Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $395,312,528,119
Number of Records: 8,003
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$87,320,969,499333
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,618,169,231268
Citigroup$27,081,211,792183
Deutsche Bank$20,015,467,563100
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,924,502,443207
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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
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 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 Group Inc.American International Groupinvestor protection violation2010OR-AG$8,000,000
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
Insurance Company of the State of PennsylvaniaAmerican International GroupFalse Claims Act and related2016NV-AG$300,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupconsumer protection violation2015MA-AG$430,000
United States Life Insurance Company in the City of New YorkAmerican International Groupconsumer protection violation2011MA-AG$760,000
American International Group, Inc.American International Groupeconomic sanction violation2014OFAC$279,038
American General Life Insurance CompanyAmerican International Groupinsurance violation2020MA-AG$363,000
American International Group et al.American International Groupinsurance violation2002CA-INS$411,500
New Hampshire Insurance Co.American International Groupinsurance violation2012CA-INS$142,500
National Union Fire Insurance Co.American International Groupinsurance violation2013CA-INS$5,991,132
Commerce and Industry Insurance Co.American International Groupinsurance violation2005CO-INS$6,000
AIG Property Casualty Co.American International Groupinsurance violation2019CT-INS$120,000
American General Life Insurance Co.American International Groupinsurance violation2019DE-INS$85,000
COMMERCE AND INDUSTRY INSURANCE COMPANYAmerican International Groupinsurance violation2001FL-OFR$11,500
New Hampshire Insurance Co.American International Groupinsurance violation2002FL-OFR$5,400
American International Insurance Co. and AIG National Insurance Company, Inc.American International Groupinsurance violation2003FL-OFR$66,750
Illinois National Insurance Co.American International Groupinsurance violation2003FL-OFR$5,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2003FL-OFR$62,250
American General Life and Accident Insurance Co.American International Groupinsurance violation2006FL-OFR$1,568,324
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2006FL-OFR$12,100
American Home Assurance Co.American International Groupinsurance violation2007FL-OFR$25,500
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2007FL-OFR$240,000
American General Life Insurance Co.American International Groupinsurance violation2008FL-OFR$260,000
American General Life Insurance Co.American International Groupinsurance violation2018FL-OFR$210,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2009ID-INS$5,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2010ID-INS$15,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2010IN-INS$200,000
American General Life and Accident Insurance Co.American International Groupinsurance violation2000KS-INS$23,400
New Hampshire Insurance Co.American International Groupinsurance violation2000KS-INS$10,375
National Union Fire Insurance Company of Pittsburgh, PennsylvaniaAmerican International Groupinsurance violation2000KS-INS$10,375
American General Life Insurance Co.American International Groupinsurance violation2016KS-INS$15,000
AIG Claims, Inc.American International Groupinsurance violation2018LA-INS$11,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2002MA-INS$639,576
Insurance Company of the State of PAAmerican International Groupinsurance violation2002MA-INS$124,532
AIU Insurance CompanyAmerican International Groupinsurance violation2002MA-INS$365,615
American Home Assurance CompanyAmerican International Groupinsurance violation2002MA-INS$64,546
American Home Assurance CompanyAmerican International Groupinsurance violation2003MA-INS$12,500
American General Life and Accident Insurance Co.American International Groupinsurance violation2011MD-INS$7,000
United States Life Insurance Company In the City of New YorkAmerican International Groupinsurance violation2011MD-INS$5,000
The United States Life Insurance Company In the City of New YorkAmerican International Groupinsurance violation2012MD-INS$75,000
United States Life Insurance Company In the City of New YorkAmerican International Groupinsurance violation2014MD-INS$25,000
AIG Property Casualty Co.American International Groupinsurance violation2015MD-INS$22,500
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2015MD-INS$20,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2016MD-INS$18,000
National Union Fire Insurance Company of Pittsburgh, Pennsylvania et al.American International Groupinsurance violation2020MD-INS$20,000
AIU Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
American Home Assurance Co.American International Groupinsurance violation2010ME-INS$11,111
Commerce and Industry Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
Granite State Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
Illinois National Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2010ME-INS$11,111
National Union Fire Insurance Company of Pittsburg, Pa.American International Groupinsurance violation2010ME-INS$11,111
New Hampshire Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2001MN-FIN$7,500
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2010MN-FIN$100,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2012MN-FIN$2,731,385
American General Life Insurance Co.American International Groupinsurance violation2015MN-FIN$10,000
American Home Assurance Co. et al.American International Groupinsurance violation2015MO-INS$1,250,000
New Hampshire Insurance Co.American International Groupinsurance violation2018MO-INS$11,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2010NH-INS$100,000
American International Specialty Lines Insurance Co.American International Groupinsurance violation2005NJ-DBI$13,000
AIG Property Casualty CompanyAmerican International Groupinsurance violation2014NJ-DBI$25,000
AIGAmerican International Groupinsurance violation2014NY-DFS$35,000,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2014NY-DFS$48,500
Granite State Insurance CompanyAmerican International Groupinsurance violation2015NY-DFS$150,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2015NY-DFS$250,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015NY-DFS$100,000
United States Life Insurance Company in the City of New YorkAmerican International Groupinsurance violation2017NY-DFS$873,918
Variable Annuity Life Insurance CompanyAmerican International Groupinsurance violation2017NY-DFS$25,000
AIG Claims Inc.American International Groupinsurance violation2018NY-DFS$177,500
National Union Fire Insurance CompanyAmerican International Groupinsurance violation2019NY-DFS$5,200,000
The United States Life Insurance CompanyAmerican International Groupinsurance violation2019NY-DFS$171,902
AIU Insurance CompanyAmerican International Groupinsurance violation2002OR-FIN$10,000
AIG Life Insurance CompanyAmerican International Groupinsurance violation2006OR-FIN$10,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2006OR-FIN$30,000
United States Life Insurance Company in the City of New YorkAmerican International Groupinsurance violation2006OR-FIN$20,000
AIU Insurance Company et al.American International Groupinsurance violation2007OR-FIN$1,000,000
AIG Casualty CompanyAmerican International Groupinsurance violation2007OR-FIN$7,500
American Home Assurance CompanyAmerican International Groupinsurance violation2007OR-FIN$10,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2007OR-FIN$10,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2007OR-FIN$5,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2007OR-FIN$10,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2009OR-FIN$65,000
American Home Assurance CompanyAmerican International Groupconsumer protection violation2012OR-FIN$20,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2012OR-FIN$20,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2012OR-FIN$30,000
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2012OR-FIN$10,000
American International Insurance Group Inc.American International Groupinsurance violation2008PA-INS$9,125,400
AIG National Insurance CompanyAmerican International Groupinsurance violation2008RI-FIN$10,000
American General Life Insurance CompanyAmerican International Groupinsurance violation2020RI-FIN$25,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2016SC-INS$90,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2013SD-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.