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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
Allstate Insurance CompanyAllstateinsurance violation2013OR-FIN$50,000
Allstate Insurance CompanyAllstateinsurance violation2009RI-FIN$5,000
Allstate Insurance CompanyAllstateinsurance violation2016RI-FIN$10,000
Allstate Insurance CompanyAllstateinsurance violation2017RI-FIN$103,414
Allstate Insurance CompanyAllstateinsurance violation2010TX-INS$879,510
ALLSTATE INSURANCE COMPANYAllstateinsurance violation2002VA-INS$10,000
ALLSTATE INSURANCE COMPANYAllstateinsurance violation2010VA-INS$15,000
ALLSTATE INSURANCE COMPANYAllstateinsurance violation2013VA-INS$5,000
ALLSTATE INSURANCE COMPANYAllstateinsurance violation2015VA-INS$197,201
Allstate Insurance CompanyAllstateinsurance violation2011WA-INS$50,000
Allstate Insurance CompanyAllstateinsurance violation2020OR-FIN$50,000
Allstate Insurance Company and Allstate Indemnity CompanyAllstateinsurance violation2007VA-INS$8,000
Allstate Insurance GroupAllstateinsurance violation2020NY-DFS$1,455,368
Allstate Life Insurance Co.Allstateinsurance violation2004NJ-DBI$15,000
ALLSTATE LIFE INSURANCE CO.Allstateinsurance violation2005VA-INS$5,000
Allstate Life Insurance CompanyAllstateinsurance violation2004MA-INS$25,000
Allstate Life Insurance CompanyAllstateinsurance violation2004PA-INS$25,000
Allstate Life Insurance CompanyAllstateinsurance violation2018MULTI-FIN$150,000
Allstate Life Insurance Company of New YorkAllstateinsurance violation2007NY-DFS$18,250,000
Allstate Life Insurance Company of New YorkAllstateinsurance violation2021NY-DFS$196,250
Allstate New Jersey Insurance CompanyAllstateinsurance violation2009NJ-DBI$5,000
Allstate Property & Casualty Insurance CompanyAllstateinsurance violation2012RI-FIN$8,000
Allstate Property & Casualty Insurance Company, et al.Allstateinsurance violation2021RI-FIN$7,500
Allstate Property and Casualty et al.Allstateinsurance violation2022RI-FIN$65,000
Allstate Texas Lloyd'sAllstateinsurance violation2008TX-INS$71,300,000
Allstate Vehicle and Property Insurance CompanyAllstateinsurance violation2018SC-INS$10,000
Allstate Vehicle And Property Insurance CompanyAllstateinsurance violation2022WA-INS$25,000
Ally FinancialAlly Financialmortgage abuses2012MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $109,628,425
Ally Financial IncAlly Financialwage and hour violation2017WHD$34,169
Ally Financial Inc.Ally Financialbanking violation2012FED$207,000,000
Ally Financial Inc.Ally Financialtoxic securities abuses2016USAO$52,000,000
Ally Financial Inc. (formerly GMAC)Ally Financialmortgage abuses2012DOJ$309,600,000
Ally Financial Inc. and Ally BankAlly Financialconsumer protection violation2013CFPB$98,000,000
Ally Financial ServicesAlly Financialwage and hour violation2019WHD$198,311
Ally Financial, LLCAlly Financialwage and hour violation2017WHD$164,143
ALPHA PROPERTY & CASUALTY INSURANCEKemperinsurance violation2012VA-INS$15,000
Alpha Property & Casualty Insurance Co.Kemperinsurance violation2003FL-OFR$32,500
Ambac Financial Group et al.Ambac Financialtoxic securities abuses2013USAO$101,900,000
Ambac Financial Group, Inc.Ambac Financialbenefit plan administrator violation2012private lawsuit-federal$2,550,000
AMCO Insurance Co.Nationwideinsurance violation2013MN-FIN$20,000
AMCO Insurance Co.Nationwideinsurance violation2016MO-INS$36,750
Amco Insurance Co. and Allied Property and Casualty Insurance Co.Nationwideinsurance violation2005CA-INS$20,000
AMCO Insurance CompanyNationwideinsurance violation2010OR-FIN$8,000
Amco Insurance CompanyNationwideinsurance violation2017WA-INS$5,000
American Alternative Insurance Corp.Munich Reinsurance violation2019CT-INS$49,500
American Alternative Insurance Corp.Munich Reinsurance violation2003FL-OFR$21,500
American Alternative Insurance Corp.Munich Reinsurance violation2019MO-INS$85,000
American Alternative Insurance CorporationMunich Reinsurance violation2017TX-INS$160,000
American Alternative Insurance Corporation et al.Munich Reinsurance violation2013WA-INS$10,000
American Automobile Insurance Co.Allianzconsumer protection violation2011MA-AG$571,394
American Automobile Insurance Co.Allianzinsurance violation2015MD-INS$5,000
