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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,479,735,000115
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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
USAA Casualty Insurance Co.USAAinsurance violation2021CT-INS$36,500
USAA CASUALTY INSURANCE CO ET AL.USAAinsurance violation2018VA-INS$4,396,720
USAA Casualty Insurance and United Services Auto AssociationUSAAinsurance violation2003NJ-DBI$6,200,000
USAAUSAAwage and hour violation2008private lawsuit-federal$738,423
USAAUSAAinsurance violation2002OH-INS$30,000
US Bank NAU.S. Bancorpconsumer protection violation2003NY-AG$33,500
US BANKU.S. Bancorpwage and hour violation2014IL-DOL$131,922
US BankU.S. Bancorpprivacy violation2000MULTI-AG$2,000,000
US BankU.S. Bancorphousing code violation2016CA-LACA$13,500,000
US Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2001ND-SEC$23,250
US Bancorp Investments, Inc.U.S. Bancorpinvestor protection violation2010FINRA$275,000
US BancorpU.S. Bancorpbanking violation2018FED$15,000,000
UnumProvident CorporationUnumconsumer protection violation2006NY-AG$17,400,000
UnumProvident CorporationUnumconsumer protection violation2004MULTI-AG$15,000,000
UnumProvident Corp. et al.Unuminsurance violation2006CA-INS$700,000
Unum Life Insurance Company of America et al.Unuminsurance violation2005CA-INS$8,598,503
UNUM Life Insurance Company of AmericaUnumbenefit plan administrator violation2010private lawsuit-federal$5,000,000
Unum Life Insurance Company of AmericaUnuminsurance violation2014CA-INS$25,000
Unum Life Insurance Company of AmericaUnuminsurance violation2012MD-INS$19,000
Unum Life Insurance Company of AmericaUnuminsurance violation2015MD-INS$35,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2010WA-INS$7,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2011WA-INS$75,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2018WA-INS$7,000
UNUM Life Insurance Company of AmericaUnuminsurance violation2021CT-INS$12,500
UNUM LIFE INSURANCE COMPANYUnuminsurance violation2003VA-INS$14,000
Unum Life Insurance Co.UnumFalse Claims Act and related2005MA-AG$650,000
Unum Insurance Co.Unumkickbacks and bribery2008CA-MULTI$250,000
UNUM GROUP CORPORATIONUnumworkplace safety or health violation2011OSHA$5,400
Unum GroupUnumkickbacks and bribery2008USAO$5,550,000
UNUMUnumwage and hour violation2011WA-DLI$15,070
Univest Corporation of PennsylvaniaUnivest FinancialFamily and Medical Leave Act2016WHD$5,076
Universal Underwriters Service Corp.Zurich Insuranceinsurance violation2008WI-INS$10,000
Universal Underwriters Life Insurance CompanyZurich Insuranceinsurance violation2006VA-INS$24,000
Universal Underwriters Life Insurance Co.Zurich Insuranceconsumer protection violation2008TX-AG$2,400,000
Universal Underwriters Insurance CompanyZurich Insuranceinsurance violation2006IN-INS$948,240
Universal Underwriters Insurance CompanyZurich Insuranceinsurance violation2007NH-INS$28,125
Universal Underwriters Insurance Co.Zurich Insuranceinsurance violation2007MO-INS$6,530
Universal Underwriter Insurance Co.Zurich Insuranceinsurance violation2004MN-FIN$200,000
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2004FL-OFR$47,500
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2009FL-OFR$99,000
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2013FL-OFR$1,260,000
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2022MN-FIN$10,000
Unitrin Inc.Kemperinsurance violation2002MULTI-FIN$33,000,000
Unitrin Direct Property & Casualty CompanyKemperinsurance violation2021TX-INS$7,500
Unitrin Direct Property & Casualty Co. et al.Kemperinsurance violation2015MD-INS$5,000
Unitrin Direct Property & Casualty Co.Kemperinsurance violation2013AZ-DIFI$18,000
Unitrin Direct Insurance Co.Kemperinsurance violation2013AZ-DIFI$9,000
Unitrin County Mutual Insurance CompanyKemperinsurance violation2016TX-INS$10,000
Unitrin County Mutual Insurance CompanyKemperinsurance violation2018TX-INS$25,000
Unitrin County Mutual Insurance CompanyKemperinsurance violation2020TX-INS$80,000
Unitrin Auto And Home Insurance CompanyKemperinsurance violation2012WA-INS$15,000
Unitrin Auto And Home Insurance CompanyKemperinsurance violation2014WA-INS$20,000
