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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$87,286,650,890328
JPMorgan Chase$39,688,888,209277
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
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
Hartford Insurance Company The MidwestHartford Financial Servicesinsurance violation2012WA-INS$30,000
Hartford Fire Insurance Company And Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2013WA-INS$10,000
Hartford Accident & Indemnity Company et al.Hartford Financial Servicesinsurance violation2013WA-INS$100,000
Hartford Accident & Indemnity Company et al.Hartford Financial Servicesinsurance violation2015WA-INS$20,000
Hartford Accident & Indemnity CompanyHartford Financial Servicesinsurance violation2015WA-INS$15,000
Hartford Insurance Company The MidwestHartford Financial Servicesinsurance violation2017WA-INS$10,000
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2017WA-INS$30,000
Hartford Insurance Company The MidwestHartford Financial Servicesinsurance violation2018WA-INS$20,000
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2001WI-INS$15,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2003WI-INS$6,500
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2005WI-INS$9,500
Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2020MA-AG$145,000
Property and Casualty Insurance Co. of HartfordHartford Financial Servicesinsurance violation2020TX-INS$20,000
Twin City Fire Insurance Co.Hartford Financial Servicesinsurance violation2020TX-INS$6,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2020TX-INS$15,000
Sentinel Insurance Company, Ltd.Hartford Financial Servicesinsurance violation2020TX-INS$10,000
HARTFORD CASUALTY INSURANCE COMPANYHartford Financial Servicesinsurance violation2020WA-INS$90,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2020TX-INS$7,500
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2021TX-INS$5,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2021TX-INS$7,500
Hartford Fire Insurance Co.Hartford Financial Servicesinsurance violation2021TX-INS$5,000
Hartford Insurance Company of the Midwest et al.Hartford Financial Servicesinsurance violation2021TX-INS$120,000
The Hartford et al.Hartford Financial Servicesinsurance violation2022ID-INS$360,000
The Hartford Casualty Insurance Co. and Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2022MN-FIN$11,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2022TX-INS$5,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2022TX-INS$6,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2022TX-INS$8,000
Hartford Casualty Insurance Company et al.Hartford Financial Servicesinsurance violation2022VA-INS$30,030
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2022TX-INS$20,000
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2022TX-INS$52,000
Hartford Fire Insurance Co.Hartford Financial Servicesprice-fixing or anti-competitive practices2012private lawsuit-federal$3,727,272
Hartford Accident & Indemnity CompanyHartford Financial Servicesinsurance violation2023TX-INS$14,000
Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$7,500
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$22,000
HARTFORD UNDERWRITERS INSURANCE COMPANY et al.Hartford Financial Servicesinsurance violation2023AZ-DIFI$30,000
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2023TX-INS$6,300
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$12,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2023TX-INS$11,000
THE HARTFORD FINANCIAL SERVICES GROUP, INC.Hartford Financial Servicesworkplace safety or health violation2011OSHA$5,600
Time Insurance CompanyHaven Holdingsconsumer protection violation2007MA-AG$16,000
Time Insurance Co.Haven Holdingsinsurance violation2013AZ-DIFI$60,000
Time Insurance Co.Haven Holdingsinsurance violation2009CO-INS$103,500
Time Insurance Co.Haven Holdingsinsurance violation2010FL-OFR$23,000
Time Insurance Co.Haven Holdingsinsurance violation2014ID-INS$5,000
Time Insurance Co. and John Alden Life Insurance Co. and Union Securitiy Insurance Co.Haven Holdingsinsurance violation2012IN-INS$2,950,000
Time Insurance Co.Haven Holdingsinsurance violation2014MD-INS$25,000
