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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
Jefferson Insurance CompanyAllianzinsurance violation2017MULTI-FIN$1,800,000
USAllianz SecuritiesAllianzinvestor protection violation2006FINRA$5,000,000
Allianz Global Investors U.S. LLCAllianzinvestor protection violation2022SEC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,024,200,000
Allianz Global Investors U.S. LLCAllianzinvestor protection violation2022USAO$5,763,000,000
Fireman's Fund Insurance CompanyAllianzinsurance violation2022TX-INS$10,000
Fred Alger Management, Inc.Alger Associatesinvestor protection violation2007SEC$40,000,000
FRED ALGER & COMPANY, INCORPORATEDAlger Associatesbenefit plan administrator violation2007EBSA$50,001
FRED ALGER & COMPANY, INCORPORATEDAlger Associatesbenefit plan administrator violation2006EBSA$10,001
Fred Alger Management, Inc.Alger Associatesinvestor protection violation2007NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $45,000,000
Agricultural Bank of ChinaAgricultural Bank of Chinaanti-money-laundering deficiencies2016NY-DFS$215,000,000
American Family Life Assurance Co., known as AflacAflacFamily and Medical Leave Act2012WHD$16,882
Aflac Inc.Aflacinsurance violation2017MULTI-AG$350,000
Continental American Insurance Co.Aflacconsumer protection violation2010MA-AG$25,000
Continental American Insurance Co.Aflacinsurance violation2019CT-INS$10,000
American Family Assurance Company of ColumbusAflacinsurance violation2014ID-INS$30,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2012MD-INS$200,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2011ME-INS$20,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2006MN-FIN$15,000
American Family Life Assurance Company of New York (AFLAC)Aflacinsurance violation2018NY-DFS$1,138,368
American Family Life Assurance CompanyAflacinsurance violation2019SD-INS$100,000
AMERICAN FAMILY LIFE ASSURANCEAflacinsurance violation2003VA-INS$7,500
American Family Life Assurance Company of ColumbusAflacinsurance violation2013VA-INS$10,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2012MULTI-FIN$1,600,000
American Family Life Insurance Company of ColumbusAflacinsurance violation2018MULTI-FIN$2,500,000
American Family Life Insurance Company of ColumbusAflacinsurance violation2017MULTI-FIN$350,000
American Family Life Assurance Company of ColumbusAflacinsurance violation2020CT-INS$8,500
American Family Life Assurance Company of ColumbusAflacinsurance violation2022MN-FIN$25,000
COMMUNICORP INC.Aflacworkplace safety or health violation2011OSHA$9,900
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2012AZ-DIFI$5,000
Accident Fund General Insurance Co.AF Groupinsurance violation2018MO-INS$5,000
Accident Fund National Insurance Co.AF Groupinsurance violation2018MO-INS$5,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2018MO-INS$5,000
United Wisconsin Insurance Co.AF Groupinsurance violation2018MO-INS$5,000
Accident Fund Insurance Co. of AmericaAF Groupinsurance violation2011TX-INS$8,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2014TX-INS$19,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2014TX-INS$28,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2017TX-INS$20,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2018TX-INS$13,500
Accident Fund General Insurance CompanyAF Groupinsurance violation2018TX-INS$75,000
Accident Fund General Insurance CompanyAF Groupinsurance violation2018TX-INS$6,400
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2018TX-INS$19,800
Accident Fund National Insurance CompanyAF Groupinsurance violation2018TX-INS$19,100
Accident Fund National Insurance CompanyAF Groupinsurance violation2019TX-INS$5,000
Accident Fund General Insurance Co.AF Groupinsurance violation2021TX-INS$6,500
Accident Fund General Insurance Co.AF Groupinsurance violation2021TX-INS$5,000
Accident Fund National Insurance Co.AF Groupinsurance violation2021TX-INS$7,500
Accident Fund General Insurance CompanyAF Groupinsurance violation2022TX-INS$12,000
Transamerica Financial AdvisorsAegoninvestor protection violation2014SEC$1,107,248