Unitrin Auto And Home Insurance CompanyKemperinsurance violation2016WA-INS$20,000
Unitrin Auto and Home Insurance Co.Kemperinsurance violation2006CO-INS$7,500
United Wisconsin Insurance Co.AF Groupinsurance violation2018MO-INS$5,000
United States Life Insurance Company in the City of New YorkAmerican International Groupconsumer protection violation2011MA-AG$760,000
United States Life Insurance Company In the City of New YorkAmerican International Groupinsurance violation2011MD-INS$5,000
United States Life Insurance Company In the City of New YorkAmerican International Groupinsurance violation2014MD-INS$25,000
United States Life Insurance Company in the City of New YorkAmerican International Groupinsurance violation2017NY-DFS$873,918
United States Life Insurance Company in the City of New YorkAmerican International Groupinsurance violation2006OR-FIN$20,000
United States Fire Insurance Company of PlanoFairfax Financial Holdingsinsurance violation2009TX-INS$10,500
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2018NE-DOI$7,500
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2013NJ-DBI$90,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2014NY-DFS$190,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2012SC-INS$10,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2016UT-INS$172,250
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017UT-INS$67,500
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2019VA-INS$5,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2013WA-INS$15,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2016WA-INS$25,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017WA-INS$10,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017MULTI-FIN$1,914,370
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2020OR-FIN$50,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2022RI-FIN$10,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2022PA-INS$25,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2012CO-INS$111,500
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2014DE-INS$10,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2018MD-INS$7,500
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2014MN-FIN$10,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2015MO-INS$23,500
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2016MO-INS$444,000
United States Fire Insurance Co.Fairfax Financial Holdingsconsumer protection violation2021CO-AG$50,000
UNITED STATES FIRE INSURANCE COFairfax Financial Holdingsinsurance violation2017VA-INS$25,000
United States Fidelity and Guaranty CompanyTravelersinsurance violation2014TX-INS$13,307
United States Fidelity and Guaranty Co.TravelersFalse Claims Act and related2010MA-AG$2,925,000
United States Fidelity & GuarantyTravelersFalse Claims Act and related2007CT-AG$17,500,000
United Services Automobile Association et al.USAAinsurance violation2016DE-INS$34,000
United Services Automobile Association et al.USAAinsurance violation2007MO-INS$6,000
United Services Automobile Association et al.USAAinsurance violation2018TX-INS$40,000
UNITED SERVICES AUTOMOBILE ASSOCIATION ET AL.USAAinsurance violation2017VA-INS$182,209
United Services Automobile Association et al.USAAinsurance violation2021VA-INS$10,000
United Services Automobile Association et al.USAAconsumer protection violation2022VA-INS$71,358
UNITED SERVICES AUTOMOBILE ASSOCIATION et a.USAAinsurance violation2022WA-INS$50,000
United Services Automobile Association (USAA)USAAinsurance violation2017VT-FIN$85,000
United Services Automobile AssociationUSAAdiscriminatory practices (non-employment)2014MA-AG$50,000
United Services Automobile AssociationUSAAconsumer protection violation2010MA-AG$25,000
United Services Automobile AssociationUSAAconsumer protection violation2010MA-AG$2,300,000
United Services Automobile AssociationUSAAinsurance violation2001KS-INS$5,000
United Services Automobile AssociationUSAAinsurance violation2018OR-FIN$6,200
United Services Automobile AssociationUSAAinsurance violation2011SC-INS$8,000
United Services Automobile AssociationUSAAinsurance violation2006VA-INS$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.