Violation Tracker

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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $347,416,567,662
Number of Records: 7,172
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 Companies	Total Penalty $	Number of Records
Bank of America	$83,354,221,356	271
JPMorgan Chase	$36,129,286,132	223
Wells Fargo	$25,781,458,643	230
Citigroup	$25,740,655,365	159
Deutsche Bank	$18,541,562,802	79
UBS	$17,082,743,334	106
Goldman Sachs	$16,603,475,848	90
NatWest Group PLC	$13,515,546,857	31
Credit Suisse	$11,427,400,126	52
Morgan Stanley	$10,167,765,234	190

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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Company	Current Parent	Primary Offense Type	Year .	Agency	Penalty Amount
Wells Fargo	Wells Fargo	investor protection violation	2009	CA-AG	$1,400,000,000
Credit Suisse AG	Credit Suisse	economic sanction violation	2009	NY-MANDA	$268,000,000
Lloyds TSB Bank plc	Lloyds Banking Group	economic sanction violation	2009	NY-MANDA	$175,000,000
Seabury & Smith, Inc.	Marsh & McLennan	insurance violation	2009	AK-INS	$39,378
Allied Home Mortgage Capital Corp.	Americus Mortgage	investor protection violation	2009	AR-SEC	$10,000
Coast National Insurance Co.	Zurich Insurance	insurance violation	2009	AZ-DIFI	$38,000
Blue Shield of California Life & Health Insurance Co.	California Physicians' Service	insurance violation	2009	CA-INS	$285,000
California Physicians' Service dba Blue Shield of California	California Physicians' Service	insurance violation	2009	CA-MHC	$12,500
New York Life Insurance Co.	New York Life Insurance	insurance violation	2009	CA-INS	$175,000
California Physicians' Service dba Blue Shield of California	California Physicians' Service	insurance violation	2009	CA-MHC	$15,000
Conseco Senior Health Insurance Co.	CNO Financial	insurance violation	2009	CA-INS	$500,000
California Physicians' Service dba Blue Shield of California	California Physicians' Service	insurance violation	2009	CA-MHC	$30,000
Coast National Insurance Co.	Zurich Insurance	insurance violation	2009	CA-INS	$150,000
National Western Life Insurance Co.	National Western Life	insurance violation	2009	CO-INS	$11,500
Time Insurance Co.	Haven Holdings	insurance violation	2009	CO-INS	$103,500
Permanent General Assurance Corp.	American Family Insurance	insurance violation	2009	CO-INS	$31,900
Freedom Mortgage Corp.	Freedom Mortgage	consumer protection violation	2009	CT-BKG	$43,000
PHH Mortgage Corp. dba Century Mortgage	Ocwen Financial	consumer protection violation	2009	CT-BKG	$6,000
Safeco	Liberty Mutual Insurance	insurance violation	2009	CT-INS	$434,000
Prosper Marketplace, Inc.	Prosper Marketplace	investor protection violation	2009	CT-SEC	$12,602
Bankers Life & Casualty Co.	CNO Financial	insurance violation	2009	CT-INS	$100,000
Citigroup Global Markets Inc.	Citigroup	consumer protection violation	2009	CT-BKG	$75,000
Ameritrade, Inc.	Charles Schwab Corp.	investor protection violation	2009	DE-SEC	$40,000
USAA Life Insurance Co.	USAA	insurance violation	2009	FL-OFR	$50,000
Universal Property & Casualty Insurance Co.	Universal Insurance Holdings	insurance violation	2009	FL-OFR	$99,000
National Union Fire Insurance Company of Pittsburgh, Pa.	American International Group	insurance violation	2009	ID-INS	$5,000
State Farm Mutual Automobile Insurance Co. et al.	State Farm Insurance	insurance violation	2009	IN-INS	$275,000
Chicago Title Insurance Co.	Fidelity National Financial	insurance violation	2009	IN-INS	$24,150
