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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
The Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2019NY-DFS$455,584
The Phoenix Insurance CompanyTravelersinsurance violation2014TX-INS$10,628
The Phoenix Insurance CompanyTravelersinsurance violation2019TX-INS$6,000
The Prudential Insurance Company of AmericaPrudential Financiallabor relations violation2018NLRB$17,842
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006CA-INS$700,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2011MD-INS$75,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006MN-FIN$5,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2013MN-FIN$1,000,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2006MO-INS$7,373
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2015MT-FIN$5,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2019NY-DFS$49,020
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2020OR-FIN$25,000
THE RICHLAND TRUST COMPANYPark National Corp.banking violation2006FDIC$11,100
THE ROYAL BANK OF SCOTLAND GROUP PLCNatWest Group PLCbanking violation2013FED$50,000,000
The Signal, LP, an Assurant CompanyAssurantinsurance violation2020NY-DFS$2,800,000
The Standard Fire Insurance Co.Travelersinsurance violation2015MD-INS$8,000
The Standard Fire Insurance Co.Travelersinsurance violation2015MD-INS$10,000
The Standard Fire Insurance CompanyTravelersinsurance violation2014TX-INS$9,795
The Standard Fire Insurance CompanyTravelersinsurance violation2016TX-INS$5,000
The Standard Fire Insurance CompanyTravelersinsurance violation2018TX-INS$27,855
The Standard Insurance Co.Meiji Yasuda Life Insuranceinsurance violation2020CT-INS$7,500
The Tokio Marine and Fire Insurance Company, Ltd. and Trans Pacific Insurance Co.Tokio Marineinsurance violation2003CA-INS$42,500
The Travelers Home and Marine Insurance Co.Travelersinsurance violation2016MN-FIN$15,000
The Travelers Indemnity Co.Travelersinsurance violation2019MN-FIN$10,000
The Travelers Indemnity Co. et al.Travelersinsurance violation2010KS-INS$10,000
THE TRAVELERS INDEMNITY CO. et al.Travelersinsurance violation2009VA-INS$7,000
The Travelers Indemnity Co. of ConnecticutTravelersinsurance violation2016TX-INS$18,000
The Travelers Indemnity CompanyTravelerswage and hour violation2009WHD$21,283
The Travelers Indemnity CompanyTravelersinsurance violation2014TX-INS$19,442
The Travelers Indemnity CompanyTravelersinsurance violation2014TX-INS$11,500
The Travelers Indemnity CompanyTravelersinsurance violation2015TX-INS$10,000
The Travelers Indemnity CompanyTravelersinsurance violation2015TX-INS$7,500
The Travelers Indemnity CompanyTravelersinsurance violation2016TX-INS$9,000
The Travelers Indemnity CompanyTravelersinsurance violation2018TX-INS$7,500
The Travelers Indemnity CompanyTravelersprivacy violation2024NY-AG$1,550,000
The Travelers Indemnity Company of America et al.Travelersinsurance violation2020DE-INS$6,000
The Travelers Indemnity Company of America et al.Travelersinsurance violation2014MD-INS$55,000
The Travelers Indemnity Company of America et al.Travelersinsurance violation2014MD-INS$20,400
The Travelers Indemnity Company of ConnecticutTravelersinsurance violation2016TX-INS$7,000
The Travelers Indemnity Company of ConnecticutTravelersinsurance violation2018TX-INS$20,000
The Travelers Indemnity Company ofAmericaTravelersinsurance violation2020VA-INS$49,500
The United States Life Insurance CompanyAmerican International Groupinsurance violation2019NY-DFS$171,902
The United States Life Insurance Company In the City of New YorkAmerican International Groupinsurance violation2012MD-INS$75,000
THEO. DAVIS SONS, INCORPORATEDChatham Asset Managementworkplace safety or health violation2013OSHA$6,750
Thomas Weisel PartnersStifel Financialinvestor protection violation2005FINRA$1,750,000
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2004SEC$12,500,000
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2006CT-SEC$52,480
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2005MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
Thomas Weisel Partners, LLCStifel Financialinvestor protection violation2008FINRA$200,000
