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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $394,610,993,640
Number of Records: 7,983
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$87,299,969,499332
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,617,269,231267
Citigroup$27,081,211,792183
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,909,502,443206
BNP Paribas$10,363,464,66623

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 iconAgencyPenalty Amount
American Home Assurance Co.American International Groupinsurance violation2010ME-INS$11,111
Commerce and Industry Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
Granite State Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
Illinois National Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2010ME-INS$11,111
National Union Fire Insurance Company of Pittsburg, Pa.American International Groupinsurance violation2010ME-INS$11,111
New Hampshire Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2010ME-SEC$10,000
Allstate Indemnity Insurance Co.Allstateinsurance violation2010MN-FIN$9,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2010MN-FIN$100,000
First American Title Insurance Co.First American Financialinsurance violation2010MN-FIN$21,750
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2010MO-INS$188,976
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2010MO-INS$73,113
Lawyers Title Insurance Corp.Fidelity National Financialinsurance violation2010MO-INS$190,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2010MO-SEC$211,617
Edward D. Jones & Co. L.P.Jones Financialinvestor protection violation2010MO-SEC$40,500
Bankers Life and Casualty Co.CNO Financialinvestor protection violation2010MO-SEC$789,600
LPL Financial Corp.LPL Financialinvestor protection violation2010MO-SEC$37,540
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2010MO-SEC$277,500
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2010MO-SEC$92,015
John Alden Life Insurance Co.Assurantinsurance violation2010MT-FIN$175,000
Time Insurance Co.Haven Holdingsinsurance violation2010MT-FIN$50,000
NEXT Financial Group, Inc.Atria Wealth Solutionsinvestor protection violation2010MT-FIN$5,000
Edward JonesJones Financialinvestor protection violation2010MT-FIN$100,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2010MT-FIN$25,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2010NC-SEC$7,800,000
Allstate Insurance CompanyAllstateinsurance violation2010NC-INS$680,718
Ace Cash Express, Inc.,ACE Cash Expressconsumer protection violation2010NE-DBF$7,000
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$11,950
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$8,550
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2010NE-DBF$6,550
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2010NE-DBF$18,350
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2010NH-INS$100,000
Virginia Surety Company Inc.Assurantinsurance violation2010NH-INS$20,000
21st Century National Insurance CompanyZurich Insuranceinsurance violation2010NJ-DBI$10,000
Stifel Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2010NJ-BOS$5,415,381
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2010NJ-DBI$500,000
AXA Equitable Life Insurance CompanyEquitable Holdingsinsurance violation2010NY-DFS$1,900,000
Citicorp Insurance Agency, Inc., Citicorp Investment Services, and SBHU Life Agency, Inc.Citigroupinsurance violation2010NY-DFS$2,000,000
American General Financial Services Inc.OneMain Holdingsprivacy violation2010OR-FIN$75,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2010OR-FIN$25,000
Ace Fire Underwriters Insurance CompanyChubb Limitedinsurance violation2010OR-FIN$7,900
AMCO Insurance CompanyNationwideinsurance violation2010OR-FIN$8,000
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2010PA-BKG$5,000
Safeco Insurance Company of IndianaLiberty Mutual Insuranceinsurance violation2010PA-INS$50,000
GMAC Mortgage LLC dba DitechAlly Financialconsumer protection violation2010PA-BKG$43,000
Freedom Mortgage Corporation dba Jefferson Home Mortgage and LoanFreedom Mortgageconsumer protection violation2010PA-BKG$10,000
Franklin American Mortgage CompanyCitizens Financial Groupconsumer protection violation2010PA-BKG$6,750
Morgan Keegan & Co. Inc.Raymond James Financialinvestor protection violation2010RI-FIN$20,000
USAA Casualty Insurance Co.USAAinsurance violation2010SC-INS$7,000
American Home Assurance Company et al.American International Groupinsurance violation2010TX-INS$650,000
UBS Securities LLCUBSinvestor protection violation2010TX-SEC$6,640,432
Citigroup Global Markets Inc.Citigroupinvestor protection violation2010TX-SEC$130,000
Lincoln Financial Securities CorporationLincoln Nationalinvestor protection violation2010TX-SEC$40,000
Hartford Accident and Indemnity CompanyHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Lloyd's CorporationHartford Financial Servicesinsurance violation2010TX-INS$18,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$18,000
Property and Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2010TX-INS$18,000
Sentinel Insurance Company Ltd.Hartford Financial Servicesinsurance violation2010TX-INS$10,000
Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$10,000
Wausau Business Insurance CompanyLiberty Mutual Insuranceinsurance violation2010TX-INS$5,000
Safeco Lloyds Insurance Co.Liberty Mutual Insuranceinsurance violation2010TX-INS$5,000
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2010TX-INS$175,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2010TX-INS$175,000
Standard Fire Insurance CompanyTravelersinsurance violation2010TX-INS$8,000
Ace American Insurance CompanyChubb Limitedinsurance violation2010TX-INS$74,000
Ace American Insurance CompanyChubb Limitedinsurance violation2010TX-INS$147,000
Allstate Insurance CompanyAllstateinsurance violation2010TX-INS$879,510
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2010TX-INS$50,000
Liberty Mutual Insurance CompanyLiberty Mutual Insuranceinsurance violation2010TX-INS$17,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2010TX-INS$153,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2010TX-INS$30,000
Arch Insurance CompanyArch Capitalinsurance violation2010TX-INS$14,000
State Farm General Insurance CompanyState Farm Insuranceinsurance violation2010TX-INS$40,000
Fidelity & Guaranty Insurance CompanyFidelity National Financialinsurance violation2010TX-INS$50,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2010TX-INS$32,000
National General Insurance CompanyAllstateinsurance violation2010TX-INS$25,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2010TX-INS$60,000
Sentry Insurance, A Mutual CompanySentry Insuranceinsurance violation2010TX-INS$7,200
Zurich American Insurance CompanyZurich Insuranceinsurance violation2010TX-INS$45,000
Fidelity National Title Insurance Co. et al.Fidelity National Financialinsurance violation2010TX-INS$25,000
American Guarantee & Liability Insurance CompanyZurich Insuranceinsurance violation2010TX-INS$30,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2010TX-INS$78,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2010TX-INS$40,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2010TX-INS$41,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2010TX-INS$12,500
Travelers Indemnity CompanyTravelersinsurance violation2010TX-INS$55,000
Travelers Indemnity CompanyTravelersinsurance violation2010TX-INS$60,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2010TX-INS$20,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2010TX-INS$525,418
METROPOLITAN LIFE INSURANCEMetLifeinsurance violation2010VA-INS$8,000
THE GUARDIAN LIFE INSURANCE COGuardian Life Insuranceinsurance violation2010VA-INS$62,000
ALLIED HOME MORTGAGE CAPITALAmericus Mortgageconsumer protection violation2010VA-FIN$25,000
Victoria Fire & Casualty Insurance CompanyNationwideinsurance violation2010VA-INS$23,558
HOMESITE INSURANCE COMPANYAmerican Family Insuranceinsurance violation2010VA-INS$126,252
TRUMBULL INSURANCE COMPANYHartford Financial Servicesinsurance violation2010VA-INS$66,684
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2010VA-INS$26,942
HARTFORD CASUALTY INSURANCE, ET AL.Hartford Financial Servicesinsurance violation2010VA-INS$15,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.