Violation Tracker

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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 Companies	Total Penalty $	Number of Records
Bank of America	$87,286,650,890	328
JPMorgan Chase	$39,340,688,209	275
UBS	$31,069,299,125	179
Wells Fargo	$27,616,269,231	266
Citigroup	$26,945,611,792	181
Deutsche Bank	$20,011,467,563	99
Goldman Sachs	$17,729,358,987	111
NatWest Group PLC	$14,370,701,618	43
Morgan Stanley	$10,780,502,443	203
BNP Paribas	$10,363,464,666	23

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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Company	Current Parent	Primary Offense Type	Year	Agency	Penalty Amount
Commerce and Industry Insurance Company	American International Group	insurance violation	2014	NY-DFS	$48,500
Granite State Insurance Company	American International Group	insurance violation	2015	NY-DFS	$150,000
National Union Fire Insurance Company of Pittsburgh, PA	American International Group	insurance violation	2015	NY-DFS	$250,000
New Hampshire Insurance Company	American International Group	insurance violation	2015	NY-DFS	$100,000
United States Life Insurance Company in the City of New York	American International Group	insurance violation	2017	NY-DFS	$873,918
Variable Annuity Life Insurance Company	American International Group	insurance violation	2017	NY-DFS	$25,000
AIG Claims Inc.	American International Group	insurance violation	2018	NY-DFS	$177,500
National Union Fire Insurance Company	American International Group	insurance violation	2019	NY-DFS	$5,200,000
The United States Life Insurance Company	American International Group	insurance violation	2019	NY-DFS	$171,902
AIU Insurance Company	American International Group	insurance violation	2002	OR-FIN	$10,000
AIG Life Insurance Company	American International Group	insurance violation	2006	OR-FIN	$10,000
National Union Fire Insurance Company of Pittsburgh, PA	American International Group	insurance violation	2006	OR-FIN	$30,000
United States Life Insurance Company in the City of New York	American International Group	insurance violation	2006	OR-FIN	$20,000
AIU Insurance Company et al.	American International Group	insurance violation	2007	OR-FIN	$1,000,000
AIG Casualty Company	American International Group	insurance violation	2007	OR-FIN	$7,500
American Home Assurance Company	American International Group	insurance violation	2007	OR-FIN	$10,000
Commerce and Industry Insurance Company	American International Group	insurance violation	2007	OR-FIN	$10,000
Granite State Insurance Company	American International Group	insurance violation	2007	OR-FIN	$5,000
The Insurance Company of the State of Pennsylvania	American International Group	insurance violation	2007	OR-FIN	$10,000
National Union Fire Insurance Company of Pittsburgh, PA	American International Group	insurance violation	2009	OR-FIN	$65,000
American Home Assurance Company	American International Group	consumer protection violation	2012	OR-FIN	$20,000
Commerce and Industry Insurance Company	American International Group	insurance violation	2012	OR-FIN	$20,000
New Hampshire Insurance Company	American International Group	insurance violation	2012	OR-FIN	$30,000
Insurance Company of the State of Pennsylvania	American International Group	insurance violation	2012	OR-FIN	$10,000
American International Insurance Group Inc.	American International Group	insurance violation	2008	PA-INS	$9,125,400
AIG National Insurance Company	American International Group	insurance violation	2008	RI-FIN	$10,000
American General Life Insurance Company	American International Group	insurance violation	2020	RI-FIN	$25,000
National Union Fire Insurance Company of Pittsburgh, PA	American International Group	insurance violation	2016	SC-INS	$90,000
New Hampshire Insurance Company	American International Group	insurance violation	2013	SD-INS	$5,000
American General Life Insurance Company	American International Group	insurance violation	2014	SD-INS	$15,000
New Hampshire Insurance Company	American International Group	insurance violation	2014	SD-INS	$5,000
American Home Assurance Company	American International Group	insurance violation	2009	TX-INS	$22,500
The Insurance Company of the State of Pennsylvania	American International Group	insurance violation	2009	TX-INS	$7,500
New Hampshire Insurance Company	American International Group	insurance violation	2009	TX-INS	$7,500
American Home Assurance Company et al.	American International Group	insurance violation	2010	TX-INS	$650,000
Insurance Company of the State of Pennsylvania	American International Group	insurance violation	2010	TX-INS	$175,000
New Hampshire Insurance Company	American International Group	insurance violation	2010	TX-INS	$175,000
Commerce and Industry Insurance Company	American International Group	insurance violation	2010	TX-INS	$60,000
New Hampshire Insurance Company	American International Group	insurance violation	2010	TX-INS	$40,000
New Hampshire Insurance Company	American International Group	insurance violation	2011	TX-INS	$5,000
Illinois National Insurance Company	American International Group	insurance violation	2012	TX-INS	$8,900
New Hampshire Insurance Company	American International Group	insurance violation	2012	TX-INS	$16,000
American Home Assurance Co.	American International Group	insurance violation	2012	TX-INS	$20,784
New Hampshire Insurance Company	American International Group	insurance violation	2012	TX-INS	$18,096
Illinois National Insurance Company	American International Group	insurance violation	2012	TX-INS	$5,856
New Hampshire Insurance Company	American International Group	insurance violation	2012	TX-INS	$16,000
American Home Assurance Company	American International Group	insurance violation	2013	TX-INS	$5,500
