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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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Ameritas Investment Co.Ameritas Mutual Holding Companyinvestor protection violation2022NV-SEC$15,000
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyinvestor protection violation2022SEC$4,628,194
Amerisave Mortgage Corporation and Novo Appraisal Management CompanyAmeriSave Mortgageconsumer protection violation2014CFPB$19,300,000
Amerisave Mortgage CorporationAmeriSave Mortgageconsumer protection violation2009PA-BKG$50,000
Amerisave Mortgage CorporationAmeriSave Mortgageinvestor protection violation2013MULTI-FIN$2,300,000
AmeriSave Mortgage CorporationAmeriSave Mortgageprivacy violation2020private lawsuit-federal$6,250,000
Amerisave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2017CA-DFPI$50,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2009KY-FIN$18,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2019KY-FIN$5,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2010MA-BKG$25,000
Ameriquest MortgageCitigroupconsumer protection violation2006MULTI-AG$325,000,000
Ameriprise GroupAmeriprise Financialinsurance violation2017MULTI-AG$1,500,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$15,000,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$30,000,000
Ameriprise Financial, Inc.Ameriprise Financialemployment discrimination2016OFCCP$128,200
Ameriprise Financial, Inc.Ameriprise Financialbenefit plan administrator violation2015private lawsuit-federal$27,500,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009SEC$17,300,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2017SEC$8,750,000
Ameriprise Financial Services, Inc.Ameriprise Financialconsumer protection violation2009MA-AG$200,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2018NJ-AG$375,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005AZ-CC$1,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2006AZ-CC$1,250,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2018CA-DFPI$115,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008IL-SEC$1,449,384
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009KY-FIN$983,984
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013MA-SEC$400,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013MD-SEC$50,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008MS-SEC$150,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008NH-BSR$3,400,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2014NH-BSR$90,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016NH-BSR$30,800
AMERIPRISE FINANCIAL SERVICES, INC.Ameriprise Financialinvestor protection violation2016VA-SEC$14,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016WA-FIN$55,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016FINRA$850,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013FINRA$750,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005FINRA$12,300,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005FINRA$1,250,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2018SEC$4,500,000
Ameriprise Financial Services Inc.Ameriprise Financialconsumer protection violation2013NE-DBF$10,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2018SC-SEC$650,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2009MULTI-FIN$720,000
Ameriprise Financial ServicesAmeriprise Financialinvestor protection violation2018SEC$230,000
AMERIPRISE FINANCIAL SERVICESAmeriprise Financialinvestor protection violation2008VA-SEC$780,000
Ameriprise FinancialAmeriprise Financialwage and hour violation2011private lawsuit-federal$185,000
Ameriprise Advisor Services Inc.Ameriprise Financialinvestor protection violation2009RI-FIN$48,411
American-Amicable Life Insurance CompanyAmerican-Amicable Groupinsurance violation2006MULTI-FIN$60,000,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2003MA-INS$40,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2010TX-INS$32,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2011TX-INS$9,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2012TX-INS$27,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$16,514
American Zurich Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$15,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$9,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$7,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2016TX-INS$5,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2016TX-INS$13,571
American Zurich Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$6,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2017TX-INS$9,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$53,750
American Zurich Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$18,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2019TX-INS$45,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2019TX-INS$17,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$6,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$14,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$72,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$22,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$5,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2022TX-INS$12,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$21,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$27,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2024TX-INS$17,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$12,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2023TX-INS$7,500
AMERICAN ZURICH INSURANCE COZurich Insuranceinsurance violation2004VA-INS$5,000
American Title Co. dba Ticor Title Company of AmericaFidelity National Financialinsurance violation2005CA-INS$1,200,000
American Strategic Insurance CorpProgressiveinsurance violation2018WA-INS$10,000
AMERICAN STRATEGIC INSURANCEProgressiveinsurance violation2016VA-INS$15,147
AMERICAN STRATEGIC INSURANCEProgressiveinsurance violation2017VA-INS$41,962
American States Preferred Insurance CompanyLiberty Mutual Insuranceinsurance violation2021MD-INS$111,176
American States Preferred Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2010VA-INS$205,463
American States Insurance CompanyLiberty Mutual Insuranceinsurance violation2016TX-INS$27,500
American Skandia Investment Services, Inc.Prudential Financialinvestor protection violation2009SEC$68,000,000
American Security Insurance Company et al.Assurantinsurance violation2016MN-FIN$5,000,000
American Security Insurance CompanyAssurantemployment discrimination2020EEOC$49,000
American Security Insurance CompanyAssurantinsurance violation2013MN-FIN$5,000
American Security Insurance Co. et al.Assurantinsurance violation2017MD-INS$25,000
American Security Insurance Co. et al.Assurantinsurance violation2005NJ-DBI$1,775,000
American Security Insurance Co.Assurantconsumer protection violation2017MA-AG$6,300,000
American Security Insurance Co.Assurantconsumer protection violation2015MA-AG$565,000
American Security Insurance Co.Assurantconsumer protection violation2019MS-AG$767,394
AMERICAN SECURITY INSURANCE COAssurantinsurance violation2006VA-INS$45,000
American Modern Insurance Group, Inc. et al.Munich Reinsurance violation2016MN-FIN$1,000,000
American Modern Insurance Group Inc.Munich Reinsurance violation2015MULTI-FIN$6,000,000
American Modern Home Insurance CompanyMunich Reinsurance violation2012NC-INS$1,860,000
American Modern Home Insurance CompanyMunich Reinsurance violation2015NY-DFS$150,000
American Modern Home Insurance CompanyMunich Reinsurance violation2016WA-INS$5,000
American Modern Home Insurance CompanyMunich Reinsurance violation2017WA-INS$5,000
American Modern Home Insurance CompanyMunich Reinsurance violation2017MULTI-FIN$255,000
American Modern Home Insurance Co.Munich Reinsurance violation2010MD-INS$5,000
American Modern Home Insurance Co.Munich Reinsurance violation2015MO-INS$10,000
American Memorial Life Insurance CompanyAssurantinsurance violation2016SD-INS$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.