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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
Aon CorporationAonForeign Corrupt Practices Act2011SEC$14,545,020
Hewitt Associates LLCAonwage and hour violation2010WHD$48,103
AON Consulting Corporation IncAonwage and hour violation2004WHD$47,131
AonAonwage and hour violation2011private lawsuit-state$10,500,000
Hewitt AssociatesAonwage and hour violation2009private lawsuit-federal$4,900,000
Aon CorporationAonbenefit plan administrator violation2010private lawsuit-federal$1,800,000
Aon Corp.Aonconsumer protection violation2008FL-AG$4,000,000
Aon CorporationAonprice-fixing or anti-competitive practices2005MULTI-AG$190,000,000
AON SERVICE CORPORATIONAonwage and hour violation2017WHD$7,406
Aon Risk Services Inc. of WashingtonAoninsurance violation2002AK-INS$5,000
Aon Risk Services Inc. of PennsylvaniaAoninsurance violation2005MA-INS$19,000
Aon Risk Services NortheastAoninsurance violation2014MA-INS$15,000
AON Risk Services IncAoninsurance violation2004NJ-DBI$10,000
Affinity Insurance Services Inc.Aoninsurance violation2004PA-INS$5,000
Affinity Insurance Services Inc.Aoninsurance violation2006PA-INS$40,000
Aon Risk Services Central Inc.Aoninsurance violation2008PA-INS$5,000
Aon Hewitt Health Market Insurance Solutions, Inc.Aonwage and hour violation2021private lawsuit-federal$1,250,000
Affinity Insurance Services, Inc.Aoninsurance violation2021AK-INS$35,000
Arab Banking Corp.Arab Banking Corp.economic sanction violation2004OFAC$5,500
Arch Insurance CompanyArch Capitalconsumer protection violation2010MD-AG$460,000
Arch Insurance Co.Arch Capitalinsurance violation2019ID-INS$5,000
Arch Insurance Co.Arch Capitalinsurance violation2016MO-INS$145,000
Arch Insurance Co.Arch Capitalinsurance violation2013MT-INS$29,075
Arch Insurance CompanyArch Capitalinsurance violation2019NY-DFS$5,000,000
Arch Insurance CompanyArch Capitalinsurance violation2010TX-INS$14,000
Arch Insurance CompanyArch Capitalinsurance violation2012TX-INS$26,500
Arch Insurance CompanyArch Capitalinsurance violation2014TX-INS$40,143
Arch Insurance CompanyArch Capitalinsurance violation2014TX-INS$10,000
Arch Insurance CompanyArch Capitalinsurance violation2015TX-INS$19,000
Arch Insurance CompanyArch Capitalinsurance violation2016TX-INS$32,500
Arch Insurance CompanyArch Capitalinsurance violation2017TX-INS$5,000
Arch Insurance CompanyArch Capitalinsurance violation2018TX-INS$7,000
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2019TX-INS$10,250
Arch Insurance CompanyArch Capitalinsurance violation2019VA-INS$26,447
Arch Insurance CompanyArch Capitalinsurance violation2011WA-INS$20,000
Arch Insurance CompanyArch Capitalinsurance violation2017MULTI-FIN$1,017,000
Arch Insurance Co.Arch Capitalinsurance violation2020WA-INS$10,000
Arch Insurance Co.Arch Capitalinsurance violation2021TX-INS$6,000
Arch Insurance Co.Arch Capitalinsurance violation2021TX-INS$69,000
Arch Insurance CompanyArch Capitalinsurance violation2022TX-INS$20,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.insider trading2006SEC$3,755,839
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2004SEC$125,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2008FINRA$50,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2006FINRA$4,000,000
Arthur J. GallagherArthur J. Gallagher & Co.wage and hour violation2011private lawsuit-federal$3,900,000
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.consumer protection violation2005IL-AG$27,000,000
Gallagher Benefit Services, Inc.Arthur J. Gallagher & Co.insurance violation2014NJ-DBI$5,000
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2018TX-INS$6,300
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020TX-INS$7,025
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020TX-INS$9,675
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020NY-DFS$300,800
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2020NY-DFS$39,750
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.employment discrimination2021EEOC$40,000
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2022TX-INS$10,950
Generali U.S. BranchAssicurazioni Generaliinsurance violation2017MULTI-FIN$492,000
Generali - U.S. Branch dba The General Insurance Company of Trieste & VeniceAssicurazioni Generaliinsurance violation2021OR-FIN$10,000
Associated Bank, N.A.Associated Banc-Corpdiscriminatory practices (non-employment)2015HUD$200,000,000
Associated Banc-CorpAssociated Banc-Corpwage and hour violation2012private lawsuit-federal$1,275,000
Assurant Inc.Assurantaccounting fraud or deficiencies2010SEC$3,500,000
American Bankers Insurance Co.Assurantconsumer protection violation2006MA-AG$20,000
American Security Insurance Co.Assurantconsumer protection violation2017MA-AG$6,300,000
American Security Insurance Co.Assurantconsumer protection violation2015MA-AG$565,000
American Security Insurance Co.Assurantconsumer protection violation2019MS-AG$767,394
Resource Life Insurance Co.Assurantconsumer protection violation2010TX-AG$2,600,000
Union Security Insurance CompanyAssurantconsumer protection violation2007MA-AG$28,000
Union Security Life Insurance CoAssurantconsumer protection violation2000MA-AG$1,000,000
American Security Insurance CompanyAssurantemployment discrimination2020EEOC$49,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2011AZ-DIFI$36,000
John Alden Life Insurance Co.Assurantinsurance violation2013AZ-DIFI$90,000
Union Security Insurance Co.Assurantinsurance violation2013AZ-DIFI$40,000
American Bankers Insurance Company of Florida et al.Assurantinsurance violation2004CA-INS$150,000
American Bankers Insurance Company of Florida et al.Assurantinsurance violation2005CA-INS$250,000
American Bankers Life Assurance Company of Florida et al.Assurantinsurance violation2008CA-INS$750,000
John Alden Life Insurance Co.Assurantinsurance violation2012CO-INS$86,500
Assurant HealthAssurantinsurance violation2008CT-INS$2,100,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2020CT-INS$198,000
STANDARD GUARANTY INSURANCE COMPANYAssurantinsurance violation2001FL-OFR$6,000
Fortis Insurance Co.Assurantinsurance violation2007FL-OFR$11,000
American Bankers Life Assurance Company of FloridaAssurantinsurance violation2011IL-INS$15,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2007IN-INS$87,500
American Bankers Insurance Company of FloridaAssurantinsurance violation2001MA-INS$65,000
American Security Insurance Co. et al.Assurantinsurance violation2017MD-INS$25,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004ME-INS$20,000
Fortis Insurance Co. and Fortis Benefits Insurance Co.Assurantinsurance violation2001MN-FIN$5,000
Fortis Insurance Co. and John Alden Life Insurance Co.Assurantinsurance violation2002MN-FIN$10,000
Fortis Insurance Co. and John Alden Life Insurance Co.Assurantinsurance violation2002MN-FIN$75,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2003MN-FIN$100,000
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.