANDERSON LAChatham Asset Managementworkplace safety or health violation2014OSHA$19,875
AmSouth Investment Services, Inc.Regions Financialinvestor protection violation2004MS-SEC$225,000
AmSouth Investment Services Inc.Regions Financialinvestor protection violation2004MULTI-FIN$225,000
AmSouth BankRegions Financialinvestor protection violation2008SEC$11,400,000
AmSouth BancorporationRegions Financialfraud2004USAO$40,000,000
AmSouthRegions Financialanti-money-laundering deficiencies2004FINCEN$10,000,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018NY-DFS$20,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018TX-INS$10,000
AMICA MUTUAL INSURANCE COMPANYAmica Mutual Insuranceinsurance violation2002VA-INS$14,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018WA-INS$20,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2022MD-INS$128,790
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2022NY-DFS$200,000
Amica Mutual Insurance Co.Amica Mutual Insuranceconsumer protection violation2012MA-AG$837,384
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2007MA-INS$12,000
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2016MD-INS$7,500
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2020TX-INS$120,000
AMEX Assurance CompanyAmerican Expressinsurance violation2009OR-FIN$25,000
Amex Assurance Co.American Expressinsurance violation2006CA-INS$170,000
Amex Assurance Co.American Expressinsurance violation2005FL-OFR$12,500
Amex Assurance Co.American Expressinsurance violation2008FL-OFR$8,000
AMEX Assurance Co.American Expressinsurance violation2011MD-INS$10,000
AMEX ASSURANCE CO.American Expressinsurance violation2007VA-INS$26,400
Ameritrade, Inc.Charles Schwab Corp.investor protection violation2009DE-SEC$40,000
Ameritrade, Inc.Charles Schwab Corp.investor protection violation2004FINRA$10,000,000
Ameritrade Inc.Charles Schwab Corp.investor protection violation2007TX-SEC$200,000
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2015NY-DFS$72,975
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2020NY-DFS$84,668
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2019CT-INS$5,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2015NJ-DBI$2,524,290
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2006OR-FIN$5,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2020TN-INS$30,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2022WA-INS$40,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companywage and hour violation2017WHD$9,019
AMERITAS LIFE INSURANCE CORPAmeritas Mutual Holding Companyinsurance violation2001VA-INS$9,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companyinsurance violation2017WA-INS$10,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companyinsurance violation2019WA-INS$50,000
AMERITAS LIFE INSURANCE CORPAmeritas Mutual Holding Companyinsurance violation2024WA-INS$5,000
Ameritas Life Insurance CompanyAmeritas Mutual Holding Companyinsurance violation2022CT-INS$31,500
Ameritas Investment CorporationAmeritas Mutual Holding Companyinvestor protection violation2003TX-SEC$25,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2015SEC$200,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2019SEC$3,389,174
Ameritas Investment Corp.Ameritas Mutual Holding Companyinsurance violation2019CA-INS$15,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2014IA-INS$10,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2008NE-DBF$11,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2015FINRA$278,544
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2009FINRA$100,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2021SD-SEC$20,000
Ameritas Investment Company LLCAmeritas Mutual Holding Companyinvestor protection violation2020PA-BKG$100,000
Ameritas Investment Co.Ameritas Mutual Holding Companyinvestor protection violation2022NV-SEC$15,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.