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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$347,398,347,522
Number of Records: 7,169
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$36,129,286,132223
Wells Fargo$25,781,458,643230
Citigroup$25,740,655,365159
Deutsche Bank$18,541,562,80279
UBS$17,082,743,334106
Goldman Sachs$16,603,475,84890
NatWest Group PLC$13,515,546,85731
Credit Suisse$11,427,400,12652
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 ParentPrimary Offense TypeYear sort icon . AgencyPenalty Amount
Smith BarneyMorgan Stanleyinvestor protection violation2007NJ-AG$978,000
Student Loan Xpress, Inc.First Citizens BancSharesconsumer protection violation2007NY-AG$3,000,000
The Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2007MA-AG$20,000
Time Insurance CompanyHaven Holdingsconsumer protection violation2007MA-AG$16,000
TravelersCompanies, Inc.Travelersprice-fixing or anti-competitive practices2007MULTI-AG$6,000,000
UBS Financial Services, Inc.UBSinvestor protection violation2007NY-AG$23,300,000
Union Security Insurance CompanyAssurantconsumer protection violation2007MA-AG$28,000
United States Fidelity & GuarantyTravelersFalse Claims Act and related2007CT-AG$17,500,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007MD-AG$402,386
Willis Group Holdings Ltd.Willis Towers Watsonconsumer protection violation2007FL-AG$2,600,000
VITOL, S.A.Vitolkickbacks and bribery2007NY-MANDA$17,500,000
Liberty Mutual GroupLiberty Mutual Insuranceinsurance violation2007AK-INS$32,500
Moneygram Payment Systems, Inc.MoneyGram Internationalconsumer protection violation2007AZ-DIFI$125,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2007CA-MHC$10,000
Harleysville Mutual Insurance Co.Nationwideinsurance violation2007CA-INS$299,500
Metropolitan Life Insurance Co.MetLifeinsurance violation2007CA-INS$700,000
21st Century Insurance Co. and 21st Century Casualty Co.Zurich Insuranceinsurance violation2007CA-INS$50,000
QBE Insurance Corp.QBE Insuranceinsurance violation2007CA-INS$120,000
Horace Mann Insurance Co. and Horace Mann Property & Casualty Insurance Co.Horace Mann Educators Corp.insurance violation2007CA-INS$175,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2007CA-MHC$5,000
Stewart Title Guaranty Co. and Electronic Closing Services, Inc. dba E-TitleStewart Information Servicesinsurance violation2007CA-INS$1,500,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2007CA-MHC$5,000
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2007CA-INS$2,000,000
Infinity Insurance CompaniesKemperinsurance violation2007CA-INS$750,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2007CA-INS$1,000,400
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2007CA-MHC$500,000
American Contractors Indemnity Co.Tokio Marineinsurance violation2007CA-INS$170,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2007CA-MHC$50,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2007CO-INS$10,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2007CO-INS$5,000
OppenheimerFunds Distributor, Inc.Invescoinvestor protection violation2007CO-SEC$494,500
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2007CO-INS$5,500
Nationwide Insurance Company of AmericaNationwideinsurance violation2007CO-INS$81,500
ING USA Annuity and Life Insurance Co.Voya Financialinsurance violation2007CO-INS$5,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2007CO-INS$50,000
Nationwide Mutual Fire Insurance Co.Nationwideinsurance violation2007CO-INS$6,000
Nationwide Mutual Insurance Co.Nationwideinsurance violation2007CO-INS$8,500
Nationwide Property and Casualty Insurance Co.Nationwideinsurance violation2007CO-INS$6,000
Wachovia Capital Markets, LLCWells Fargoinvestor protection violation2007CT-SEC$258,728
UBS Financial Services Inc.UBSinvestor protection violation2007CT-SEC$5,500,000
CUNA Mutual Life Insurance Co.CUNA Mutualinsurance violation2007FL-OFR$7,500
USAA Life Insurance Co.USAAinsurance violation2007FL-OFR$22,500
Fortis Insurance Co.Assurantinsurance violation2007FL-OFR$11,000
Ace American Insurance Co.Chubb Limitedinsurance violation2007FL-OFR$56,000
Cincinnati Insurance Co.Cincinnati Financialinsurance violation2007FL-OFR$65,000
American Home Assurance Co.American International Groupinsurance violation2007FL-OFR$25,500
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2007FL-OFR$240,000
