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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,479,735,000115
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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 ParentPrimary Offense TypeYear sort icon . AgencyPenalty Amount
Bankers Life & Casualty CompanyCNO Financialinsurance violation2011RI-FIN$975,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2011SC-SEC$30,000
American Family Home Insurance Co.Munich Reinsurance violation2011SC-INS$9,800
United Services Automobile AssociationUSAAinsurance violation2011SC-INS$8,000
Bristol West Insurance CompanyZurich Insuranceinsurance violation2011SC-INS$7,500
XL Specialty Insurance CompanyAXAinsurance violation2011TX-INS$25,000
SCOR Global Life U.S. Re Insurance CompanySCORinsurance violation2011TX-INS$99,000
SCOR Global Life U.S. Re Insurance Company of TexasSCORinsurance violation2011TX-INS$90,000
Ace American Insurance CompanyChubb Limitedinsurance violation2011TX-INS$48,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2011TX-INS$68,000
Virginia Surety Company Inc.Assurantinsurance violation2011TX-INS$200,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2011TX-INS$18,000
Marsh USA Inc.Marsh & McLennaninsurance violation2011TX-INS$121,189
American Zurich Insurance CompanyZurich Insuranceinsurance violation2011TX-INS$9,000
Hanover Insurance CompanyHanover Insuranceinsurance violation2011TX-INS$15,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2011TX-INS$15,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2011TX-INS$5,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2011TX-INS$10,000
Hartford Casualty Insurance CorporationHartford Financial Servicesinsurance violation2011TX-INS$5,500
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2011TX-INS$85,000
XL Insurance America Inc.AXAinsurance violation2011TX-INS$7,000
Ace American Insurance CompanyChubb Limitedinsurance violation2011TX-INS$40,000
Great American Assurance Co. et al.American Financial Groupinsurance violation2011TX-INS$195,000
Accident Fund Insurance Co. of AmericaAF Groupinsurance violation2011TX-INS$8,000
Chubb Indemnity Insurance Co.Chubb Limitedinsurance violation2011TX-INS$24,000
Federal Insurance Co.Chubb Limitedinsurance violation2011TX-INS$17,500
BNY Mellon Capital Markets LLCBank of New York Melloninvestor protection violation2011TX-SEC$500,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2011UT-INS$50,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2011UT-INS$29,500
Lincoln National life Insurance CompanyLincoln Nationalinsurance violation2011UT-INS$6,000
Genworth Life and Annuity Insurance CompanyGenworth Financialinsurance violation2011UT-INS$6,000
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2011UT-INS$6,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2011VA-INS$8,000
STATE FARM MUTUAL, ET AL.State Farm Insuranceinsurance violation2011VA-INS$60,000
HORACE MANN INSURANCE CO., ET AL.Horace Mann Educators Corp.insurance violation2011VA-INS$48,800
CAREFIRST BLUECHOICE, INC.CareFirst of Marylandinsurance violation2011VA-INS$20,000
EMPIRE FIRE & MARINE INSURANCE COZurich Insuranceinsurance violation2011VA-INS$25,000
Property & Casualty Insurance Company of Hartford and Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2011VA-INS$126,386
NATIONAL UNION FIRE INSURANCEAmerican International Groupinsurance violation2011VA-INS$40,000
Auto-Owners Insurance Company and Owners Insurance CompanyAuto-Owners Insuranceinsurance violation2011VA-INS$10,000
CAROLINA CASUALTY INSURANCE COW.R. Berkleyinsurance violation2011VA-INS$10,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2011VA-INS$10,000
NATIONWIDE MUTUAL FIRE, ET AL.Nationwideinsurance violation2011VA-INS$51,384
American Guarantee and Liability Insurance CompanyZurich Insuranceinsurance violation2011VA-INS$5,000
Allied Property & Casualty Insurance CompanyNationwideinsurance violation2011VA-INS$27,911
American Automobile Insurance Company et al.Allianzinsurance violation2011VA-INS$10,973
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2011VA-INS$10,000
BRISTOL WEST INSURANCE CO.Zurich Insuranceinsurance violation2011VA-INS$75,400
CONSECO SENIOR & CONSECO LIFECNO Financialinsurance violation2011VA-INS$25,000