Time Insurance Co.Haven Holdingsinsurance violation2008MN-FIN$7,500
Time Insurance Co.Haven Holdingsinsurance violation2019MN-FIN$5,000
Time Insurance Co. et al.Haven Holdingsinsurance violation2013MO-INS$1,000,000
Time Insurance Co.Haven Holdingsinsurance violation2010MT-FIN$50,000
Time Insurance CompanyHaven Holdingsinsurance violation2013NC-INS$524,000
Time Insurance CompanyHaven Holdingsinsurance violation2008NH-INS$450,000
Time Insurance CompanyHaven Holdingsinsurance violation2007OR-FIN$60,000
Time Insurance CompanyHaven Holdingsinsurance violation2014OR-FIN$40,000
Time Insurance CompanyHaven Holdingsinsurance violation2016OR-FIN$178,948
Time Insurance CompanyHaven Holdingsinsurance violation2016SD-INS$300,000
Time Insurance CompanyHaven Holdingsinsurance violation2018TX-INS$125,000
Time Insurance CompanyHaven Holdingsinsurance violation2018TX-INS$15,000
TIME INSURANCE COMPANYHaven Holdingsinsurance violation2014VA-INS$19,000
Time Insurance Company IiHaven Holdingsinsurance violation2015WA-INS$10,000
Time Insurance Co.Haven Holdingsinsurance violation2010WI-INS$280,000
Heritage Bank of CommerceHeritage Commerce Corp.banking violation2008FED$6,840
Highmark, Inc.Highmark Inc.False Claims Act and related2004DOJ_CIVIL$1,500,000
Highmark, IncHighmark Inc.wage and hour violation2014WHD$120,900
Healthnow New YorkHighmark Inc.consumer protection violation2016NY-AG$60,000
HealthNow New YorkHighmark Inc.consumer protection violation2005NY-AG$5,000
HealthNow NewYork, Inc.Highmark Inc.consumer protection violation2009NY-AG$212,500
Highmark BCBSD Inc.Highmark Inc.insurance violation2016DE-INS$383,000
HealthNow New York Inc.Highmark Inc.insurance violation2008NY-DFS$1,050,000
HealthNowHighmark Inc.insurance violation2011NY-DFS$4,492,327
HealthNowHighmark Inc.insurance violation2012NY-DFS$101,640
HealthNow New York Inc.Highmark Inc.insurance violation2013NY-DFS$700,000
HealthNow New York Inc.Highmark Inc.insurance violation2016NY-DFS$750,000
HealthNow New York, Inc.Highmark Inc.insurance violation2018NY-DFS$118,583
Highmark BCBSD IncHighmark Inc.insurance violation2020DE-INS$299,000
Highmark, Inc.Highmark Inc.campaign finance violation2005FEC$54,078
Highmark Inc.Highmark Inc.price-fixing or anti-competitive practices2020private lawsuit-federal$7,500,000
Highmark, Inc.Highmark Inc.insurance violation2023SD-INS$5,000
HIGHMARK INC.Highmark Inc.workplace safety or health violation2018OSHA$25,868
PlainsCapital Bank and PrimeLendingHilltop Holdingsbanking violation2011FED$30,780
PrimeLendingHilltop Holdingsmortgage abuses2010DOJ_RIGHTS$2,000,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2005SEC$10,000,000
Hilltop Securities Inc.Hilltop Holdingsinvestor protection violation2016SEC$360,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2010SEC$470,147
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc.Hilltop Holdingsinvestor protection violation2019SEC$810,785
PrimeLending, A PlainsCapital CompanyHilltop Holdingsconsumer protection violation2016CA-DFPI$1,619,523
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2012IL-SEC$7,500
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2011FINRA$650,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2011FINRA$500,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2004FINRA$36,971
Southwest Securities Inc.Hilltop Holdingsinvestor protection violation2000FINRA$500,000
Hilltop Securities Inc.Hilltop Holdingsinvestor protection violation2021SEC$340,193
Stonegate Mortgage Corp.Home Point Capitalconsumer protection violation2013KY-FIN$5,000
Prospect Mortgage, LLCHomebridge Financial Serviceskickbacks and bribery2011HUD$3,100,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2017CFPB$3,500,000
Prospect MortgageHomebridge Financial Serviceswage and hour violation2015WHD$211,237
Prospect Mortgage LLCHomebridge Financial Serviceswage and hour violation2010WHD$13,728
Prospect Mortgage Company LLCHomebridge Financial Servicesmortgage abuses2017USAO$4,157,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2011AR-SEC$5,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2014CA-DFPI$3,141,000
Homebridge Financial Services, Inc.Homebridge Financial Servicesconsumer protection violation2017CA-DFPI$80,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.