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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,660,984,318
Number of Records: 7,055
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$83,124,221,356268
JPMorgan Chase$36,129,269,434222
Citigroup$25,540,655,365157
Wells Fargo$22,081,446,244228
Deutsche Bank$18,341,457,30276
UBS$16,880,243,334103
Goldman Sachs$16,399,475,84887
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,154,369,73321
Credit Suisse$10,732,400,12649

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
American Modern Home Insurance CompanyMunich Reinsurance violation2017WA-INS$5,000
American Modern Home Insurance CompanyMunich Reinsurance violation2017MULTI-FIN$255,000
American Modern Home Insurance Co.Munich Reinsurance violation2010MD-INS$5,000
American Modern Home Insurance Co.Munich Reinsurance violation2015MO-INS$10,000
American Memorial Life Insurance CompanyAssurantinsurance violation2016SD-INS$5,000
American Memorial Life Insurance CompanyAssurantinsurance violation2021WA-INS$20,000
American International Specialty Lines Insurance Co.American International Groupinsurance violation2005NJ-DBI$13,000
American International Insurance Group Inc.American International Groupinsurance violation2008PA-INS$9,125,400
American International Insurance Co. and AIG National Insurance Company, Inc.American International Groupinsurance violation2003FL-OFR$66,750
American International Group, Inc.American International Groupaccounting fraud or deficiencies2006DOJ_CRIMINAL$25,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2004DOJ_CRIMINAL$80,000,000
American International Group, Inc.American International Groupinvestor protection violation2006SEC$800,000,000
American International Group, Inc.American International Groupinvestor protection violation2004SEC$46,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2003SEC$10,000,000
American International Group, Inc.American International Groupbenefit plan administrator violation2015private lawsuit-federal$40,000,000
American International Group, Inc.American International Groupbenefit plan administrator violation2008private lawsuit-federal$24,200,000
American International Group, Inc.American International Groupprice-fixing or anti-competitive practices2008MULTI-AG$12,500,000
American International Group, Inc.American International Grouptax violations2006MI-AG$5,279,484
American International Group, Inc.American International Groupeconomic sanction violation2014OFAC$279,038
American International Group Inc.American International Groupinvestor protection violation2010OR-AG$8,000,000
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLANAmerican International Groupbenefit plan administrator violation2005EBSA$50,001
American International Group et al.American International Groupinsurance violation2002CA-INS$411,500
American International GroupAmerican International Groupeconomic sanction violation2017OFAC$148,698
American International GroupAmerican International Groupwage and hour violation2009MA-AG$900,000
American International GroupAmerican International GroupFalse Claims Act and related2008MA-AG$218,920
American International GroupAmerican International GroupFalse Claims Act and related2007MA-AG$58,500,000
American International GroupAmerican International Groupprice-fixing or anti-competitive practices2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,619,000,000
American International GroupAmerican International Groupinvestor protection violation2010OH-AG$725,000,000
American International GroupAmerican International Groupprice-fixing or anti-competitive practices2010OH-AG$9,000,000
American International GroupAmerican International Groupinsurance violation2010MULTI-FIN$146,500,000
American International GroupAmerican International Groupinsurance violation2012MULTI-FIN$11,000,000
American International GroupAmerican International Groupinsurance violation2021NY-DFS$12,000,000
AMERICAN INTERNATIONAL GROUPAmerican International Groupworkplace safety or health violation2003OSHA$5,900
American Income Life Insurance CompanyGlobe Life Inc.insurance violation2013WA-INS$75,000
American Income Life Insurance CompanyGlobe Life Inc.insurance violation2020VA-INS$18,000
American Income Life Insurance Co.Globe Life Inc.insurance violation2002MS-INS$50,000
American Income Life Insurance Co.Globe Life Inc.insurance violation2019MT-INS$15,000
AMERICAN HOME ASSURANCE ET AL.American International Groupinsurance violation2007VA-INS$5,000
American Home Assurance Company et al.American International Groupinsurance violation2010TX-INS$650,000
American Home Assurance CompanyAmerican International Groupinsurance violation2002MA-INS$64,546
American Home Assurance CompanyAmerican International Groupinsurance violation2003MA-INS$12,500
American Home Assurance CompanyAmerican International Groupinsurance violation2007OR-FIN$10,000
American Home Assurance CompanyAmerican International Groupconsumer protection violation2012OR-FIN$20,000
American Home Assurance CompanyAmerican International Groupinsurance violation2009TX-INS$22,500
American Home Assurance CompanyAmerican International Groupinsurance violation2013TX-INS$5,500