Ticor Title Insurance Co.	Fidelity National Financial	insurance violation	2009	IN-INS	$10,850
Liberty Mutual Insurance Co.	Liberty Mutual Insurance	insurance violation	2009	IN-INS	$5,000
Reliance Standard Life Insurance Co.	Tokio Marine	insurance violation	2009	KS-INS	$6,300
Old Republic Insurance Co.	Old Republic International	insurance violation	2009	KS-INS	$5,000
Progressive Direct Insurance Co.	Progressive	insurance violation	2009	KS-INS	$5,000
Bankers Life & Casualty Co.	CNO Financial	insurance violation	2009	KS-INS	$8,000
AmeriSave Mortgage Corp.	AmeriSave Mortgage	consumer protection violation	2009	KY-FIN	$18,000
Allied Home Mortgage Capital Corp.	Americus Mortgage	consumer protection violation	2009	KY-FIN	$5,740
Mortgage Access Corp. dba Weichert Financial Services	Weichert Financial Services	consumer protection violation	2009	KY-FIN	$5,000
Ameriprise Financial Services, Inc.	Ameriprise Financial	investor protection violation	2009	KY-FIN	$983,984
Morgan Stanley & Co. Inc.	Morgan Stanley	investor protection violation	2009	MD-SEC	$100,000
Prosper Marketplace, Inc.	Prosper Marketplace	investor protection violation	2009	MD-SEC	$28,706
Bankers Life & Casualty Co.	CNO Financial	insurance violation	2009	ME-INS	$500,000
Sun Life Insurance Company of Canada	Sun Life Financial	insurance violation	2009	MN-FIN	$7,500
Homesite Insurance Company of the Midwest	American Family Insurance	insurance violation	2009	MN-FIN	$15,000
Marsh USA Inc.	Marsh & McLennan	insurance violation	2009	MN-FIN	$325,000
Merrill Lynch, Pierce, Fenner & Smith Inc.	Bank of America	investor protection violation	2009	MO-SEC	$20,000
Old Republic National Title Insurance Co.	Old Republic International	insurance violation	2009	MO-INS	$77,375
Securian Financial Services, Inc.	Securian Financial	investor protection violation	2009	MO-SEC	$79,445
Raymond James Financial Services, Inc.	Raymond James Financial	investor protection violation	2009	MO-SEC	$52,300
Chicago Title Insurance Co.	Fidelity National Financial	insurance violation	2009	MO-INS	$55,496
Ticor Title Insurance Co.	Fidelity National Financial	insurance violation	2009	MO-INS	$20,725
UBS Financial Services, Inc.	UBS	investor protection violation	2009	MO-SEC	$170,175
Monumental Life Insurance Co.	Aegon	insurance violation	2009	MO-INS	$26,001
Conseco Medical Insurance Co.	CNO Financial	insurance violation	2009	MO-INS	$75,018
Investment Professionals, Inc.	Ameriprise Financial	investor protection violation	2009	MO-SEC	$52,500
LPL Financial Corp.	LPL Financial	investor protection violation	2009	MT-SEC	$1,294,416
American Family Mutual Insurance Company	American Family Insurance	insurance violation	2009	ND-INS	$5,000
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go	CNG Financial	consumer protection violation	2009	NE-DBF	$42,850
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go	CNG Financial	consumer protection violation	2009	NE-DBF	$5,500
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go	CNG Financial	consumer protection violation	2009	NE-DBF	$5,250
CIT Group	First Citizens BancShares	consumer protection violation	2009	NE-DBF	$52,000
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go	CNG Financial	consumer protection violation	2009	NE-DBF	$29,800
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go	CNG Financial	consumer protection violation	2009	NE-DBF	$24,400
Great Plains Specialty Finance, Inc., d/b/a Check 'n Go	CNG Financial	consumer protection violation	2009	NE-DBF	$11,050
Ace Cash Express, Inc.	ACE Cash Express	consumer protection violation	2009	NE-DBF	$15,550
