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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $395,312,528,119
Number of Records: 8,003
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$87,320,969,499333
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,618,169,231268
Citigroup$27,081,211,792183
Deutsche Bank$20,015,467,563100
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,924,502,443207
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
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 CompanyZurich Insuranceinsurance violation2024TX-INS$7,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2024TX-INS$7,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2024TX-INS$5,000
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
American Memorial Life Insurance CompanyAssurantinsurance violation2021WA-INS$20,000
American Memorial Life Insurance CompanyAssurantinsurance violation2023SD-INS$5,000
American Life Insurance CompanyMetLifeeconomic sanction violation2024OFAC$178,421
American International Specialty Lines Insurance Co.American International Groupinsurance violation2005NJ-DBI$13,000
American International Insurance Group Inc.American International Groupinsurance violation2008PA-INS$9,125,400
American International Insurance Co. and AIG National Insurance Company, Inc.American International Groupinsurance violation2003FL-OFR$66,750
American International Group, Inc.American International Groupaccounting fraud or deficiencies2006DOJ_CRIMINAL$25,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2004DOJ_CRIMINAL$80,000,000
American International Group, Inc.American International Groupinvestor protection violation2006SEC$800,000,000
American International Group, Inc.American International Groupinvestor protection violation2004SEC$46,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2003SEC$10,000,000
American International Group, Inc.American International Groupbenefit plan administrator violation2015private lawsuit-federal$40,000,000
American International Group, Inc.American International Groupbenefit plan administrator violation2008private lawsuit-federal$24,200,000
American International Group, Inc.American International Groupprice-fixing or anti-competitive practices2008MULTI-AG$12,500,000
American International Group, Inc.American International Grouptax violations2006MI-AG$5,279,484
American International Group, Inc.American International Groupeconomic sanction violation2014OFAC$279,038
American International Group Inc.American International Groupinvestor protection violation2010OR-AG$8,000,000
American International Group Inc.American International Groupprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLANAmerican International Groupbenefit plan administrator violation2005EBSA$50,001
American International Group et al.American International Groupinsurance violation2002CA-INS$411,500
American International GroupAmerican International Groupeconomic sanction violation2017OFAC$148,698
American International GroupAmerican International Groupwage and hour violation2009MA-AG$900,000
American International GroupAmerican International GroupFalse Claims Act and related2008MA-AG$218,920
American International GroupAmerican International GroupFalse Claims Act and related2007MA-AG$58,500,000
American International GroupAmerican International Groupprice-fixing or anti-competitive practices2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,619,000,000
American International GroupAmerican International Groupinvestor protection violation2010OH-AG$725,000,000
American International GroupAmerican International Groupprice-fixing or anti-competitive practices2010OH-AG$9,000,000
American International GroupAmerican International Groupinsurance violation2010MULTI-FIN$146,500,000
American International GroupAmerican International Groupinsurance violation2012MULTI-FIN$11,000,000
American International GroupAmerican International Groupinsurance violation2021NY-DFS$12,000,000
American International GroupAmerican International Groupwage and hour violation2018MI-LEO$15,939
American International GroupAmerican International Groupwage and hour violation2023NY-DOL$8,811
AMERICAN INTERNATIONAL GROUPAmerican International Groupworkplace safety or health violation2003OSHA$5,900
American Income Life Insurance CompanyGlobe Life Inc.insurance violation2013WA-INS$75,000
American Income Life Insurance CompanyGlobe Life Inc.insurance violation2020VA-INS$18,000
American Income Life Insurance CompanyGlobe Life Inc.insurance violation2023CT-INS$46,500
American Income Life Insurance Co.Globe Life Inc.insurance violation2002MS-INS$50,000
American Income Life Insurance Co.Globe Life Inc.insurance violation2019MT-FIN$15,000
AMERICAN HOME ASSURANCE ET AL.American International Groupinsurance violation2007VA-INS$5,000
American Home Assurance Company et al.American International Groupinsurance violation2010TX-INS$650,000
American Home Assurance CompanyAmerican International Groupinsurance violation2002MA-INS$64,546
American Home Assurance CompanyAmerican International Groupinsurance violation2003MA-INS$12,500
American Home Assurance CompanyAmerican International Groupinsurance violation2007OR-FIN$10,000
American Home Assurance CompanyAmerican International Groupconsumer protection violation2012OR-FIN$20,000
American Home Assurance CompanyAmerican International Groupinsurance violation2009TX-INS$22,500
American Home Assurance CompanyAmerican International Groupinsurance violation2013TX-INS$5,500
American Home Assurance CompanyAmerican International Groupinsurance violation2014TX-INS$7,848
American Home Assurance CompanyAmerican International Groupinsurance violation2015TX-INS$90,000
American Home Assurance CompanyAmerican International Groupinsurance violation2016TX-INS$20,000
American Home Assurance CompanyAmerican International Groupinsurance violation2016TX-INS$9,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.