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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 CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
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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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Zenith Insurance Co.Fairfax Financial Holdingsinsurance violation2012MO-INS$93,842
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2015MO-INS$23,500
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2016MO-INS$444,000
Seneca Ins Co. Inc.Fairfax Financial Holdingsinsurance violation2004MS-INS$5,000
Seneca Insurance Co. Inc.Fairfax Financial Holdingsinsurance violation2004MS-INS$5,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2018NE-DOI$7,500
Seneca Insurance Co.Fairfax Financial Holdingsinsurance violation2005NJ-DBI$72,256
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2013NJ-DBI$90,000
Seneca Insurance Company, Inc.Fairfax Financial Holdingsinsurance violation2013NY-DFS$50,000
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 Company of PlanoFairfax Financial Holdingsinsurance violation2009TX-INS$10,500
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2016UT-INS$172,250
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2017UT-INS$67,500
THE NORTH RIVER INSURANCE CO.Fairfax Financial Holdingsinsurance violation2009VA-INS$28,916
UNITED STATES FIRE INSURANCE COFairfax Financial Holdingsinsurance violation2017VA-INS$25,000
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 Co.Fairfax Financial Holdingsconsumer protection violation2021CO-AG$50,000
North River Insurance Company et al.Fairfax Financial Holdingsinsurance violation2021WA-INS$25,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2022RI-FIN$10,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2022PA-INS$25,000
Crum & Forster Holdings Corp.Fairfax Financial Holdingsprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2023OR-FIN$25,000
First National Bank of PennsylvaniaF.N.B. Corporationbanking violation2015OCC$180,720
First National Bank of PennsylvaniaF.N.B. Corporationconsumer protection violation2013private lawsuit-federal$3,000,000
First National Bank of PennsylvaniaF.N.B. Corporationmortgage abuses2024NC-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $13,500,000
First National Bank of PennsylvaniaF.N.B. Corporationdiscriminatory practices (non-employment)2024DOJ_RIGHTS$13,500,000
EZCORP Inc.EZCORP Inc.consumer protection violation2015CFPB$10,500,000
EZCORP, Inc.EZCORP Inc.privacy violation2008TX-AG$600,000
Everest National Insurance CompanyEverest Re Groupinsurance violation2014TX-INS$25,000
Everest National Insurance CompanyEverest Re Groupinsurance violation2019TX-INS$13,500
Everest Reinsurance CompanyEverest Re Groupinsurance violation2020MN-FIN$8,000
Everest National Insurance CompanyEverest Re Groupinsurance violation2021TX-INS$5,500
Everest National Insurance CompanyEverest Re Groupinsurance violation2023TX-INS$22,000
Everest Premier Insurance CompanyEverest Re Groupinsurance violation2023TX-INS$5,500
Everest Premier Insurance CompanyEverest Re Groupinsurance violation2023TX-INS$13,500
Erie Insurance ExchangeErie Indemnityinsurance violation2012MD-INS$50,000
Erie Insurance ExchangeErie Indemnityinsurance violation2016MD-INS$5,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2014NY-DFS$9,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2015NY-DFS$21,000
ERIE INSURANCE EXCHANGEErie Indemnityinsurance violation2003VA-INS$6,200
Erie Insurance ExchangeErie Indemnityinsurance violation2019VA-INS$1,921,784
Erie Insurance Company and Erie Insurance ExchangeErie Indemnityinsurance violation2019VA-INS$90,219
Erie Insurance Company and Erie Insurance ExchangeErie Indemnityinsurance violation2020VA-INS$19,371
Erie Insurance Company of New YorkErie Indemnityinsurance violation2021NY-DFS$22,000
Erie Insurance Company and Erie Insurance Company of New YorkErie Indemnityinsurance violation2021NY-DFS$561,900
Erie Insurance Company of New York and Erie Insurance CompanyErie Indemnityinsurance violation2022NY-DFS$19,000
Alliance Capital Management L.P.Equitable Holdingsinvestor protection violation2003SEC$250,000,000
Equitable Life & Casualty Insurance CompanyEquitable Holdingswage and hour violation2008WHD$19,445