American Home Assurance CompanyAmerican International Groupinsurance violation2014TX-INS$7,848
American Home Assurance CompanyAmerican International Groupinsurance violation2015TX-INS$90,000
American Home Assurance CompanyAmerican International Groupinsurance violation2016TX-INS$20,000
American Home Assurance CompanyAmerican International Groupinsurance violation2016TX-INS$9,000
American Home Assurance Co. et al.American International Groupinsurance violation2015MO-INS$1,250,000
American Home Assurance Co.American International Groupinsurance violation2007FL-OFR$25,500
American Home Assurance Co.American International Groupinsurance violation2010ME-INS$11,111
American Home Assurance Co.American International Groupinsurance violation2012TX-INS$20,784
AMERICAN HOME ASSURANCE CO.American International Groupinsurance violation2012VA-INS$15,000
American Heritage Life Insurance Co.Allstateconsumer protection violation2007TX-AG$1,700,000
American Heritage Life Insurance Co.Allstateinsurance violation2000FL-OFR$12,750
American Heritage Life Insurance Co.Allstateinsurance violation2011FL-OFR$28,000
AMERICAN HERITAGE LIFE INSURANCE COAllstateinsurance violation2002VA-INS$15,000
AMERICAN HERITAGE LIFE INSURANCE COAllstateinsurance violation2006VA-INS$18,000
AMERICAN HEALTH AND LIFE INSURANCE COMPANYOneMain Holdingsinsurance violation2021MO-INS$7,500
American Health and Life Insurance Co.OneMain Holdingsinsurance violation2019LA-INS$11,000
AMERICAN HEALTH & LIFE INSURANCE COOneMain Holdingsinsurance violation2005VA-INS$7,000
American Guarantee and Liability Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$11,000
American Guarantee and Liability Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$6,000
American Guarantee and Liability Insurance CompanyZurich Insuranceinsurance violation2011VA-INS$5,000
American Guarantee and Liability Insurance CompanyZurich Insuranceinsurance violation2020CT-INS$10,000
American Guarantee and Liability Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$10,850
American Guarantee & Liability Insurance Company et al.Zurich Insuranceinsurance violation2013WA-INS$50,000
American Guarantee & Liability Insurance CompanyZurich Insuranceinsurance violation2010TX-INS$30,000
American General Life Insurance Company of DelawareAmerican International Groupinsurance violation2012WI-INS$40,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020MA-AG$363,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020RI-FIN$25,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2014SD-INS$15,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020WA-INS$10,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020CT-INS$10,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2021DE-INS$106,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2021MD-INS$32,250
American General Life Insurance CompanyAmerican International Groupinsurance violation2021WA-INS$10,000
American General Life Insurance Co.American International Groupinsurance violation2019DE-INS$85,000
American General Life Insurance Co.American International Groupinsurance violation2008FL-OFR$260,000
American General Life Insurance Co.American International Groupinsurance violation2018FL-OFR$210,000
American General Life Insurance Co.American International Groupinsurance violation2016KS-INS$15,000
American General Life Insurance Co.American International Groupinsurance violation2015MN-FIN$10,000
American General Life Insurance Co.American International Groupinsurance violation2022MO-INS$117,300
American General Life InsuranceAmerican International Groupdiscriminatory practices (non-employment)2000private lawsuit-federal$214,000,000
American General Life and Accident Insurance Co.American International Groupinsurance violation2006FL-OFR$1,568,324
American General Life and Accident Insurance Co.American International Groupinsurance violation2000KS-INS$23,400
American General Life and Accident Insurance Co.American International Groupinsurance violation2011MD-INS$7,000
AMERICAN GENERAL LIFEAmerican International Groupinsurance violation2001VA-INS$14,000
American General Financial Services, Inc.OneMain Holdingsconsumer protection violation2008NE-DBF$30,000
American General Financial Services Inc.OneMain Holdingsinsurance violation2004NJ-DBI$1,200,000
American General Financial Services Inc.OneMain Holdingsprivacy violation2010OR-FIN$75,000
American General Financial ServicesOneMain Holdingsconsumer protection violation2009WA-FIN$74,984
American General Finance Management CorporationOneMain Holdingswage and hour violation2011private lawsuit-federal$1,700,000
American GeneralAmerican International Groupinsurance violation2000MULTI-FIN$7,500,000
American Fire and Casualty Company and Ohio Security Insurance CompanyLiberty Mutual Insuranceinsurance violation2019VA-INS$148,910
American Fire and Casualty CoLiberty Mutual Insuranceinsurance violation2016TX-INS$20,000
American Fire & Casualty CompanyLiberty Mutual Insuranceinsurance violation2021MO-INS$64,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2011WA-INS$20,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2013WA-INS$10,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2015WA-INS$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.