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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,816,534,046
Number of Records: 7,081
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$36,129,269,434222
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
Goldman Sachs$16,599,475,84889
NatWest Group PLC$13,515,546,85731
Credit Suisse$10,932,400,12651
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 iconPrimary Offense TypeYearAgencyPenalty Amount
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
Asurion, LLCAsurionemployment discrimination2019EEOC$50,000
Asurion Insurance Services, Inc. and Asurion Protection Services LLCAsurioninsurance violation2020NY-DFS$4,000,000
Asurion Warranty Services, Inc.Asurioninsurance violation2007WI-INS$5,000
ASURION, LLC.Asurionworkplace safety or health violation2020OSHA$5,783
Bank of Hampton RoadsAtlantic Union Banksharesbanking violation2011FED$33,600
Hampton Roads BanksharesAtlantic Union Banksharesaccounting fraud or deficiencies2014SEC$200,000
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$116,400,000
CompuCredit CorporationAtlanticus Holdingsconsumer protection violation2008FTC$114,000,000
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$806,000
CompuCredit CorporationAtlanticus Holdingsbanking violation2008FDIC$558,000
Cadaret, Grant & Co. Inc.Atria Wealth Solutionsinvestor protection violation2018SEC$513,194
Sorrento Pacific Financial, LLCAtria Wealth Solutionsinvestor protection violation2019SEC$49,162
CUSO Financial Services, L.P.Atria Wealth Solutionsinvestor protection violation2019SEC$296,750
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2019SEC$1,405,349
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2012AL-SEC$60,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2019MA-SEC$150,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2010MT-SEC$5,000
Cadaret, Grant & Co., Inc.Atria Wealth Solutionsinvestor protection violation2008NE-DBF$10,000
NEXT Financial Group, IncAtria Wealth Solutionsinvestor protection violation2014NH-BSR$140,000
NEXT Financial Group, IncAtria Wealth Solutionsinvestor protection violation2019NH-BSR$325,000
Cadaret Grant & Co. Inc.Atria Wealth Solutionsinvestor protection violation2019PA-BKG$90,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2020TX-SEC$600,000
NEXT FINANCIAL GROUP, INC.Atria Wealth Solutionsinvestor protection violation2015VA-SEC$18,000
NEXT FINANCIAL GROUP, INC.Atria Wealth Solutionsinvestor protection violation2017VA-SEC$60,000
Next Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2020VA-SEC$5,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2011FINRA$2,050,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2009FINRA$1,000,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2007CO-INS$5,000
Auto Owners Insurance Co.Auto-Owners Insuranceinsurance violation2017CO-INS$25,875
Auto-Owners (Mutual) Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2019KS-INS$10,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2000MN-FIN$15,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2003MN-FIN$5,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2016MN-FIN$10,000
Auto-Owners Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2019MN-FIN$35,000
Auto-Owners Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2007MO-INS$28,704
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2015MO-INS$39,600
Auto-Owners Insurance CompanyAuto-Owners Insuranceinsurance violation2016SC-INS$7,356
Auto-Owners Insurance Company and Owners Insurance CompanyAuto-Owners Insuranceinsurance violation2011VA-INS$10,000
AUTO OWNERS INSURANCE COMPANYAuto-Owners Insuranceinsurance violation2015VA-INS$114,217
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2004WI-INS$5,000
AXA RosenbergAXAinvestor protection violation2011SEC$242,000,000
Axa S.A.AXAinsurance violation2015MULTI-AG$3,280,000
T.H.E. INSURANCE COMPANYAXAinsurance violation2001FL-OFR$15,000
Axa Re Property and Casualty Insurance Co.AXAinsurance violation2005FL-OFR$15,000
Axa Insurance Co.AXAinsurance violation2019LA-INS$6,000
XL Specialty Insurance Co.AXAinsurance violation2012MO-INS$21,000
AXA Art Insurance CorporationAXAinsurance violation2015NY-DFS$70,000
T.H.E. Insurance CompanyAXAinsurance violation2009PA-INS$5,000
AXA Insurance CompanyAXAinsurance violation2007SC-INS$8,000
AXA Art Insurance CorporationAXAinsurance violation2012SC-INS$8,000
Catlin Insurance Company Inc.AXAinsurance 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.