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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
Allstate Insurance Co. and Allstate Indemnity Co.Allstateinsurance violation2011MD-INS$40,000
Allstate Insurance Co.Allstateinsurance violation2013MD-INS$17,954
Allstate Indemnity Co. et al.Allstateinsurance violation2013MD-INS$18,000
Allstate Indemnity Co.Allstateinsurance violation2014MD-INS$5,000
Encompass Home and Auto Insurance Co.Allstateinsurance violation2014MD-INS$7,500
Allstate Insurance Co.Allstateinsurance violation2015MD-INS$5,000
Allstate Insurance Co.Allstateinsurance violation2017MD-INS$18,000
Allstate Indemnity Co.Allstateinsurance violation2017MD-INS$25,000
Allstate Insurance Co.Allstateinsurance violation2018MD-INS$32,500
Allstate Insurance Co.Allstateinsurance violation2001MN-FIN$10,000
Allstate Indemnity Insurance Co.Allstateinsurance violation2010MN-FIN$9,000
Allstate Insurance Co.Allstateinsurance violation2012MN-FIN$5,000
Allstate Insurance Co.Allstateinsurance violation2014MN-FIN$10,000
Esurance Property and Casualty Insurance Co.Allstateinsurance violation2015MN-FIN$60,000
Allstate Insurance Co.Allstateinsurance violation2016MN-FIN$5,000
Esurance Property and Casualty Co. and Esurance Insurance Co.Allstateinsurance violation2019MN-FIN$35,000
Allstate Insurance Co. and Encompass Indemnity Co. et al.Allstateinsurance violation2019MN-FIN$75,000
Allstate Insurance Co.Allstateinsurance violation2006MO-INS$60,000
Allstate Insurance Co. et al.Allstateinsurance violation2008MO-INS$9,483
National General Insurance Co.Allstateinsurance violation2012MO-INS$5,000
Allstate Fire and Casualty Insurance Co. et al.Allstateinsurance violation2017MT-INS$10,000
Allstate Insurance CompanyAllstateinsurance violation2010NC-INS$680,718
Allstate Life Insurance Co.Allstateinsurance violation2004NJ-DBI$15,000
Allstate New Jersey Insurance CompanyAllstateinsurance violation2009NJ-DBI$5,000
Allstate Life Insurance Company of New YorkAllstateinsurance violation2007NY-DFS$18,250,000
Encompass Indemnity CompanyAllstateinsurance violation2014NY-DFS$40,100
Allstate Fire and Casualty Insurance CompanyAllstateinsurance violation2016NY-DFS$50,000
Allstate Insurance CompanyAllstateinsurance violation2013OR-FIN$50,000
Allstate Life Insurance CompanyAllstateinsurance violation2004PA-INS$25,000
National General Assurance CompanyAllstateinsurance violation2009RI-FIN$16,500
Allstate Insurance CompanyAllstateinsurance violation2009RI-FIN$5,000
Allstate Property & Casualty Insurance CompanyAllstateinsurance violation2012RI-FIN$8,000
National General InsuranceAllstateinsurance violation2014RI-FIN$7,500
Allstate Insurance CompanyAllstateinsurance violation2016RI-FIN$10,000
Allstate Insurance CompanyAllstateinsurance violation2017RI-FIN$103,414
Esurance Property and Casualty Insurance CompanyAllstateinsurance violation2018RI-FIN$233,963
Allstate Fire & Casualty Insurance CompanyAllstateinsurance violation2018RI-FIN$60,000
Allstate Vehicle and Property Insurance CompanyAllstateinsurance violation2018SC-INS$10,000
Allstate Texas Lloyd'sAllstateinsurance violation2008TX-INS$71,300,000
Allstate Insurance CompanyAllstateinsurance violation2010TX-INS$879,510
National General Insurance CompanyAllstateinsurance violation2010TX-INS$25,000
Esurance Property and Casualty Insurance CompanyAllstateinsurance violation2018TX-INS$12,500
Allstate Indemnity CompanyAllstateinsurance violation2018UT-INS$5,000
ALLSTATE INSURANCE COMPANYAllstateinsurance violation2002VA-INS$10,000
AMERICAN HERITAGE LIFE INSURANCE COAllstateinsurance violation2002VA-INS$15,000
ALLSTATE INSURANCE & ALLSTATE INDEMNITY COAllstateinsurance violation2003VA-INS$31,300
ALLSTATE INSURANCE CO., ET AL.Allstateinsurance violation2003VA-INS$50,000
ALLSTATE LIFE INSURANCE CO.Allstateinsurance violation2005VA-INS$5,000
AMERICAN HERITAGE LIFE INSURANCE COAllstateinsurance violation2006VA-INS$18,000
Allstate Insurance Company and Allstate Indemnity CompanyAllstateinsurance violation2007VA-INS$8,000
ALLSTATE FIRE & CASUALTY ET ALAllstateinsurance violation2009VA-INS$36,000