American Automobile Insurance CompanyAllianzinsurance violation2005MA-INS$9,000
American Automobile Insurance CompanyAllianzinsurance violation2018WA-INS$10,000
American Automobile Insurance Company et al.Allianzinsurance violation2011VA-INS$10,973
AMERICAN AUTOMOBILE INSURANCE CORPAllianzinsurance violation2012VA-INS$5,000
AMERICAN BANKERS INSURANCEAssurantinsurance violation2006VA-INS$45,000
American Bankers Insurance Co.Assurantconsumer protection violation2006MA-AG$20,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2011AZ-DIFI$36,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2020CT-INS$198,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2007IN-INS$87,500
American Bankers Insurance Company of FloridaAssurantinsurance violation2001MA-INS$65,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2003MN-FIN$100,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2018MO-INS$37,500
American Bankers Insurance Company of FloridaAssurantinsurance violation2002OR-FIN$30,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2017TX-INS$35,000
American Bankers Insurance Company Of FloridaAssurantinsurance violation2011WA-INS$170,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2021OR-FIN$20,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2021TX-INS$45,000
American Bankers Insurance Company of Florida et al.Assurantinsurance violation2004CA-INS$150,000
American Bankers Insurance Company of Florida et al.Assurantinsurance violation2005CA-INS$250,000
American Bankers Insurance Group Inc.Assurantinsurance violation2001MULTI-FIN$3,000,000
AMERICAN BANKERS LIFEAssurantinsurance violation2007VA-INS$97,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2011IL-INS$15,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2003MN-FIN$100,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2018MO-INS$37,500
American Bankers Life Assurance Company of Florida et al.Assurantinsurance violation2008CA-INS$750,000
AMERICAN BANKERS LIFE ASSURANCE OF FLORIDAAssurantinsurance violation2001VA-INS$15,000
American Contractors Indemnity Co.Tokio Marineinsurance violation2007CA-INS$170,000
American Economy Insurance Co.Liberty Mutual Insuranceinsurance violation2012VA-INS$5,000
American Economy Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2011VA-INS$12,000
American Economy Insurance CompanyLiberty Mutual Insuranceinsurance violation2009VA-INS$8,000
AMERICAN ECONOMY INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2020WA-INS$6,000
AMERICAN ECONOMY INSURANCE COMPANY ET AL.Liberty Mutual Insuranceinsurance violation2020WA-INS$10,000
American ExpressAmerican Expressconsumer protection violation2013CFPB$69,100,000
American ExpressAmerican Expressconsumer protection violation2012CFPB$99,100,000
American ExpressAmerican Expresseconomic sanction violation2004OFAC$18,391
American ExpressAmerican Expressconsumer protection violation2017CFPB$96,000,000
American ExpressAmerican Expresseconomic sanction violation2017OFAC$204,277
American Express Bank InternationalAmerican Expressanti-money-laundering deficiencies2007DOJ_CRIMINAL$55,000,000
American Express Bank Ltd.American Expresseconomic sanction violation2004OFAC$5,041
American Express Bank, FSBAmerican Expressbanking violation2013OCC$7,500,000
American Express Bank, FSBAmerican Expressbanking violation2012OCC$6,500,000
American Express Centurion BankAmerican Expressbanking violation2013FDIC$3,600,000
American Express Centurion BankAmerican Expressbanking violation2012FDIC$3,900,000
American Express Centurion BankAmerican Expressbanking violation2009FDIC$250,000
American Express Centurion BankAmerican Expresstax violations2012CT-AG$14,970
American Express Co.American Expressconsumer protection violation2003NY-AG$3,285,000
AMERICAN EXPRESS COMPANYAmerican Expressbanking violation2012FED$9,000,000
American Express CompanyAmerican Expresseconomic sanction violation2004OFAC$5,500
American Express CompanyAmerican Expressemployment discrimination2022DOJ_RIGHTS$29,008
American Express Financial AdvisorsAmeriprise Financialemployment discrimination2002private lawsuit-federal$31,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.