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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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
Liberty Mutual Group, Inc.Liberty Mutual Insuranceconsumer protection violation2016CA-MULTI$925,000
Liberty Mutual Holding Co. Inc.Liberty Mutual Insuranceprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Liberty Mutual InsuranceLiberty Mutual Insuranceemployment discrimination2000private lawsuit-state$348,111
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2019IN-INS$5,000
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2018KS-INS$80,000
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2017UT-INS$5,000
Liberty Mutual InsuranceLiberty Mutual Insuranceinsurance violation2017VT-FIN$20,000
LIBERTY MUTUAL INSURANCE CO IH LABLiberty Mutual Insuranceenvironmental violation2011MA-ENV$8,000
Liberty Mutual Insurance Co.Liberty Mutual Insurancekickbacks and bribery2010CT-AG$2,000,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceconsumer protection violation2010MA-AG$20,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceconsumer protection violation2010MA-AG$3,100,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceinsurance violation2009IN-INS$5,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceinsurance violation2010KS-INS$13,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceinsurance violation2016MT-FIN$5,000
Liberty Mutual Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2015MD-INS$5,500
LIBERTY MUTUAL INSURANCE CO. ET AL.Liberty Mutual Insuranceinsurance violation2005VA-INS$30,000
LIBERTY MUTUAL INSURANCE CO., ET ALLiberty Mutual Insuranceinsurance violation2004VA-INS$37,000
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2010TX-INS$17,000
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2012TX-INS$16,500
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2017TX-INS$18,000
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2019TX-INS$10,000
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2020TX-INS$8,500
Liberty Mutual Insurance CompanyLiberty Mutual Insurancewage and hour violation2009CA-LCO$11,916
Liberty Mutual Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$6,250
Liberty Mutual Insurance GroupLiberty Mutual Insuranceinsurance violation2003CA-INS$215,000
Liberty Mutual Insurance GroupLiberty Mutual Insuranceinsurance violation2015RI-FIN$15,000
Liberty Mutual Insurance GroupLiberty Mutual Insuranceinsurance violation2017RI-FIN$139,547
Liberty Mutual Insurance Group Inc.Liberty Mutual Insuranceconsumer protection violation2018MA-AG$50,000
Liberty Mutual Personal Insurance CompanyLiberty Mutual Insuranceinsurance violation2024MD-INS$8,500
Liberty Mutual Retirement Benefit PlanLiberty Mutual Insurancebenefit plan administrator violation2018private lawsuit-federal$30,000,000
Liberty National Life Insurance Co.Globe Life Inc.insurance violation2011FL-OFR$60,000
Liberty National Life Insurance CompanyGlobe Life Inc.discriminatory practices (non-employment)2006private lawsuit-federal$9,350,000
Liberty Northwest Insurance Corp.Liberty Mutual Insuranceinsurance violation2021OR-FIN$5,000
Liberty Northwest Insurance CorporationLiberty Mutual Insuranceinsurance violation2009OR-FIN$5,000
Liberty Northwest Insurance CorporationLiberty Mutual Insuranceinsurance violation2019OR-FIN$15,000
Life Insurance Company of Georgia and Southland Life Insurance CompanyPrudential PLCinsurance violation2002MULTI-FIN$4,000,000
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2014DE-INS$6,000
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2006VA-INS$5,000
Life Insurance Company Of The SouthwestNational Life Groupinsurance violation2014WA-INS$17,500
Life Insurance Company of the SouthwestNational Life Groupinsurance violation2020VA-INS$6,600
Life Investors Insurance Company of AmericaAegoninsurance violation2004FL-OFR$11,000
Life Investors Insurance Company of AmericaAegoninsurance violation2006FL-OFR$53,000
LIFE INVESTORS INSURANCE COMPANY OF AMERICAAegoninsurance violation2006VA-INS$29,000
Lincoln Financial Advisors Corp.Lincoln Nationalinvestor protection violation2013MA-SEC$100,000
Lincoln Financial Advisors Corp.Lincoln Nationalinvestor protection violation2007RI-FIN$5,000
Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2005FINRA$950,000
Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2024SEC$8,500,000
Lincoln Financial GroupLincoln Nationalinsurance violation2017NY-DFS$52,200,000
Lincoln Financial Group Trust Company, Inc.Lincoln Nationalwage and hour violation2018WHD$17,567
LINCOLN FINANCIAL SECURITIESLincoln Nationalinvestor protection violation2018VA-SEC$20,000
Lincoln Financial Securities CorporationLincoln Nationalinvestor protection violation2010TX-SEC$40,000
Lincoln Financial Securities CorporationLincoln Nationalinvestor protection violation2010VT-FIN$10,000
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors CorporationLincoln Nationalinvestor protection violation2011FINRA$600,000
Lincoln Life & Annuity Company of New YorkLincoln Nationalinsurance violation2019CT-INS$7,500
Lincoln Life & Annuity Company of New YorkLincoln Nationalinsurance violation2020NY-DFS$193,166
Lincoln Life Assurance Company of BostonLincoln Nationalinsurance violation2016MD-INS$13,200
Lincoln National Corp.Lincoln Nationalconsumer protection violation2023private lawsuit-federal$109,957,440
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2014DE-INS$27,600
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2017DE-INS$79,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2019MN-FIN$10,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2020MO-INS$15,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2021DE-INS$91,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2021WA-INS$10,000
Lincoln National Life Insurance Co. and Lincoln Financial GroupLincoln Nationalinsurance violation2013MN-FIN$150,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2013MULTI-AG$12,600,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2015NJ-DBI$10,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2016OR-FIN$15,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2016TX-INS$100,000
Lincoln National life Insurance CompanyLincoln Nationalinsurance violation2011UT-INS$6,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2019WA-INS$100,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2005MULTI-FIN$264,079
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2020VA-INS$7,800
Lincoln National Life Insurance Company TheLincoln Nationalinsurance violation2020WA-INS$8,000
Litton Loan ServicingOcwen Financialconsumer protection violation2010MD-FIN$71,000
LITTON LOAN SERVICING LPOcwen Financialenvironmental violation2010OR-ENV$7,125
Litton Loan Servicing LPOcwen Financialconsumer protection violation2016private lawsuit-federal$4,121,000
Lloyds Banking Group plcLloyds Banking Groupprice-fixing or anti-competitive practices2014DOJ_CRIMINAL$86,000,000
Lloyds Banking Group plcLloyds Banking Groupprice-fixing or anti-competitive practices2014CFTC$105,000,000
Lloyds Banking Group plcLloyds Banking Groupprice-fixing or anti-competitive practices2023private lawsuit-federal$25,250,000
Lloyds TSB Bank PLCLloyds Banking Groupeconomic sanction violation2009DOJ_CRIMINAL$175,000,000
Lloyds TSB Bank plcLloyds Banking Groupeconomic sanction violation2009NY-MANDA$175,000,000
LM General Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2015MD-INS$8,000
LM General Insurance CompanyLiberty Mutual Insuranceinsurance violation2019UT-INS$70,000
LM Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$40,000
LM Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$11,500
LM Insurance Corp.Liberty Mutual Insuranceinsurance violation2023TX-INS$11,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2010TX-INS$30,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2011TX-INS$18,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2012TX-INS$62,500
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2014TX-INS$5,325
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2014TX-INS$56,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$70,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$6,500
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$6,300
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2018TX-INS$10,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2018TX-INS$42,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2019WA-INS$25,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$28,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2023TX-INS$7,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2024TX-INS$24,000
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusair pollution violation2016IN-ENV$8,750
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.