MetLife Investors USA Insurance Company	MetLife	insurance violation	2009	NH-INS	$54,524
Allstate New Jersey Insurance Company	Allstate	insurance violation	2009	NJ-DBI	$5,000
Ocwen Loan Servicing LLC	Ocwen Financial	consumer protection violation	2009	OH-BKG	$10,000
Ace Cash Express	ACE Cash Express	consumer protection violation	2009	OH-BKG	$7,050
Allied Home Mortgage Capital Corporation	Americus Mortgage	consumer protection violation	2009	NY-DFS	$10,000
National Union Fire Insurance Company of Pittsburgh, PA	American International Group	insurance violation	2009	OR-FIN	$65,000
Virginia Surety Company, Inc.	Assurant	insurance violation	2009	OR-FIN	$10,000
Transamerica Life Insurance Company	Aegon	insurance violation	2009	OR-FIN	$25,000
AMEX Assurance Company	American Express	insurance violation	2009	OR-FIN	$25,000
Stewart Title Guaranty Company	Stewart Information Services	insurance violation	2009	OR-FIN	$30,000
First American Title Insurance Company	First American Financial	insurance violation	2009	OR-FIN	$61,000
Prosper Marketplace Inc.	Prosper Marketplace	investor protection violation	2009	OR-FIN	$15,000
First American Title Insurance Company of Oregon	First American Financial	insurance violation	2009	OR-FIN	$18,000
Farmers Insurance Company of Oregon	Zurich Insurance	insurance violation	2009	OR-FIN	$10,000
Liberty Northwest Insurance Corporation	Liberty Mutual Insurance	insurance violation	2009	OR-FIN	$5,000
T.H.E. Insurance Company	AXA	insurance violation	2009	PA-INS	$5,000
Scor Reinsurance Company	SCOR	insurance violation	2009	PA-INS	$5,000
Amerisave Mortgage Corporation	AmeriSave Mortgage	consumer protection violation	2009	PA-BKG	$50,000
MLD Mortgage Inc. dba The Money Store	MLD Mortgage Inc. dba The Money Store	consumer protection violation	2009	PA-BKG	$5,000
Allied Home Mortgage Capital Corporation	Americus Mortgage	consumer protection violation	2009	PA-BKG	$8,000
Progressive Casualty Insurance Company	Progressive	insurance violation	2009	PA-INS	$25,000
Jefferson National Life Insurance Company	Nationwide	insurance violation	2009	PA-INS	$5,000
National General Assurance Company	Allstate	insurance violation	2009	RI-FIN	$16,500
Ameriprise Advisor Services Inc.	Ameriprise Financial	investor protection violation	2009	RI-FIN	$48,411
Travelers Indemnity Company of America	Travelers	insurance violation	2009	RI-FIN	$5,000
Allstate Insurance Company	Allstate	insurance violation	2009	RI-FIN	$5,000
Zurich American Insurance Company	Zurich Insurance	insurance violation	2009	TX-INS	$15,000
American Home Assurance Company	American International Group	insurance violation	2009	TX-INS	$22,500
Fidelity and Guaranty Insurance Company	Fidelity National Financial	insurance violation	2009	TX-INS	$9,000
The Insurance Company of the State of Pennsylvania	American International Group	insurance violation	2009	TX-INS	$7,500
New Hampshire Insurance Company	American International Group	insurance violation	2009	TX-INS	$7,500
Securian Financial Services Inc.	Securian Financial	investor protection violation	2009	TX-SEC	$50,000
Stewart Title Guaranty Company	Stewart Information Services	insurance violation	2009	TX-INS	$55,000
Old Republic Insurance Company	Old Republic International	insurance violation	2009	TX-INS	$7,500
United States Fire Insurance Company of Plano	Fairfax Financial Holdings	insurance violation	2009	TX-INS	$10,500
Ace American Insurance Co.	Chubb Limited	insurance violation	2009	UT-INS	$141,500
ALLSTATE FIRE & CASUALTY ET AL	Allstate	insurance violation	2009	VA-INS	$36,000