Mutual of Omaha Insurance Co.Mutual of Omahainsurance violation2007FL-OFR$13,000
Fireman's Fund Insurance Co.Allianzinsurance violation2007FL-OFR$5,500
St. Paul Fire & Marine Insurance Co.Travelersinsurance violation2007FL-OFR$23,750
Conseco Life Insurance Co.CNO Financialinsurance violation2007IA-INS$750,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2007IL-SEC$40,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2007IN-INS$87,500
United Insurance Co. of AmericaKemperinsurance violation2007IN-INS$6,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2007IN-INS$6,569
Lawyers Title Insurance Corp.Fidelity National Financialinsurance violation2007IN-INS$9,000
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2007MA-INS$12,000
Hartford Fire Insurance Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Hartford Casualty Insurance Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Hartford Underwriters Insurance Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
Twin City Fire Insurance Co.Hartford Financial Servicesinsurance violation2007ME-INS$5,000
First American Title Insurance Co.First American Financialinsurance violation2007MN-FIN$500,000
United Services Automobile Association et al.USAAinsurance violation2007MO-INS$6,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2007MO-SEC$230,469
Auto-Owners Insurance Co. and Owners Insurance Co.Auto-Owners Insuranceinsurance violation2007MO-INS$28,704
Continental Western Insurance Co.W.R. Berkleyinsurance violation2007MO-INS$7,708
Safeco Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2007MO-INS$68,524
Farmers Insurance Exchange et al.Farmers Insurance Exchangeinsurance violation2007MO-INS$16,272
Universal Underwriters Insurance Co.Zurich Insuranceinsurance violation2007MO-INS$6,530
Investment Centers of America, Inc.LPL Financialinvestor protection violation2007MO-SEC$1,031,618
UBS Financial Services, Inc.UBSinvestor protection violation2007MO-SEC$697,210
First American Title Insurance Co.First American Financialinsurance violation2007MO-INS$150,344
Standard Insurance Co.Meiji Yasuda Life Insuranceinsurance violation2007MO-INS$9,300
Morgan Keegan & Company, Inc.Raymond James Financialinvestor protection violation2007MS-SEC$12,500
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2007MT-INS$7,500
Wachovia Securities LLCWells Fargoinvestor protection violation2007ND-SEC$75,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2007ND-INS$750,000
CitiFinancial, Inc.Citigroupconsumer protection violation2007NE-DBF$81,500
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2007NE-DBF$10,200
Berthel, Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2007NE-DBF$5,000
Universal Underwriters Insurance CompanyZurich Insuranceinsurance violation2007NH-INS$28,125
Moneygram InternationalMoneyGram Internationalconsumer protection violation2007NH-BKG$10,000
CCO Investment Services Corp.Citizens Financial Groupinvestor protection violation2007NH-BSR$375,000
Smith BarneyMorgan Stanleyinvestor protection violation2007NJ-BOS$5,000,000
Allstate Life Insurance Company of New YorkAllstateinsurance violation2007NY-DFS$18,250,000
John Alden Life Insurance CompanyAssurantinsurance violation2007OR-FIN$10,000
Time Insurance CompanyHaven Holdingsinsurance violation2007OR-FIN$60,000
Fidelity National Title Insurance CompanyFidelity National Financialinsurance violation2007OR-FIN$10,000
Farmers Insurance Company of OregonZurich Insuranceinsurance violation2007OR-FIN$20,000
Mid-Century Insurance CompanyZurich Insuranceinsurance violation2007OR-FIN$20,000
Reliance Standard Life Insurance CompanyTokio Marineinsurance violation2007OR-FIN$10,000
ACE American Insurance CompanyChubb Limitedinsurance violation2007OR-FIN$15,000
AIU Insurance Company et al.American International Groupinsurance violation2007OR-FIN$1,000,000
Ticor Title Insurance CompanyFidelity National Financialinsurance violation2007OR-FIN$6,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2007OR-FIN$10,000
AIG Casualty CompanyAmerican International Groupinsurance violation2007OR-FIN$7,500
American Home Assurance CompanyAmerican International Groupinsurance violation2007OR-FIN$10,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2007OR-FIN$10,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2007OR-FIN$5,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2007OR-FIN$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.