PEERLESS INDEMNITY INSURANCE CO. ET AL.Liberty Mutual Insuranceinsurance violation2011VA-INS$40,057
American Economy Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2011VA-INS$12,000
Austin Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2011WA-INS$10,000
Chubb Group Of CompaniesChubb Limitedinsurance violation2011WA-INS$534,000
Homesite Insurance Company Of The MidwestAmerican Family Insuranceinsurance violation2011WA-INS$12,000
Ace American Insurance CompanyChubb Limitedinsurance violation2011WA-INS$50,000
Progressive American Insurance CompanyProgressiveinsurance violation2011WA-INS$30,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2011WA-INS$20,000
Old Republic Title LtdOld Republic Internationalinsurance violation2011WA-INS$5,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2011WA-INS$10,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2011WA-INS$75,000
American Bankers Insurance Company Of FloridaAssurantinsurance violation2011WA-INS$170,000
Victoria Fire & Casualty CompanyNationwideinsurance violation2011WA-INS$5,000
HSBC Securities USA IncHSBCinsurance violation2011WA-INS$7,000
Allstate Insurance CompanyAllstateinsurance violation2011WA-INS$50,000
Chicago Title Insurance CompanyFidelity National Financialinsurance violation2011WA-INS$10,000
Lifewise Health Plan Of WashingtonPremera Blue Crossinsurance violation2011WA-INS$10,000
Arch Insurance CompanyArch Capitalinsurance violation2011WA-INS$20,000
Lifewise Health Plan Of WashingtonPremera Blue Crossinsurance violation2011WA-INS$20,000
Infinity Insurance Co.Kemperinsurance violation2011WI-INS$5,000
Selective Insurance Company of the SoutheastSelective Insurance Groupinsurance violation2011WI-INS$5,000
E*TRADE Securities LLCMorgan Stanleyinvestor protection violation2011MULTI-FIN$5,000,000
Mortgage Access Corp. dba Weichert Financial ServicesWeichert Financial Servicesconsumer protection violation2011MULTI-FIN$3,000,000
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2011MULTI-FIN$1,750,000
Wells Fargo Bank N.A.Wells Fargodiscriminatory practices (non-employment)2011private lawsuit-state$3,520,000
UBS AGUBSenvironmental violation2011CT-ENV$80,000
Imperial-Savannah, L.P.Louis Dreyfusenvironmental violation2011GA-ENV$80,000
Bank of North GeorgiaSynovus Financialenvironmental violation2011GA-ENV$14,000
LOUIS DREYFUS AGRICULTURAL INDUSTRIES LLCLouis Dreyfusenvironmental violation2011IN-ENV$103,750
LIBERTY MUTUAL INSURANCE CO IH LABLiberty Mutual Insuranceenvironmental violation2011MA-ENV$8,000
WHEELABRATOR BALTIMOREMacquarieenvironmental violation2011MD-ENV$77,500
JP Morgan ChaseJPMorgan Chaseenvironmental violation2011TX-ENV$6,555
Towers PerrinWillis Towers Watsonbenefit plan administrator violation2011private lawsuit-federal$9,200,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2011FINRA$1,750,000
Barclays Capital Inc.Barclaysinvestor protection violation2011FINRA$3,000,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2011FINRA$2,000,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2011FINRA$2,050,000
Chase Investment Services CorporationJPMorgan Chaseinvestor protection violation2011FINRA$3,600,000
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2011FINRA$1,371,000
UBS Securities LLCUBSinvestor protection violation2011FINRA$12,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2011FINRA$1,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2011FINRA$2,115,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2011FINRA$500,000
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2011FINRA$5,000,000
Northern Trust SecuritiesNorthern Trustinvestor protection violation2011FINRA$600,000
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2011FINRA$4,500,000
Merrill LynchBank of Americainvestor protection violation2011FINRA$3,000,000
Nuveen Investments, LLCTIAAinvestor protection violation2011FINRA$3,000,000
Wells Fargo Advisors, LLCWells Fargoinvestor protection violation2011FINRA$1,000,000
Santander Securities of Puerto RicoBanco Santanderinvestor protection violation2011FINRA$2,000,000
UBS Financial Services, Inc.UBSinvestor protection violation2011FINRA$10,750,000
Southwest Securities, Inc.Hilltop Holdingsinvestor protection violation2011FINRA$650,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.