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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$347,398,347,522
Number of Records: 7,169
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$83,354,221,356271
JPMorgan Chase$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
Morgan Stanley$10,167,765,234190

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 icon . Primary Offense TypeYearAgencyPenalty Amount
American Bankers Insurance Co.Assurantconsumer protection violation2006MA-AG$20,000
American Security Insurance Co.Assurantconsumer protection violation2017MA-AG$6,300,000
American Security Insurance Co.Assurantconsumer protection violation2015MA-AG$565,000
American Security Insurance Co.Assurantconsumer protection violation2019MS-AG$767,394
Resource Life Insurance Co.Assurantconsumer protection violation2010TX-AG$2,600,000
Union Security Insurance CompanyAssurantconsumer protection violation2007MA-AG$28,000
Union Security Life Insurance CoAssurantconsumer protection violation2000MA-AG$1,000,000
American Security Insurance CompanyAssurantemployment discrimination2020EEOC$49,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2011AZ-DIFI$36,000
John Alden Life Insurance Co.Assurantinsurance violation2013AZ-DIFI$90,000
Union Security Insurance Co.Assurantinsurance violation2013AZ-DIFI$40,000
American Bankers Insurance Company of Florida et al.Assurantinsurance violation2004CA-INS$150,000
American Bankers Insurance Company of Florida et al.Assurantinsurance violation2005CA-INS$250,000
American Bankers Life Assurance Company of Florida et al.Assurantinsurance violation2008CA-INS$750,000
John Alden Life Insurance Co.Assurantinsurance violation2012CO-INS$86,500
Assurant HealthAssurantinsurance violation2008CT-INS$2,100,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2020CT-INS$198,000
STANDARD GUARANTY INSURANCE COMPANYAssurantinsurance violation2001FL-OFR$6,000
Fortis Insurance Co.Assurantinsurance violation2007FL-OFR$11,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2011IL-INS$15,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2007IN-INS$87,500
American Bankers Insurance Company of FloridaAssurantinsurance violation2001MA-INS$65,000
American Security Insurance Co. et al.Assurantinsurance violation2017MD-INS$25,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$20,000
Fortis Insurance Co. and Fortis Benefits Insurance Co.Assurantinsurance violation2001MN-FIN$5,000
Fortis Insurance Co. and John Alden Life Insurance Co.Assurantinsurance violation2002MN-FIN$10,000
Fortis Insurance Co. and John Alden Life Insurance Co.Assurantinsurance violation2002MN-FIN$75,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2003MN-FIN$100,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2003MN-FIN$100,000
Fortis Insurance Co.Assurantinsurance violation2004MN-FIN$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004MN-FIN$5,000
Fortis Insurance Co.Assurantinsurance violation2005MN-FIN$7,500
Fortis Insurance Co.Assurantinsurance violation2005MN-FIN$10,000
American Security Insurance CompanyAssurantinsurance violation2013MN-FIN$5,000
American Security Insurance Company et al.Assurantinsurance violation2016MN-FIN$5,000,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2018MO-INS$37,500
American Bankers Insurance Company of FloridaAssurantinsurance violation2018MO-INS$37,500
Fortis Insurance Co. et al.Assurantinsurance violation2004MT-INS$70,000
Fortis Insurance Co.Assurantinsurance violation2004MT-INS$65,000
John Alden Life Insurance Co.Assurantinsurance violation2010MT-INS$175,000
John Alden Life Insurance Co. and Time Insurance Co.Assurantinsurance violation2015MT-INS$1,699,709
John Alden Life Insurance CompanyAssurantinsurance violation2008NH-INS$450,000
Virginia Surety Company Inc.Assurantinsurance violation2010NH-INS$20,000
American Security Insurance Co. et al.Assurantinsurance violation2005NJ-DBI$1,775,000
Assurant, Inc.Assurantinsurance violation2013NY-DFS$14,000,000
Virginia Surety Company, Inc.Assurantinsurance violation2015NY-DFS$10,000
Fortis Insurance CompanyAssurantinsurance violation2002OR-FIN$42,500
