Violation Tracker

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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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 Companies	Total Penalty $	Number of Records
Bank of America	$87,286,650,890	328
JPMorgan Chase	$39,340,688,209	275
UBS	$31,069,299,125	179
Wells Fargo	$27,616,269,231	266
Citigroup	$26,945,611,792	181
Deutsche Bank	$20,011,467,563	99
Goldman Sachs	$17,729,358,987	111
NatWest Group PLC	$14,370,701,618	43
Morgan Stanley	$10,780,502,443	203
BNP Paribas	$10,363,464,666	23

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	Current Parent	Primary Offense Type	Year	Agency	Penalty Amount
United States Fire Insurance Company	Fairfax Financial Holdings	insurance violation	2023	OR-FIN	$25,000
United States Fire Insurance Company of Plano	Fairfax Financial Holdings	insurance violation	2009	TX-INS	$10,500
United States Life Insurance Company in the City of New York	American International Group	consumer protection violation	2011	MA-AG	$760,000
United States Life Insurance Company In the City of New York	American International Group	insurance violation	2011	MD-INS	$5,000
United States Life Insurance Company In the City of New York	American International Group	insurance violation	2014	MD-INS	$25,000
United States Life Insurance Company in the City of New York	American International Group	insurance violation	2017	NY-DFS	$873,918
United States Life Insurance Company in the City of New York	American International Group	insurance violation	2006	OR-FIN	$20,000
United Wisconsin Insurance Co.	AF Group	insurance violation	2018	MO-INS	$5,000
United Wisconsin Insurance Co.	AF Group	insurance violation	2023	TX-INS	$5,000
Unitrin Auto and Home Insurance Co.	Kemper	insurance violation	2006	CO-INS	$7,500
Unitrin Auto And Home Insurance Company	Kemper	insurance violation	2012	WA-INS	$15,000
Unitrin Auto And Home Insurance Company	Kemper	insurance violation	2014	WA-INS	$20,000
Unitrin Auto And Home Insurance Company	Kemper	insurance violation	2016	WA-INS	$20,000
Unitrin County Mutual Insurance Company	Kemper	insurance violation	2016	TX-INS	$10,000
Unitrin County Mutual Insurance Company	Kemper	insurance violation	2018	TX-INS	$25,000
Unitrin County Mutual Insurance Company	Kemper	insurance violation	2020	TX-INS	$80,000
Unitrin Direct Insurance Co.	Kemper	insurance violation	2013	AZ-DIFI	$9,000
Unitrin Direct Property & Casualty Co.	Kemper	insurance violation	2013	AZ-DIFI	$18,000
Unitrin Direct Property & Casualty Co. et al.	Kemper	insurance violation	2015	MD-INS	$5,000
Unitrin Direct Property & Casualty Company	Kemper	insurance violation	2021	TX-INS	$7,500
Unitrin Inc.	Kemper	insurance violation	2002	MULTI-FIN	$33,000,000
Universal Property & Casualty Insurance Co.	Universal Insurance Holdings	insurance violation	2004	FL-OFR	$47,500
Universal Property & Casualty Insurance Co.	Universal Insurance Holdings	insurance violation	2009	FL-OFR	$99,000
Universal Property & Casualty Insurance Co.	Universal Insurance Holdings	insurance violation	2013	FL-OFR	$1,260,000
Universal Property & Casualty Insurance Co.	Universal Insurance Holdings	insurance violation	2022	MN-FIN	$10,000
Universal Underwriter Insurance Co.	Zurich Insurance	insurance violation	2004	MN-FIN	$200,000
Universal Underwriters Insurance Co.	Zurich Insurance	insurance violation	2007	MO-INS	$6,530
Universal Underwriters Insurance Company	Zurich Insurance	insurance violation	2006	IN-INS	$948,240
Universal Underwriters Insurance Company	Zurich Insurance	insurance violation	2007	NH-INS	$28,125
Universal Underwriters Life Insurance Co.	Zurich Insurance	consumer protection violation	2008	TX-AG	$2,400,000
Universal Underwriters Life Insurance Company	Zurich Insurance	insurance violation	2006	VA-INS	$24,000
Universal Underwriters Service Corp.	Zurich Insurance	insurance violation	2008	WI-INS	$10,000
Univest Corporation of Pennsylvania	Univest Financial	Family and Medical Leave Act	2016	WHD	$5,076
UNUM	Unum	wage and hour violation	2011	WA-DLI	$15,070
Unum Group	Unum	kickbacks and bribery	2008	USAO	$5,550,000
UNUM GROUP CORPORATION	Unum	workplace safety or health violation	2011	OSHA	$5,400
Unum Insurance Co.	Unum	kickbacks and bribery	2008	CA-MULTI	$250,000
Unum Life Insurance Co.	Unum	False Claims Act and related	2005	MA-AG	$650,000
UNUM LIFE INSURANCE COMPANY	Unum	insurance violation	2003	VA-INS	$14,000
UNUM Life Insurance Company of America	Unum	benefit plan administrator violation	2010	private lawsuit-federal	$5,000,000
Unum Life Insurance Company of America	Unum	insurance violation	2014	CA-INS	$25,000
Unum Life Insurance Company of America	Unum	insurance violation	2012	MD-INS	$19,000
Unum Life Insurance Company of America	Unum	insurance violation	2015	MD-INS	$35,000
