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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.

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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
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
Transamerica Asset Management, Inc.Aegoninvestor protection violation2020SEC$5,946,782
Transamerica Financial Advisors, Inc.Aegoninvestor protection violation2020FINRA$8,800,000
World Group Securities, Inc.Aegoninvestor protection violation2004FINRA$150,000
Transamerica Life Insurance CompanyAegoninsurance violation2020CT-INS$10,000
TRANSAMERICA LIFE INSURANCE COMPANYAegoninsurance violation2021MO-INS$11,000
Transamerica Financial Life Insurance CompanyAegoninsurance violation2020NY-DFS$750,000
Transamerica Premier Life Insurance CompanyAegoninsurance violation2021VT-FIN$84,000
Transamerica Life Insurance Co.Aegoninsurance violation2021WA-INS$30,000
Transamerica CorporationAegonbenefit plan administrator violation2021private lawsuit-federal$5,400,000
Transamerica OccidentalAegonair pollution violation2003CA-SCAQMD$5,438
Transamerica Life Insurance CompanyAegoninsurance violation2022NE-DOI$25,000
Transamerica Life Insurance Co.Aegoninsurance violation2022MN-FIN$500,000
Transamerica Life Insurance CompanyAegonconsumer protection violation2019private lawsuit-federal$195,000,000
Transamerica Life Insurance CompanyAegoninsurance violation2023MD-INS$102,000
TRANSAMERICA LIFE INSURANCE COMPANYAegoninsurance violation2023WA-INS$40,000
Transamerica Life Insurance CompanyAegoninsurance violation2020NJ-DBI$137,000
Transamerica Financial Life Insurance CompanyAegoninsurance violation2023NY-DFS$120,000
Transamerica Life Insurance CompanyAegoninsurance violation2024SD-INS$25,000
TRANSAMERICA LIFE INSURANCE COMPANYAegoninsurance violation2024MO-INS$37,000
Elephant Insurance Co.Admiral Groupinsurance violation2014MD-INS$5,000
Elephant Insurance Co.Admiral Groupinsurance violation2014MD-INS$5,000
Elephant Insurance Co.Admiral Groupinsurance violation2018MD-INS$75,000
Elephant Insurance CompanyAdmiral Groupinsurance violation2020TX-INS$80,000
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2012VA-INS$29,709
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2013VA-INS$6,154
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2018VA-INS$79,017
Elephant Insurance CompanyAdmiral Groupinsurance violation2019VA-INS$47,619
Elephant Insurance CompanyAdmiral Groupinsurance violation2024MD-INS$72,000
ACE Cash ExpressACE Cash Expressconsumer protection violation2014CFPB$15,000,000
Ace Cash Express, Inc.ACE Cash Expresswage and hour violation2012WHD$18,852
Ace Cash Express, Inc.ACE Cash Expresswage and hour violation2005WHD$12,796
Ace America's Cash Express, Inc.ACE Cash Expresswage and hour violation2004WHD$26,295
Ace America's Cash ExpressACE Cash Expresswage and hour violation2004CA-LCO$75,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2002CO-AG$1,300,000
ACE Cash Express, Inc.ACE Cash Expresspayday lending violation2010CA-DFPI$118,400
ACE Cash Express, Inc.ACE Cash Expresspayday lending violation2015CA-DFPI$22,500
ACE Cash Express, Inc. dba ACE America's Cash ExpressACE Cash Expressconsumer protection violation2002FL-OFR$500,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2016FL-OFR$28,000
Ace Cash Express Inc.ACE Cash Expressconsumer protection violation2002MD-FIN$164,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2015MD-FIN$353,286
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2009NE-DBF$15,550
Ace Cash Express, Inc.,ACE Cash Expressconsumer protection violation2010NE-DBF$7,000
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$11,950
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$8,550
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$6,550
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$5,400
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$7,000
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2012NE-DBF$5,800
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2014NE-DBF$18,900
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2015NE-DBF$5,450
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2015NE-DBF$20,500
Ace Cash ExpressACE Cash Expressconsumer protection violation2009OH-BKG$7,050
ACE Cash Express Inc.ACE Cash Expressconsumer protection violation2017PA-BKG$80,000
ACE CASH EXPRESS, INC.ACE Cash Expressconsumer protection violation2010VA-FIN$150,000
ACE CASH EXPRESS, INC.ACE Cash Expressconsumer protection violation2016VA-FIN$45,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2016WA-FIN$76,421
Academy Mortgage CorporationAcademy Mortgage Corp.labor relations violation2018NLRB$6,061
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2017AK-DBS$6,500
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2011ID-FIN$155,000
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2014WA-FIN$17,760
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2021PA-BKG$232,200
Academy Mortgage CorporationAcademy Mortgage Corp.False Claims Act and related2022DOJ_CIVIL$38,500,000
Absa Bank, Ltd.Absa Groupinvestor protection violation2014CFTC$150,000
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V.ABN AMROeconomic sanction violation2010DOJ_CRIMINAL$500,000,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2013CFTC$1,000,000
ABN AMRO Bank, N.V.ABN AMROeconomic sanction violation2006OFAC$40,000,000
ABN AMRO Bank, IncABN AMROeconomic sanction violation2004OFAC$25,847
ABN AMRO Mortgage GroupABN AMROmortgage abuses2006HUD$41,000,000
ABN AMRO Bank, N.V.ABN AMROinvestor protection violation2013SEC$5,547,408
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2018CFTC$160,000
ABN AMRO IncorporatedABN AMROinvestor protection violation2001SEC$200,000
ABN AMRO Clearing Chicago LLCABN AMROinvestor protection violation2020SEC$586,000
ABN AMROABN AMROeconomic sanction violation2005NY-DFS$20,000,000
ABN AMRO IncorporatedABN AMROinvestor protection violation2005FINRA$220,000
Carolina Coastal Railway3i Infrastructure PLCrailroad safety violation2014FRA$5,250
Carolina Coastal Railway3i Infrastructure PLCrailroad safety violation2012FRA$5,000
East Penn Railroad3i Infrastructure PLCrailroad safety violation2010FRA$6,200
Florida Central Railroad3i Infrastructure PLCrailroad safety violation2013FRA$6,800
Indiana Eastern Railroad3i Infrastructure PLCrailroad safety violation2013FRA$5,300
Middletown & New Jersey Railroad3i Infrastructure PLCrailroad safety violation2013FRA$6,000
East Penn Railroad LLC3i Infrastructure PLCrailroad safety violation2017FRA$5,000
Carolina Coastal Railway, Inc.3i Infrastructure PLCrailroad safety violation2021FRA$8,000
Carolina Coastal Railway, Inc.3i Infrastructure PLCrailroad safety violation2021FRA$8,853
Carolina Coastal Railway, Inc.3i Infrastructure PLCrailroad safety violation2022FRA$5,625
1st Financial Bank USA1st Financial Bank USAbanking violation2010FDIC$10,140,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.