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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$39,340,688,209275
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
American Express Travel Related Services Company, Inc.American Expresseconomic sanction violation2013OFAC$5,226,120
American Express Prepaid Card Management Corp.American Expressconsumer protection violation2010AR-SEC$20,000
Amex Assurance Co.American Expressinsurance violation2006CA-INS$170,000
Amex Assurance Co.American Expressinsurance violation2005FL-OFR$12,500
Amex Assurance Co.American Expressinsurance violation2008FL-OFR$8,000
American Express Travel Related Services Co, Inc.American Expressconsumer protection violation2015FL-OFR$9,000
AMEX Assurance Co.American Expressinsurance violation2011MD-INS$10,000
American Express Travel Related Services Company, Inc.American Expressconsumer protection violation2011NE-DBF$35,000
AMEX Assurance CompanyAmerican Expressinsurance violation2009OR-FIN$25,000
AMEX ASSURANCE CO.American Expressinsurance violation2007VA-INS$26,400
American Express Travel Related Services Co.American Expresswage and hour violation2021WHD$5,663
American Express CompanyAmerican Expressemployment discrimination2022DOJ_RIGHTS$29,008
American Express National BankAmerican Expresseconomic sanction violation2022OFAC$430,500
American Express Bank FSBAmerican Expressconsumer protection violation2016private lawsuit-federal$4,000,000
American Express Co.American Expressconsumer protection violation2012private lawsuit-federal$49,500,000
American Express National BankAmerican Expressbanking violation2023OCC$15,000,000
Austin Mutual Insurance CompanyAmerican Family Insurancewage and hour violation2006WHD$16,245
Permanent General Assurance Corp.American Family Insuranceinsurance violation2011AZ-DIFI$70,000
Homesite Indemnity Co.American Family Insuranceinsurance violation2011AZ-DIFI$19,000
Austin Mututal Insurance Co.American Family Insuranceinsurance violation2011AZ-DIFI$30,000
American Family Connect Property and Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2020AZ-DIFI$50,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2013CA-INS$360,522
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2006CO-INS$6,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2007CO-INS$5,500
Permanent General Assurance Corp.American Family Insuranceinsurance violation2009CO-INS$31,900
Permanent General Assurance Corp.American Family Insuranceinsurance violation2019CO-INS$56,494
Permanent General Assurance Corporation of OhioAmerican Family Insuranceinsurance violation2019CO-INS$50,974
HomeSite Insurance Co.American Family Insuranceinsurance violation2016DE-INS$15,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2016KS-INS$20,000
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2013MD-INS$20,000
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2015MD-INS$5,000
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2011ME-INS$7,500
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2002MN-FIN$5,000
Austin Mutual Insurance Co. and Northern Mutual Insurance Co.American Family Insuranceinsurance violation2002MN-FIN$12,500
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2002MN-FIN$10,000
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2009MN-FIN$15,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2011MN-FIN$5,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2013MN-FIN$5,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2014MN-FIN$7,500
Austin Mutual Insurance Co.American Family Insuranceinsurance violation2019MN-FIN$10,000
Homesite Insurance Co.American Family Insuranceinsurance violation2019MN-FIN$5,000
American Family Mutual Insurance Co. and American Standard Insurance Co. of WisconsinAmerican Family Insuranceinsurance violation2015MO-INS$472,089
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2016MO-INS$7,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2009ND-INS$5,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2014ND-INS$10,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2016NE-DOI$15,000
American Family Insurance CompanyAmerican Family Insuranceinsurance violation2018NE-DOI$15,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2014NY-DFS$75,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2003OR-FIN$10,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2008OR-FIN$6,500
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2013RI-FIN$5,000
The General Automobile Insurance Company Inc.American Family Insuranceinsurance violation2018TX-INS$100,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2018TX-INS$70,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2018UT-INS$39,400
HOMESITE INSURANCE COMPANYAmerican Family Insuranceinsurance violation2010VA-INS$126,252
HOMESITE INSURANCE COMPANYAmerican Family Insuranceinsurance violation2016VA-INS$94,986
THE GENERAL AUTOMOBILE INSURANCE CO.American Family Insuranceinsurance violation2018VA-INS$66,996
General Automobile Insurance Company, IncAmerican Family Insuranceinsurance violation2019VA-INS$27,624
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2019VT-FIN$11,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2020VT-FIN$31,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2010WA-INS$10,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2011WA-INS$10,000
Homesite Insurance Company Of The MidwestAmerican Family Insuranceinsurance violation2011WA-INS$12,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2011WA-INS$20,000
Homesite Insurance Company Of The MidwestAmerican Family Insuranceinsurance violation2012WA-INS$30,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2013WA-INS$10,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2015WA-INS$10,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2016WA-INS$15,000
American Family Connect Property And Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2016WA-INS$10,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2016WA-INS$5,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2018WA-INS$10,000
Homesite Insurance Company Of The MidwestAmerican Family Insuranceinsurance violation2019WA-INS$15,000
American Family Connect Property And Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2019WA-INS$7,500
Austin Mutual Insurance Co.American Family Insuranceinsurance violation2007WI-INS$8,000
Homesite Insurance GroupAmerican Family Insuranceinsurance violation2016MULTI-FIN$500,000
Permanent General Assurance Corp.American Family Insuranceinsurance violation2020MO-INS$15,000
American Family Mutual Insurance Co. and American Family Insurance Co.American Family Insuranceinsurance violation2020MN-FIN$35,000
American Family Connect Insurance CompanyAmerican Family Insuranceinsurance violation2021NY-DFS$23,000
AMERICAN FAMILY INSURANCE COMPANYAmerican Family Insuranceinsurance violation2021WA-INS$50,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2021CT-INS$193,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2022MULTI-FIN$1,950,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2022WA-INS$25,000
American Family Insurance CompanyAmerican Family Insuranceinsurance violation2022WA-INS$25,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2022WA-INS$50,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2022WI-INS$5,000
AMERICAN FAMILY CONNECT PROPERTY AND CASUALTY INSURANCE COMPANYAmerican Family Insuranceinsurance violation2022WA-INS$40,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2022KS-INS$7,000
AMERICAN FAMILY MUTUAL INSURANCE COMPANY S.I.American Family Insuranceinsurance violation2022WA-INS$10,000
American Family Connect Insurance CompanyAmerican Family Insuranceinsurance violation2022NY-DFS$50,000
AMERICAN FAMILY INSURANCEAmerican Family Insuranceworkplace safety or health violation2012OSHA$12,500
Brothers Property CorporationAmerican Financial Groupwage and hour violation2006WHD$29,273
Great American Insurance Co.American Financial Groupinsurance violation2009MA-AG$176,000
Great American Financial Resources, Inc.American Financial Groupwage and hour violation2019private lawsuit-federal$1,250,000
GREAT AMERICAN ALLIANCE INSURANCE COMPANYAmerican Financial Groupinsurance violation2001FL-OFR$5,500
GREAT AMERICAN ASSURANCE COMPANYAmerican Financial Groupinsurance violation2001FL-OFR$12,500
Great American Insurance Co.American Financial Groupinsurance violation2017KS-INS$13,000
National Interstate Insurance Co.American Financial Groupinsurance violation2011MO-INS$43,000
Great American Alliance Insurance Co.American Financial Groupinsurance violation2014MO-INS$33,000
Great American Insurance Company of New YorkAmerican Financial Groupinsurance violation2014MO-INS$23,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2015NY-DFS$90,000
Great American Insurance Company of New YorkAmerican Financial Groupinsurance violation2005OR-FIN$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.