ESURANCE INSURANCE COMPANYAllstateinsurance violation2009VA-INS$20,000
ALLSTATE INSURANCE COMPANYAllstateinsurance violation2010VA-INS$15,000
ALLSTATE INSURANCE COMPANYAllstateinsurance violation2013VA-INS$5,000
ALLSTATE INSURANCE COMPANYAllstateinsurance violation2015VA-INS$197,201
ESURANCE INSURANCE COMPANYAllstateinsurance violation2015VA-INS$50,508
National General Insurance CompanyAllstateinsurance violation2010WA-INS$15,000
Allstate Insurance CompanyAllstateinsurance violation2011WA-INS$50,000
Allstate Fire & Casualty Insurance CompanyAllstateinsurance violation2013WA-INS$15,000
Allstate Indemnity Company et al.Allstateinsurance violation2015WA-INS$10,000
Allstate Financial Services, Inc.Allstateconsumer protection violation2003WA-FIN$58,988
AllstateAllstateinsurance violation2010MULTI-FIN$10,000,000
Allstate Life Insurance CompanyAllstateinsurance violation2018MULTI-FIN$150,000
National General Insurance CompanyAllstateinsurance violation2020AZ-DIFI$75,000
Allstate CorporationAllstatediscriminatory practices (non-employment)2007private lawsuit-federal$11,720,000
Allstate Insurance GroupAllstateinsurance violation2020NY-DFS$1,455,368
Allstate Insurance CompanyAllstateinsurance violation2020OR-FIN$50,000
Esurance Insurance CompanyAllstateinsurance violation2020TX-INS$200,000
Allstate Financial Services LLCAllstateinvestor protection violation2004FINRA$150,000
Allstate Property & Casualty Insurance Company, et al.Allstateinsurance violation2021RI-FIN$7,500
Allstate Fire & Casualty Insurance CompanyAllstateinsurance violation2021WA-INS$10,000
Allstate Fire & Casualty Insurance Company et al.Allstateinsurance violation2021WA-INS$7,500
Allstate Indemnity CompanyAllstateinsurance violation2021MD-INS$50,000
Allstate Life Insurance Company of New YorkAllstateinsurance violation2021NY-DFS$196,250
Allstate Fire & Casualty Insurance Company et al.Allstateinsurance violation2021VT-FIN$225,000
Allstate Vehicle And Property Insurance CompanyAllstateinsurance violation2022WA-INS$25,000
Allstate Property and Casualty et al.Allstateinsurance violation2022RI-FIN$65,000
ALLSTATEAllstateworkplace safety or health violation2002OSHA$69,500
Allianz SEAllianzForeign Corrupt Practices Act2012SEC$12,396,423
Fireman's Fund Insurance CompanyAllianzFalse Claims Act and related2015DOJ_CIVIL$44,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzinvestor protection violation2004SEC$11,600,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzinvestor protection violation2004SEC$50,000,000
Allianz Asset Management of America, L.P.Allianzbenefit plan administrator violation2018private lawsuit-federal$12,000,000
Allianz Dresdner Asset Management of America LPAllianzinvestor protection violation2004NJ-AG$18,000,000
Allianz Life Insurance Company of North AmericaAllianzinvestor protection violation2007MN-AG$500,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2015MULTI-AG$4,700,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2012MULTI-AG$10,000,000
American Automobile Insurance Co.Allianzconsumer protection violation2011MA-AG$571,394
Allianz Global Risks U.S. Insurance CompanAllianzeconomic sanction violation2019OFAC$170,535
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2005CA-INS$425,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2008CA-INS$10,050,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2006CO-INS$34,800
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2019DE-INS$13,500
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2000FL-OFR$14,000
Fireman' Fund Insurance Co.Allianzinsurance violation2002FL-OFR$13,850
Fireman's Fund Insurance Co.Allianzinsurance violation2007FL-OFR$5,500
Chicago Insurance Co.Allianzinsurance violation2008FL-OFR$130,000
AGCS Marine Insurance Co.Allianzinsurance violation2017KS-INS$63,483
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2019KS-INS$60,000
Fireman's Fund Insurance CompanyAllianzinsurance violation2002MA-INS$20,000
American Automobile Insurance CompanyAllianzinsurance violation2005MA-INS$9,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.