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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 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
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
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
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
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
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
Arch Indemnity Insurance CompanyArch Capitalinsurance violation2022TX-INS$19,000
Arab Banking Corp.Arab Banking Corp.economic sanction violation2004OFAC$5,500
Aon CorporationAonForeign Corrupt Practices Act2011DOJ_CRIMINAL$1,760,000
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
Amica Mutual Insurance Co.Amica Mutual Insuranceconsumer protection violation2012MA-AG$837,384
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2007MA-INS$12,000
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2016MD-INS$7,500
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018NY-DFS$20,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018TX-INS$10,000
AMICA MUTUAL INSURANCE COMPANYAmica Mutual Insuranceinsurance violation2002VA-INS$14,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018WA-INS$20,000
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2020TX-INS$120,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2022MD-INS$128,790
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2015SEC$200,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companywage and hour violation2017WHD$9,019
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2019SEC$3,389,174
Ameritas Investment Corp.Ameritas Mutual Holding Companyinsurance violation2019CA-INS$15,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2019CT-INS$5,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2014IA-INS$10,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2008NE-DBF$11,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2015NJ-DBI$2,524,290
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2015NY-DFS$72,975
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2006OR-FIN$5,000
Ameritas Investment CorporationAmeritas Mutual Holding Companyinvestor protection violation2003TX-SEC$25,000
AMERITAS LIFE INSURANCE CORPAmeritas Mutual Holding Companyinsurance violation2001VA-INS$9,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companyinsurance violation2017WA-INS$10,000
Ameritas Life Insurance CorpAmeritas Mutual Holding Companyinsurance violation2019WA-INS$50,000
Ameritas Investment Company LLCAmeritas Mutual Holding Companyinvestor protection violation2020PA-BKG$100,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2020TN-INS$30,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2015FINRA$278,544
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2009FINRA$100,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2021SD-SEC$20,000
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2020NY-DFS$84,668
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.