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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,002,583,076
Number of Records: 6,975
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$82,898,016,192264
JPMorgan Chase$36,127,193,625218
Citigroup$25,540,645,217156
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
UBS$16,879,318,334102
Goldman Sachs$16,399,485,79387
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,148,363,95019
Credit Suisse$10,732,400,12649

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
1st Financial Bank USA1st Financial Bank USAbanking violation2010FDIC$10,140,000
1ST FINANCIAL BANK USA1st Financial Bank USAbanking violation2009FDIC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $140,000
1st Financial Bank U.S.A.1st Financial Bank USAbanking violation2005WI-AG$43,142
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
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
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
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.