Transamerica Life Insurance CompanyAegonwage and hour violation2015WHD$70,143
World Group Securities, Inc.Aegoninvestor protection violation2010SEC$200,000
AEGON USA Investment Management LLC et al.Aegoninvestor protection violation2018SEC$97,600,000
Transamerica CorporationAegonbenefit plan administrator violation2016private lawsuit-federal$3,800,000
Transamerica Financial Advisors, Inc.Aegoninvestor protection violation2019SEC$6,023,072
Transamerica Life Insurance Co.Aegoninsurance violation2013MA-AG$1,330,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2018MA-AG$19,647
Transamerica Insurance Co.Aegoninsurance violation2013MULTI-AG$11,200,000
World Group Securities, Inc.Aegoninvestor protection violation2010AZ-CC$853,501
Monumental Life Insurance Co.Aegoninsurance violation2015AZ-DIFI$57,000
Transamerica Life Insurance Co.Aegoninsurance violation2012CO-INS$6,270
Life Investors Insurance Company of AmericaAegoninsurance violation2004FL-OFR$11,000
Life Investors Insurance Company of AmericaAegoninsurance violation2006FL-OFR$53,000
World Group Securities, Inc.Aegoninvestor protection violation2004ID-SEC$15,000
Transamerica Life Insurance Co.Aegoninsurance violation2017ID-INS$5,000
Monumental Life Insurance Co.Aegoninsurance violation2011MD-INS$9,000
Transamerica Life Insurance Co.Aegoninsurance violation2011MD-INS$5,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2015MD-INS$11,800
Transamerica Life Insurance Co.Aegoninsurance violation2015MD-INS$16,300
Transamerica Life Insurance Co.Aegoninsurance violation2017MD-INS$8,300
Transamerica Life Insurance CompanyAegoninsurance violation2019MD-INS$184,000
Transamerica Life Insurance Co. et al.Aegoninsurance violation2012MN-FIN$50,000
Transamerica Life Insurance Co. et al.Aegoninsurance violation2014MN-FIN$2,500,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2015MN-FIN$5,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2018MN-FIN$40,000
Transamerica Life Insurance Co. and Transamerica Premier Life Insurance Co.Aegoninsurance violation2019MN-FIN$100,000
World Group Securities, Inc.Aegoninvestor protection violation2006MO-SEC$228,600
Monumental Life Insurance Co.Aegoninsurance violation2009MO-INS$26,001
Transamerica Life Insurance Co.Aegoninsurance violation2019MO-INS$6,000
Transamerica Life Insurance Co.Aegoninsurance violation2019MO-INS$5,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2019MO-INS$5,000
Transamerica Life Insurance Co.Aegoninsurance violation2019MO-INS$26,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2019MO-INS$36,000
Monumental Life Insurance Co.Aegoninsurance violation2003MS-INS$24,351
Monumental Life Insurance CompanyAegoninsurance violation2008NJ-DBI$250,000
Transamerica Premier Life Insurance CompanyAegoninsurance violation2016NJ-DBI$75,000
Transamerica Life Insurance CompanyAegoninsurance violation2019NJ-DBI$5,942,519
Transamerica Financial Life Insurance CompanyAegoninsurance violation2013NY-DFS$852,418
Transamerica Financial Life Insurance CompanyAegoninsurance violation2018NY-DFS$1,345,136
Transamerica Life Insurance CompanyAegoninsurance violation2009OR-FIN$25,000
Transamerica Life Insurance CompanyAegoninsurance violation2016SD-INS$15,000
Transamerica Life Insurance CompanyAegoninsurance violation2018SD-INS$10,000
Transamerica Life Insurance CompanyAegoninsurance violation2019SD-INS$30,000
Transamerica Life Insurance CompanyAegoninsurance violation2014UT-INS$45,000
MONUMENTAL LIFE INSURANCE COAegoninsurance violation2001VA-INS$5,000
LIFE INVESTORS INSURANCE COMPANY OF AMERICAAegoninsurance violation2006VA-INS$29,000
Transamerica Premier Life Insurance CompanyAegoninsurance violation2013WA-INS$150,000
Transamerica Casualty Insurance CompanyAegoninsurance violation2014WA-INS$20,000
Transamerica Casualty Insurance CompanyAegoninsurance violation2015WA-INS$10,000
Transamerica Life Insurance CompanyAegoninsurance violation2016WA-INS$5,000
Transamerica Life Insurance CompanyAegoninsurance violation2019WA-INS$15,000
Monumental Life Insurance CompanyAegoninsurance violation2003MULTI-FIN$37,000,000
Transamerica Casualty Insurance CompanyAegoninsurance violation2017MULTI-FIN$3,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.