Unum Life Insurance Company Of America	Unum	insurance violation	2010	WA-INS	$7,000
Unum Life Insurance Company Of America	Unum	insurance violation	2011	WA-INS	$75,000
Unum Life Insurance Company Of America	Unum	insurance violation	2018	WA-INS	$7,000
UNUM Life Insurance Company of America	Unum	insurance violation	2021	CT-INS	$12,500
Unum Life Insurance Company of America	Unum	consumer protection violation	2016	private lawsuit-federal	$45,998,014
Unum Life Insurance Company of America et al.	Unum	insurance violation	2005	CA-INS	$8,598,503
UnumProvident Corp. et al.	Unum	insurance violation	2006	CA-INS	$700,000
UnumProvident Corporation	Unum	consumer protection violation	2006	NY-AG	$17,400,000
UnumProvident Corporation	Unum	consumer protection violation	2004	MULTI-AG	$15,000,000
US Bancorp	U.S. Bancorp	banking violation	2018	FED	$15,000,000
US Bancorp Investments, Inc.	U.S. Bancorp	investor protection violation	2010	FINRA	$275,000
US Bancorp Piper Jaffray Inc.	Piper Sandler	investor protection violation	2001	ND-SEC	$23,250
US BANK	U.S. Bancorp	wage and hour violation	2014	IL-DOL	$131,922
US Bank	U.S. Bancorp	privacy violation	2000	MULTI-AG	$2,000,000
US Bank	U.S. Bancorp	housing code violation	2016	CA-LACA	$13,500,000
US Bank N.A.	U.S. Bancorp	consumer protection violation	2014	private lawsuit-federal	$55,000,000
US Bank NA	U.S. Bancorp	consumer protection violation	2003	NY-AG	$33,500
USAA	USAA	wage and hour violation	2008	private lawsuit-federal	$738,423
USAA	USAA	insurance violation	2002	OH-INS	$30,000
USAA Casualty Insurance and United Services Auto Association	USAA	insurance violation	2003	NJ-DBI	$6,200,000
USAA CASUALTY INSURANCE CO ET AL.	USAA	insurance violation	2018	VA-INS	$4,396,720
USAA Casualty Insurance Co.	USAA	insurance violation	2014	MN-FIN	$5,000
USAA Casualty Insurance Co.	USAA	insurance violation	2015	MN-FIN	$50,000
USAA Casualty Insurance Co.	USAA	insurance violation	2010	SC-INS	$7,000
USAA Casualty Insurance Co.	USAA	insurance violation	2020	OR-FIN	$50,000
USAA Casualty Insurance Co.	USAA	insurance violation	2021	CT-INS	$36,500
USAA Casualty Insurance Co. et al.	USAA	insurance violation	2014	MD-INS	$5,000
USAA Casualty Insurance Company	USAA	insurance violation	2019	RI-FIN	$8,000
USAA Casualty Insurance Company	USAA	insurance violation	2020	RI-FIN	$12,000
USAA Casualty Insurance Company	USAA	consumer protection violation	2023	private lawsuit-federal	$2,291,738
USAA Casualty Insurance Company et al.	USAA	insurance violation	2021	NH-INS	$25,000
USAA Casualty Insurance Company et al.	USAA	insurance violation	2021	KS-INS	$5,000
USAA Federal Savings Bank	USAA	consumer protection violation	2019	CFPB	$15,500,000
USAA Federal Savings Bank	USAA	consumer protection violation	2003	NY-AG	$33,500
USAA Federal Savings Bank	USAA	banking violation	2020	OCC	$85,000,000
USAA Federal Savings Bank	USAA	banking violation	2020	OCC	$382,500
USAA Federal Savings Bank	USAA	anti-money-laundering deficiencies	2022	OCC	$60,000,000
USAA Federal Savings Bank	USAA	anti-money-laundering deficiencies	2022	FINCEN	$80,000,000
USAA General Indemnity Co. et al.	USAA	insurance violation	2020	MD-INS	$67,500
USAA General Indemnity Company	USAA	insurance violation	2018	OR-FIN	$5,000
USAA General Indemnity Company	USAA	insurance violation	2016	RI-FIN	$15,000
USAA General Indemnity Company	USAA	insurance violation	2023	OR-FIN	$50,200
USAA General Indemnity Company et al.	USAA	insurance violation	2023	MD-INS	$45,900
USAA Indemnity Co.	USAA	insurance violation	2021	CT-INS	$32,500
USAA Insurance	USAA	labor relations violation	2005	NLRB	$125,361
USAA Life Insurance Co.	USAA	insurance violation	2007	FL-OFR	$22,500
USAA Life Insurance Co.	USAA	insurance violation	2009	FL-OFR	$50,000
USAA Life Insurance Co.	USAA	insurance violation	2014	MD-INS	$9,000
USAA Life Insurance Company of New York	USAA	insurance violation	2016	NY-DFS	$10,000
USAllianz Securities	Allianz	investor protection violation	2006	FINRA	$5,000,000
UVEST Financial Services Group, Inc.	LPL Financial	investor protection violation	2013	MULTI-FIN	$750,000
VALIC Financial Advisors Inc.	American International Group	investor protection violation	2020	SEC	$39,900,000
VALIC Financial Advisors, Inc.	American International Group	investor protection violation	2016	FINRA	$1,750,000
Valley Forge Life Insurance Company	Prudential PLC	insurance violation	2001	MA-INS	$11,600
Valley Forge Life Insurance Company	Prudential PLC	insurance violation	2002	MA-INS	$24,500
Vanguard Advisers Inc.	Vanguard Group	investor protection violation	2017	PA-BKG	$23,480
Vanguard Group	Vanguard Group	employment discrimination	2010	EEOC	$300,000
Vanguard Group, Inc.	Vanguard Group	employment discrimination	2008	EEOC	$500,000