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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
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2020NY-DFS$84,668
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyinvestor protection violation2022SEC$4,628,194
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2022WA-INS$40,000
Ameritas Investment Co.Ameritas Mutual Holding Companyinvestor protection violation2022NV-SEC$15,000
Amerisave Mortgage Corporation and Novo Appraisal Management CompanyAmeriSave Mortgageconsumer protection violation2014CFPB$19,300,000
Amerisave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2017CA-DFPI$50,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2009KY-FIN$18,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2019KY-FIN$5,000
AmeriSave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2010MA-BKG$25,000
Amerisave Mortgage CorporationAmeriSave Mortgageconsumer protection violation2009PA-BKG$50,000
Amerisave Mortgage CorporationAmeriSave Mortgageinvestor protection violation2013MULTI-FIN$2,300,000
AmeriSave Mortgage CorporationAmeriSave Mortgageprivacy violation2020private lawsuit-federal$6,250,000
Investment Professionals Inc.Ameriprise Financialinvestor protection violation2014SEC$67,800
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009SEC$17,300,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$15,000,000
Ameriprise Financial, Inc.Ameriprise Financialinvestor protection violation2005SEC$30,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc.Ameriprise Financialinvestor protection violation2005SEC$140,000,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2004SEC$3,706,693
Ameriprise Financial, Inc.Ameriprise Financialemployment discrimination2016OFCCP$128,200
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2017SEC$8,750,000
Columbia Management Investment Services Corp.Ameriprise Financialinvestor protection violation2017SEC$250,000
Ameriprise Financial ServicesAmeriprise Financialinvestor protection violation2018SEC$230,000
Ameriprise FinancialAmeriprise Financialwage and hour violation2011private lawsuit-federal$185,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2018SEC$4,500,000
American Express Financial AdvisorsAmeriprise Financialemployment discrimination2002private lawsuit-federal$31,000,000
Ameriprise Financial, Inc.Ameriprise Financialbenefit plan administrator violation2015private lawsuit-federal$27,500,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2005NJ-AG$5,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialconsumer protection violation2009MA-AG$200,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2018NJ-AG$375,000
Ameriprise GroupAmeriprise Financialinsurance violation2017MULTI-AG$1,500,000
American Express Financial AdvisorsAmeriprise Financialinvestor protection violation2000AZ-CC$125,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005AZ-CC$1,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2006AZ-CC$1,250,000
RiverSource Life Insurance Co.Ameriprise Financialinsurance violation2015CA-INS$800,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2018CA-DFPI$115,000
RiverSource Life Insurance Co.Ameriprise Financialinsurance violation2018DE-INS$75,000
RiverSource Life Insurance Co.Ameriprise Financialinsurance violation2011FL-OFR$10,500
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008IL-SEC$1,449,384
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009KY-FIN$983,984
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013MA-SEC$400,000
Investment Professionals, Inc.Ameriprise Financialinvestor protection violation2017MA-SEC$100,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013MD-SEC$50,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2002MN-FIN$5,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2005MN-FIN$2,000,000
Investment Professionals, Inc.Ameriprise Financialinvestor protection violation2009MO-SEC$52,500
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008MS-SEC$150,000
Ameriprise Financial Services Inc.Ameriprise Financialconsumer protection violation2013NE-DBF$10,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2005NH-BSR$7,375,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008NH-BSR$3,400,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2014NH-BSR$90,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016NH-BSR$30,800
Investment Professionals Inc.Ameriprise Financialinsurance violation2014NY-DFS$10,000
Ameriprise Advisor Services Inc.Ameriprise Financialinvestor protection violation2009RI-FIN$48,411
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2018SC-SEC$650,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2000TX-SEC$9,000
AMERIPRISE FINANCIAL SERVICESAmeriprise Financialinvestor protection violation2008VA-SEC$780,000
AMERIPRISE FINANCIAL SERVICES, INC.Ameriprise Financialinvestor protection violation2016VA-SEC$14,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016WA-FIN$55,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2009MULTI-FIN$720,000
RiverSource Life Insurance CompanyAmeriprise Financialinsurance violation2016MULTI-FIN$1,500,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016FINRA$850,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013FINRA$750,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005FINRA$12,300,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005FINRA$1,250,000
American Express Financial AdvisorsAmeriprise Financialinvestor protection violation2005FINRA$13,000,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2004FINRA$700,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2004FINRA$300,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2002FINRA$350,000
Allied Home Mortgage Capital CorporationAmericus Mortgageconsumer protection violation2003HUD$370,000
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$14,479
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$1,800,282
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2006WHD$30,928
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2005WHD$9,830
Allied Home MortgageAmericus Mortgagewage and hour violation2004WHD$14,037
Allied Home MortgageAmericus Mortgagefraud2017USAO$296,298,325
Allied Home Mortgage Capital Corp.Americus Mortgageinvestor protection violation2009AR-SEC$10,000
Allied Home Mortgage Corp.Americus Mortgageconsumer protection violation2012IL-BKG$7,500
Allied Home Mortgage Capital Corp.Americus Mortgageconsumer protection violation2009KY-FIN$5,740
Allied Home Mortgage Capital CorporationAmericus Mortgageconsumer protection violation2009NY-DFS$10,000
Allied Home Mortgage Capital CorporationAmericus Mortgageconsumer protection violation2009PA-BKG$8,000
Allied Home Mortgage Corporation et al.Americus Mortgageconsumer protection violation2012PA-BKG$10,000
ALLIED HOME MORTGAGE CAPITALAmericus Mortgageconsumer protection violation2008VA-FIN$5,000
ALLIED HOME MORTGAGE CAPITALAmericus Mortgageconsumer protection violation2010VA-FIN$25,000
American-Amicable Life Insurance CompanyAmerican-Amicable Groupinsurance violation2006MULTI-FIN$60,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2006DOJ_CRIMINAL$25,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2004DOJ_CRIMINAL$80,000,000
American International Group, Inc.American International Groupinvestor protection violation2006SEC$800,000,000
American International Group, Inc.American International Groupinvestor protection violation2004SEC$46,000,000
American International Group, Inc.American International Groupaccounting fraud or deficiencies2003SEC$10,000,000
AIG Federal Savings Bank and Wilmington Finance Inc.American International Groupdiscriminatory practices (non-employment)2010DOJ_RIGHTS$6,100,000
AMERICAN INTERNATIONAL GROUP INC GROUP LIFE & MEDICAL INSURANCE PLANAmerican International Groupbenefit plan administrator violation2005EBSA$50,001
American International GroupAmerican International Groupeconomic sanction violation2017OFAC$148,698
American International Group, Inc.American International Groupbenefit plan administrator violation2015private lawsuit-federal$40,000,000
American International Group, Inc.American International Groupbenefit plan administrator violation2008private lawsuit-federal$24,200,000
American International GroupAmerican International Groupwage and hour violation2009MA-AG$900,000
American International GroupAmerican International GroupFalse Claims Act and related2008MA-AG$218,920
American International GroupAmerican International GroupFalse Claims Act and related2007MA-AG$58,500,000
American International GroupAmerican International Groupprice-fixing or anti-competitive practices2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,619,000,000
American International GroupAmerican International Groupinvestor protection violation2010OH-AG$725,000,000
American International GroupAmerican International Groupprice-fixing or anti-competitive practices2010OH-AG$9,000,000
American International Group Inc.American International Groupinvestor protection violation2010OR-AG$8,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.