AXA Equitable Life Insurance CompanyEquitable Holdingswage and hour violation2006WHD$29,534
AXA AdvisorsEquitable Holdingswage and hour violation2016private lawsuit-federal$2,300,000
AllianceBernsteinEquitable Holdingswage and hour violation2013private lawsuit-federal$2,980,000
AXA FinancialEquitable Holdingswage and hour violation2009private lawsuit-federal$6,500,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2012SEC$100,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2009SEC$50,000
AllianceBernstein, L.P.Equitable Holdingsinvestor protection violation2007SEC$450,000
AXA Equitable Life Insurance CompanyEquitable Holdingsbenefit plan administrator violation2011private lawsuit-federal$2,500,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2019SEC$1,134,152
Alliance Capital ManagementEquitable Holdingsinvestor protection violation2003NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $600,000,000
AXA Equitable Life Insurance CompanyEquitable Holdingsinsurance violation2012NY-AG$850,000
AllianceBernstein L.P.Equitable Holdingsinvestor protection violation2013CO-SEC$20,232
AllianceBernstein L.P.Equitable Holdingsinvestor protection violation2012DE-SEC$20,000
AXA Equitable Life Insurance Co.Equitable Holdingsinsurance violation2018DE-INS$5,000
The Equitable Life Assurance Society of the United StatesEquitable Holdingsinsurance violation2003FL-OFR$1,600,000
AXA Equitable Life Insurance Co. et al.Equitable Holdingsinsurance violation2016MN-FIN$900,000
AXA Equitable Life Insurance Co.Equitable Holdingsinsurance violation2016MN-FIN$5,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2010MO-SEC$92,015
AXA Equitable Life & Annuity Co.Equitable Holdingsinsurance violation2016MT-FIN$5,000
AXA Equitable Life Insurance CompanyEquitable Holdingsinsurance violation2010NY-DFS$1,900,000
AXA EquitableEquitable Holdingsinsurance violation2014NY-DFS$20,000,000
Equitable Life and Casualty Insurance CompanyEquitable Holdingsinsurance violation2002OR-FIN$25,000
AXA Advisors LLCEquitable Holdingsinvestor protection violation2011OR-FIN$80,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2019FINRA$772,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2015FINRA$600,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2007FINRA$2,600,000
AllianceBernstein Investments, Inc.Equitable Holdingsinvestor protection violation2007FINRA$100,000
Sanford C. Bernstein & Co.Equitable Holdingsinvestor protection violation2006FINRA$350,000
AllianceBernstein Investment Research and Management, Inc.Equitable Holdingsinvestor protection violation2005FINRA$3,984,087
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2005FINRA$900,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2004FINRA$250,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2004FINRA$250,000
Equitable Financial Life Insurance CompanyEquitable Holdingsinvestor protection violation2022SEC$50,000,000
Enova International, Inc.Enova Internationalconsumer protection violation2019CFPB$3,200,000
Enova International Inc.Enova Internationalconsumer protection violation2023CFPB$15,000,000
Asset Acceptance LLCEncore Capital Groupconsumer protection violation2012FTC$2,500,000
Encore Capital GroupEncore Capital Groupconsumer protection violation2015CFPB$52,000,000
Asset Acceptance, LLCEncore Capital GroupFamily and Medical Leave Act2014WHD$7,450
Atlantic Credit and Finance, Inc.Encore Capital Groupwage and hour violation2006WHD$9,422
Encore Capital Group Inc.Encore Capital Groupconsumer protection violation2018MULTI-AG$6,000,000
Encore Capital Group Inc., Midland Credit Management, Inc. and Midland Funding LLCEncore Capital Groupconsumer protection violation2009MD-AG$998,000
Encore Capital Group, Inc.Encore Capital Groupconsumer protection violation2015NY-AG$675,000
Midland Credit Management, Inc.Encore Capital Groupconsumer protection violation2005WV-AG$3,500,000
Midland Funding, LLCEncore Capital Groupconsumer protection violation2012MN-AG$500,000
Midland Credit Management, Inc.Encore Capital Groupconsumer protection violation2012AZ-DIFI$750,000
Encore Capital Group, Inc.Encore Capital Groupconsumer protection violation2020CFPB$15,079,308
Encore Capital Group, Inc. et al.Encore Capital Groupconsumer protection violation2022MA-AG$12,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.