Thrivent Financial For LutheransThrivent Financialinsurance violation2012MD-INS$8,000
Thrivent Financial for LutheransThrivent Financialinsurance violation2013WI-INS$5,000
Thrivent Investment Management Inc.Thrivent Financialinvestor protection violation2020IL-SEC$400,000
TIAATIAAwage and hour violation2005WHD$327,168
TIAA - CREFTIAAwage and hour violation2006WHD$468,336
TIAA Bank, FSBTIAAwage and hour violation2020private lawsuit-federal$3,500,000
TIAA-CREFTIAAlabor relations violation2016NLRB$304,216
TIAA-CREFTIAAaviation safety violation2015FAA$7,500
TIAA-CREFTIAAbenefit plan administrator violation2014private lawsuit-federal$22,800,000
TIAA-CREF Individual & Institutional Services LLCTIAAaccounting fraud or deficiencies2021SEC$97,000,000
TIAA-CREF Individual & Institutional Services LLCTIAAinvestor protection violation2024SEC$2,200,000
TIAA-CREF Individual & Institutional Services, LLCTIAAinvestor protection violation2019SEC$2,395,722
TIAA-CREF Individual & Institutional Services, LLCTIAAbenefit plan administrator violation2021NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $97,000,000
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2016NY-DFS$29,325
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2016NY-DFS$139,940
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2013MULTI-FIN$6,200,000
Ticor Title CompanyFidelity National Financialinsurance violation2015WA-INS$5,000
Ticor Title CompanyFidelity National Financialinsurance violation2017WA-INS$6,000
Ticor Title CompanyFidelity National Financialinsurance violation2018WA-INS$10,000
Ticor Title CompanyFidelity National Financialinsurance violation2019WA-INS$5,000
Ticor Title Company of CaliforniaFidelity National Financialinsurance violation2018CA-INS$6,000
Ticor Title Company of CaliforniaFidelity National Financialwage and hour violation2022CA-LCO$32,017
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2009IN-INS$10,850
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2009MO-INS$20,725
Ticor Title Insurance CompanyFidelity National Financialinsurance violation2007OR-FIN$6,000
Time Insurance Co.Haven Holdingsinsurance violation2013AZ-DIFI$60,000
Time Insurance Co.Haven Holdingsinsurance violation2009CO-INS$103,500
Time Insurance Co.Haven Holdingsinsurance violation2010FL-OFR$23,000
Time Insurance Co.Haven Holdingsinsurance violation2014ID-INS$5,000
Time Insurance Co.Haven Holdingsinsurance violation2014MD-INS$25,000
Time Insurance Co.Haven Holdingsinsurance violation2008MN-FIN$7,500
Time Insurance Co.Haven Holdingsinsurance violation2019MN-FIN$5,000
Time Insurance Co.Haven Holdingsinsurance violation2010MT-FIN$50,000
Time Insurance Co.Haven Holdingsinsurance violation2010WI-INS$280,000
Time Insurance Co. and John Alden Life Insurance Co. and Union Securitiy Insurance Co.Haven Holdingsinsurance violation2012IN-INS$2,950,000
Time Insurance Co. et al.Haven Holdingsinsurance violation2013MO-INS$1,000,000
Time Insurance CompanyHaven Holdingsconsumer protection violation2007MA-AG$16,000
Time Insurance CompanyHaven Holdingsinsurance violation2013NC-INS$524,000
Time Insurance CompanyHaven Holdingsinsurance violation2008NH-INS$450,000
Time Insurance CompanyHaven Holdingsinsurance violation2007OR-FIN$60,000
Time Insurance CompanyHaven Holdingsinsurance violation2014OR-FIN$40,000
Time Insurance CompanyHaven Holdingsinsurance violation2016OR-FIN$178,948
Time Insurance CompanyHaven Holdingsinsurance violation2016SD-INS$300,000
Time Insurance CompanyHaven Holdingsinsurance violation2018TX-INS$125,000
Time Insurance CompanyHaven Holdingsinsurance violation2018TX-INS$15,000
TIME INSURANCE COMPANYHaven Holdingsinsurance violation2014VA-INS$19,000
Time Insurance Company IiHaven Holdingsinsurance violation2015WA-INS$10,000
Titan Indemnity Co.Nationwideinsurance violation2010AZ-DIFI$20,000
Titan Indemnity Co.Nationwideinsurance violation2014DE-INS$25,000
Titan Indemnity Co. and Victoria Fire and Casualty Co.Nationwideinsurance violation2011MD-INS$20,000
Titan Indemnity Company; Victoria Fire & Casualty CompanyNationwideinsurance violation2017WA-INS$60,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.