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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,416,567,662
Number of Records: 7,172
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$83,354,221,356271
JPMorgan Chase$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
Morgan Stanley$10,167,765,234190

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
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$9,500
Ace American Insurance CompanyChubb Limitedinsurance violation2022TX-INS$20,000
ACE American Insurance Company and Insurance Company of North America, and ACE Fire Underwriters Insurance CompanyChubb Limitedinsurance violation2021MN-FIN$15,400
ACE American Insurance Company ET AL.Chubb LimitedFalse Claims Act and related2010NY-AG$70,000,000
Ace American Insurance Company et al.Chubb Limitedinsurance violation2008TX-INS$50,000
ACE AMERICAN INSURANCE COMPANY ET AL.Chubb Limitedinsurance violation2020WA-INS$50,000
ACE American Reinsurance CompanyChubb Limitedinsurance violation2006OR-FIN$8,300
ACE Cash ExpressACE Cash Expressconsumer protection violation2014CFPB$15,000,000
Ace Cash ExpressACE Cash Expressconsumer protection violation2009OH-BKG$7,050
Ace Cash Express Inc.ACE Cash Expressconsumer protection violation2002MD-FIN$164,000
ACE Cash Express Inc.ACE Cash Expressconsumer protection violation2017PA-BKG$80,000
Ace Cash Express, Inc.ACE Cash Expresswage and hour violation2012WHD$18,852
Ace Cash Express, Inc.ACE Cash Expresswage and hour violation2005WHD$12,796
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2002CO-AG$1,300,000
ACE Cash Express, Inc.ACE Cash Expresspayday lending violation2010CA-DFPI$118,400
ACE Cash Express, Inc.ACE Cash Expresspayday lending violation2015CA-DFPI$22,500
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2016FL-OFR$28,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2015MD-FIN$353,286
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2009NE-DBF$15,550
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$11,950
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$8,550
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$6,550
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$5,400
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$7,000
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$5,800
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2014NE-DBF$18,900
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2015NE-DBF$5,450
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2015NE-DBF$20,500
ACE CASH EXPRESS, INC.ACE Cash Expressconsumer protection violation2010VA-FIN$150,000
ACE CASH EXPRESS, INC.ACE Cash Expressconsumer protection violation2016VA-FIN$45,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2016WA-FIN$76,421
ACE Cash Express, Inc. dba ACE America's Cash ExpressACE Cash Expressconsumer protection violation2002FL-OFR$500,000
Ace Cash Express, Inc.,ACE Cash Expressconsumer protection violation2010NE-DBF$7,000
Ace Fire Underwriters Insurance Co.Chubb Limitedinsurance violation2016MO-INS$47,500
Ace Fire Underwriters Insurance CompanyChubb Limitedinsurance violation2010OR-FIN$7,900
Ace Fire Underwriters Insurance CompanyChubb Limitedinsurance violation2014TX-INS$14,615
ACE Group Holdings, Inc.Chubb Limitedprice-fixing or anti-competitive practices2007MULTI-AG$4,500,000
ACE LimitedChubb Limitedprice-fixing or anti-competitive practices2007PA-AG$9,000,000
ACE LimitedChubb Limitedeconomic sanction violation2019OFAC$66,212
Ace Limited Insurance GroupChubb Limitedinsurance violation2014CA-INS$100,000
Ace Property and Casualty Insurance Co.Chubb Limitedinsurance violation2016MO-INS$47,500
ACE, LtdChubb Limitedprice-fixing or anti-competitive practices2006MULTI-AG$80,000,000
Admiral Insurance Co.W.R. Berkleyinsurance violation2017CA-INS$1,542,500
Admiral Risk Insurance Services, Inc.W.R. Berkleyinsurance violation2017CA-INS$1,542,500
AEGON USA Investment Management LLC et al.Aegoninvestor protection violation2018SEC$97,600,000
AFB&TSynovus Financialbanking violation2009FDIC$7,040
AffinionJPMorgan Chaseconsumer protection violation2013MULTI-AG$30,000,000
Affinion Group Holdings, Inc.JPMorgan Chaseconsumer protection violation2015CFPB$8,700,000
Affinion Group, Inc.JPMorgan Chaseconsumer protection violation2010NY-AG$8,000,000
Affinity Insurance Services Inc.Aoninsurance violation2004PA-INS$5,000
Affinity Insurance Services Inc.Aoninsurance violation2006PA-INS$40,000
Affinity Insurance Services, Inc.Aoninsurance violation2021AK-INS$35,000