American Bankers Insurance Company of FloridaAssurantinsurance violation2002OR-FIN$30,000
Fortis Insurance CompanyAssurantinsurance violation2003OR-FIN$20,000
John Alden Life Insurance CompanyAssurantinsurance violation2007OR-FIN$10,000
Virginia Surety Company, Inc.Assurantinsurance violation2007OR-FIN$6,100
Virginia Surety Company, Inc.Assurantinsurance violation2008OR-FIN$25,000
Virginia Surety Company, Inc.Assurantinsurance violation2009OR-FIN$10,000
Union Security Insurance CompanyAssurantinsurance violation2015SD-INS$7,500
American Memorial Life Insurance CompanyAssurantinsurance violation2016SD-INS$5,000
Union Security Insurance CompanyAssurantinsurance violation2016SD-INS$35,000
Virginia Surety Company, Inc.Assurantinsurance violation2008TX-INS$7,000
Virginia Surety Company Inc.Assurantinsurance violation2011TX-INS$200,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2017TX-INS$35,000
AMERICAN BANKERS LIFE ASSURANCE OF FLORIDAAssurantinsurance violation2001VA-INS$15,000
FORTIS INSURANCE COMPANYAssurantinsurance violation2001VA-INS$57,000
FORTIS INSURANCE CO., ET AL.Assurantinsurance violation2002VA-INS$27,000
RESOURCE LIFE INSURANCE CO.Assurantinsurance violation2006VA-INS$18,000
AMERICAN BANKERS INSURANCEAssurantinsurance violation2006VA-INS$45,000
AMERICAN SECURITY INSURANCE COAssurantinsurance violation2006VA-INS$45,000
STANDARD GUARANTY INSURANCE COAssurantinsurance violation2006VA-INS$45,000
AMERICAN BANKERS LIFEAssurantinsurance violation2007VA-INS$97,000
UNION SECURITY LIFE INSURANCEAssurantinsurance violation2007VA-INS$27,000
Virginia Surety Company IncAssurantinsurance violation2010WA-INS$12,000
American Bankers Insurance Company Of FloridaAssurantinsurance violation2011WA-INS$170,000
American Bankers Insurance Group Inc.Assurantinsurance violation2001MULTI-FIN$3,000,000
Assurant Inc.Assurantinsurance violation2016MULTI-FIN$80,217,000
Virginia Surety Company Inc.Assurantinsurance violation2013MULTI-FIN$200,000
The Signal, LP, an Assurant CompanyAssurantinsurance violation2020NY-DFS$2,800,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2021OR-FIN$20,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2021TX-INS$45,000
American Memorial Life Insurance CompanyAssurantinsurance violation2021WA-INS$20,000
Union Security Life Insurance Company of New YorkAssurantinsurance violation2021NY-DFS$20,000
Associated Bank, N.A.Associated Banc-Corpdiscriminatory practices (non-employment)2015HUD$200,000,000
Associated Banc-CorpAssociated Banc-Corpwage and hour violation2012private lawsuit-federal$1,275,000
Generali U.S. BranchAssicurazioni Generaliinsurance violation2017MULTI-FIN$492,000
Generali - U.S. Branch dba The General Insurance Company of Trieste & VeniceAssicurazioni Generaliinsurance violation2021OR-FIN$10,000
Arthur J. GallagherArthur J. Gallagher & Co.wage and hour violation2011private lawsuit-federal$3,900,000
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.consumer protection violation2005IL-AG$27,000,000
Gallagher Benefit Services, Inc.Arthur J. Gallagher & Co.insurance violation2014NJ-DBI$5,000
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2018TX-INS$6,300
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020TX-INS$7,025
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020TX-INS$9,675
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020NY-DFS$300,800
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020NY-DFS$39,750
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.employment discrimination2021EEOC$40,000
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2022TX-INS$10,950
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.insider trading2006SEC$3,755,839
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2004SEC$125,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2008FINRA$50,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2006FINRA$4,000,000
Arch Insurance CompanyArch Capitalconsumer protection violation2010MD-AG$460,000
Arch Insurance Co.Arch Capitalinsurance violation2019ID-INS$5,000
Arch Insurance Co.Arch Capitalinsurance violation2016MO-INS$145,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.