Commerce and Industry Insurance Company	American International Group	insurance violation	2014	TX-INS	$5,800
Illinois National Insurance Company	American International Group	insurance violation	2014	TX-INS	$12,774
New Hampshire Insurance Company	American International Group	insurance violation	2014	TX-INS	$29,981
The Insurance Company of the State of Pennsylvania	American International Group	insurance violation	2014	TX-INS	$8,397
American Home Assurance Company	American International Group	insurance violation	2014	TX-INS	$7,848
The Insurance Company of the State of Pennsylvania	American International Group	insurance violation	2014	TX-INS	$6,500
New Hampshire Insurance Company	American International Group	insurance violation	2014	TX-INS	$89,000
Illinois National Insurance Company	American International Group	insurance violation	2015	TX-INS	$8,000
AIG Property Casualty Company	American International Group	insurance violation	2015	TX-INS	$8,500
Commerce and Industry Insurance Company	American International Group	insurance violation	2015	TX-INS	$34,000
New Hampshire Insurance Company	American International Group	insurance violation	2015	TX-INS	$19,500
American Home Assurance Company	American International Group	insurance violation	2015	TX-INS	$90,000
New Hampshire Insurance Company	American International Group	insurance violation	2015	TX-INS	$34,000
New Hampshire Insurance Company	American International Group	insurance violation	2015	TX-INS	$7,000
New Hampshire Insurance Company	American International Group	insurance violation	2015	TX-INS	$8,500
Commerce and Industry Insurance Company	American International Group	insurance violation	2015	TX-INS	$15,000
New Hampshire Insurance Company	American International Group	insurance violation	2016	TX-INS	$12,500
American Home Assurance Company	American International Group	insurance violation	2016	TX-INS	$20,000
Commerce and Industry Insurance Company	American International Group	insurance violation	2016	TX-INS	$12,500
The Insurance Company of the State of Pennsylvania	American International Group	insurance violation	2016	TX-INS	$18,000
Granite State Insurance Company	American International Group	insurance violation	2016	TX-INS	$10,200
Illinois National Insurance Co	American International Group	insurance violation	2016	TX-INS	$24,250
AIG Assurance Company	American International Group	insurance violation	2016	TX-INS	$51,750
AIG Property Casualty Company	American International Group	insurance violation	2016	TX-INS	$55,800
AIU Insurance Company	American International Group	insurance violation	2016	TX-INS	$27,180
American Home Assurance Company	American International Group	insurance violation	2016	TX-INS	$9,000
New Hampshire Insurance Company	American International Group	insurance violation	2016	TX-INS	$6,000
New Hampshire Insurance Company	American International Group	insurance violation	2017	TX-INS	$5,000
The Insurance Company of the State of Pennsylvania	American International Group	insurance violation	2017	TX-INS	$44,000
The Insurance Company of the State of Pennsylvania	American International Group	insurance violation	2017	TX-INS	$5,300
New Hampshire Insurance Company	American International Group	insurance violation	2017	TX-INS	$38,000
Insurance Company of the State of Pennsylvania	American International Group	insurance violation	2018	TX-INS	$8,500
Granite State Insurance Company	American International Group	insurance violation	2018	TX-INS	$22,000
Commerce and Industry Insurance Company	American International Group	insurance violation	2018	TX-INS	$20,000
The Insurance Company of the State of Pennsylvania	American International Group	insurance violation	2018	TX-INS	$8,400
New Hampshire Insurance Company	American International Group	insurance violation	2019	TX-INS	$7,500
New Hampshire Insurance Company	American International Group	insurance violation	2019	TX-INS	$30,000
The Insurance Company of the State of Pennsylvania	American International Group	insurance violation	2019	TX-INS	$9,000
AMERICAN GENERAL LIFE	American International Group	insurance violation	2001	VA-INS	$14,000
SUNAMERICA SECURITIES, INC.	American International Group	investor protection violation	2006	VA-SEC	$10,000
AMERICAN HOME ASSURANCE ET AL.	American International Group	insurance violation	2007	VA-INS	$5,000
AIU INSURANCE COMPANY ET AL.	American International Group	insurance violation	2008	VA-INS	$100,000
AIG CASUALTY INSURANCE CO., ET AL.	American International Group	insurance violation	2008	VA-INS	$10,000
NATIONAL UNION FIRE INSURANCE	American International Group	insurance violation	2011	VA-INS	$40,000
National Union Fire Insurance Company of Pittsburgh, PA	American International Group	insurance violation	2011	VA-INS	$10,000
National Union Fire Insurance Company of Pittsburgh, PA	American International Group	insurance violation	2011	VA-INS	$10,000
GRANITE STATE INSURANCE CO.	American International Group	insurance violation	2012	VA-INS	$19,560
COMMERCE & INDUSTRY INSURANCE	American International Group	insurance violation	2012	VA-INS	$44,518
AIU INSURANCE COMPANY	American International Group	insurance violation	2012	VA-INS	$31,900
AMERICAN HOME ASSURANCE CO.	American International Group	insurance violation	2012	VA-INS	$15,000
NATIONAL UNION FIRE INSURANCE	American International Group	insurance violation	2014	VA-INS	$8,000
GRANITE STATE INSURANCE CO.	American International Group	insurance violation	2018	VA-INS	$152,318
National Union Fire Insurance Company of Pittsburgh, Pennsylvania	American International Group	insurance violation	2019	VA-INS	$28,806
National Union Fire Insurance Company Of Pittsburgh, Pa	American International Group	insurance violation	2010	WA-INS	$100,000