Aflac Inc.Aflacinsurance violation2017MULTI-AG$350,000
AGCS Marine Insurance Co.Allianzinsurance violation2017KS-INS$63,483
AGCS Marine Insurance CompanyAllianzinsurance violation2016PA-INS$10,000
AGCS Marine Insurance CompanyAllianzinsurance violation2015WA-INS$300,000
AGCS Marine Insurance CompanyAllianzinsurance violation2016WA-INS$15,000
AGCS Marine Insurance CompanyAllianzinsurance violation2017WA-INS$5,000
Agricultural Bank of ChinaAgricultural Bank of Chinaanti-money-laundering deficiencies2016NY-DFS$215,000,000
AIGAmerican International Groupinsurance violation2014NY-DFS$35,000,000
AIG Assurance CompanyAmerican International Groupinsurance violation2016TX-INS$51,750
AIG Assurance Company et al.American International Groupinsurance violation2017WA-INS$25,000
AIG Casualty CompanyAmerican International Groupinsurance violation2007OR-FIN$7,500
AIG CASUALTY INSURANCE CO., ET AL.American International Groupinsurance violation2008VA-INS$10,000
AIG Claims Inc.American International Groupinsurance violation2018NY-DFS$177,500
AIG Claims, Inc.American International Groupinsurance violation2018LA-INS$11,000
AIG Federal Savings Bank and Wilmington Finance Inc.American International Groupdiscriminatory practices (non-employment)2010DOJ_RIGHTS$6,100,000
AIG Life Insurance CompanyAmerican International Groupinsurance violation2006OR-FIN$10,000
AIG National Insurance CompanyAmerican International Groupinsurance violation2008RI-FIN$10,000
AIG Property Casualty Co.American International Groupinsurance violation2019CT-INS$120,000
AIG Property Casualty Co.American International Groupinsurance violation2015MD-INS$22,500
AIG Property Casualty CompanyAmerican International Groupinsurance violation2014NJ-DBI$25,000
AIG Property Casualty CompanyAmerican International Groupinsurance violation2015TX-INS$8,500
AIG Property Casualty CompanyAmerican International Groupinsurance violation2016TX-INS$55,800
AIG Property Casualty CompanyAmerican International Groupinsurance violation2020NY-DFS$583,900
AIG Warranty Guard, Inc.American International Groupinsurance violation2000WI-INS$100,000
AIG Warranty Guard, Inc.American International Groupinsurance violation2003WI-INS$50,000
AIM AdvisorsInvescoinvestor protection violation2004MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
AIM Advisors, Inc. and AIM Distributors, Inc.Invescoinvestor protection violation2004SEC$50,000,000
AIU Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
AIU Insurance CompanyAmerican International Groupinsurance violation2002MA-INS$365,615
AIU Insurance CompanyAmerican International Groupinsurance violation2002OR-FIN$10,000
AIU Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$27,180
AIU INSURANCE COMPANYAmerican International Groupinsurance violation2012VA-INS$31,900
AIU Insurance Company et al.American International Groupinsurance violation2007OR-FIN$1,000,000
AIU INSURANCE COMPANY ET AL.American International Groupinsurance violation2008VA-INS$100,000
Alliance Capital ManagementEquitable Holdingsinvestor protection violation2003NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $600,000,000
Alliance Capital Management L.P.Equitable Holdingsinvestor protection violation2003SEC$250,000,000
Alliance Data Systems, Inc.Bread Financial Holdingswage and hour violation2003WHD$40,320
AllianceBernsteinEquitable Holdingswage and hour violation2013private lawsuit-federal$2,980,000
AllianceBernstein Investment Research and Management, Inc.Equitable Holdingsinvestor protection violation2005FINRA$3,984,087
AllianceBernstein Investments, Inc.Equitable Holdingsinvestor protection violation2007FINRA$100,000
AllianceBernstein L.P.Equitable Holdingsinvestor protection violation2013CO-SEC$20,232
AllianceBernstein L.P.Equitable Holdingsinvestor protection violation2012DE-SEC$20,000
AllianceBernstein, L.P.Equitable Holdingsinvestor protection violation2007SEC$450,000
Allianz Asset Management of America, L.P.Allianzbenefit plan administrator violation2018private lawsuit-federal$12,000,000
Allianz Dresdner Asset Management of America LPAllianzinvestor protection violation2004NJ-AG$18,000,000
Allianz Global Investors U.S. LLCAllianzinvestor protection violation2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,024,200,000
Allianz Global Investors U.S. LLCAllianzinvestor protection violation2022USAO$5,763,000,000
Allianz Global Risks U.S. Insurance CompanAllianzeconomic sanction violation2019OFAC$170,535
Allianz Life Insurance Company of New YorkAllianzinsurance violation2013NY-DFS$135,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.