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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
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$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
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
Allied Home Mortgage Capital Corp.Americus Mortgageconsumer protection violation2009KY-FIN$5,740
Mortgage Access Corp. dba Weichert Financial ServicesWeichert Financial Servicesconsumer protection violation2009KY-FIN$5,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2009KY-FIN$983,984
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2009MD-SEC$100,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2009MD-SEC$28,706
Bankers Life & Casualty Co.CNO Financialinsurance violation2009ME-INS$500,000
Sun Life Insurance Company of CanadaSun Life Financialinsurance violation2009MN-FIN$7,500
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2009MN-FIN$15,000
Marsh USA Inc.Marsh & McLennaninsurance violation2009MN-FIN$325,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2009MO-SEC$20,000
Old Republic National Title Insurance Co.Old Republic Internationalinsurance violation2009MO-INS$77,375
Securian Financial Services, Inc.Securian Financialinvestor protection violation2009MO-SEC$79,445
Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2009MO-SEC$52,300
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2009MO-INS$55,496
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2009MO-INS$20,725
UBS Financial Services, Inc.UBSinvestor protection violation2009MO-SEC$170,175
Monumental Life Insurance Co.Aegoninsurance violation2009MO-INS$26,001
Conseco Medical Insurance Co.CNO Financialinsurance violation2009MO-INS$75,018
Investment Professionals, Inc.Ameriprise Financialinvestor protection violation2009MO-SEC$52,500
LPL Financial Corp.LPL Financialinvestor protection violation2009MT-FIN$1,294,416
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2009ND-INS$5,000
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$42,850
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$5,500
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$5,250
CIT GroupFirst Citizens BancSharesconsumer protection violation2009NE-DBF$52,000
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$29,800
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$24,400
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2009NE-DBF$11,050
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2009NE-DBF$15,550
MetLife Investors USA Insurance CompanyMetLifeinsurance violation2009NH-INS$54,524
Allstate New Jersey Insurance CompanyAllstateinsurance violation2009NJ-DBI$5,000
Ocwen Loan Servicing LLCOcwen Financialconsumer protection violation2009OH-BKG$10,000
Ace Cash ExpressACE Cash Expressconsumer protection violation2009OH-BKG$7,050
Allied Home Mortgage Capital CorporationAmericus Mortgageconsumer protection violation2009NY-DFS$10,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2009OR-FIN$65,000
Virginia Surety Company, Inc.Assurantinsurance violation2009OR-FIN$10,000
Transamerica Life Insurance CompanyAegoninsurance violation2009OR-FIN$25,000
AMEX Assurance CompanyAmerican Expressinsurance violation2009OR-FIN$25,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2009OR-FIN$30,000
First American Title Insurance CompanyFirst American Financialinsurance violation2009OR-FIN$61,000
Prosper Marketplace Inc.Prosper Marketplaceinvestor protection violation2009OR-FIN$15,000
First American Title Insurance Company of OregonFirst American Financialinsurance violation2009OR-FIN$18,000
Farmers Insurance Company of OregonZurich Insuranceinsurance violation2009OR-FIN$10,000
Liberty Northwest Insurance CorporationLiberty Mutual Insuranceinsurance violation2009OR-FIN$5,000
T.H.E. Insurance CompanyAXAinsurance violation2009PA-INS$5,000
Scor Reinsurance CompanySCORinsurance violation2009PA-INS$5,000
Amerisave Mortgage CorporationAmeriSave Mortgageconsumer protection violation2009PA-BKG$50,000
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2009PA-BKG$5,000
Allied Home Mortgage Capital CorporationAmericus Mortgageconsumer protection violation2009PA-BKG$8,000
Progressive Casualty Insurance CompanyProgressiveinsurance violation2009PA-INS$25,000
Jefferson National Life Insurance CompanyNationwideinsurance violation2009PA-INS$5,000
National General Assurance CompanyAllstateinsurance violation2009RI-FIN$16,500
Ameriprise Advisor Services Inc.Ameriprise Financialinvestor protection violation2009RI-FIN$48,411
Travelers Indemnity Company of AmericaTravelersinsurance violation2009RI-FIN$5,000
Allstate Insurance CompanyAllstateinsurance violation2009RI-FIN$5,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2009TX-INS$15,000
American Home Assurance CompanyAmerican International Groupinsurance violation2009TX-INS$22,500
Fidelity and Guaranty Insurance CompanyFidelity National Financialinsurance violation2009TX-INS$9,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2009TX-INS$7,500
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2009TX-INS$7,500
Securian Financial Services Inc.Securian Financialinvestor protection violation2009TX-SEC$50,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2009TX-INS$55,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2009TX-INS$7,500
United States Fire Insurance Company of PlanoFairfax Financial Holdingsinsurance violation2009TX-INS$10,500
Ace American Insurance Co.Chubb Limitedinsurance violation2009UT-INS$141,500
ALLSTATE FIRE & CASUALTY ET ALAllstateinsurance violation2009VA-INS$36,000
THE TRAVELERS INDEMNITY CO. et al.Travelersinsurance violation2009VA-INS$7,000
ESURANCE INSURANCE COMPANYAllstateinsurance violation2009VA-INS$20,000
THE NORTH RIVER INSURANCE CO.Fairfax Financial Holdingsinsurance violation2009VA-INS$28,916
LIBERTY INSURANCE CORP., ET ALLiberty Mutual Insuranceinsurance violation2009VA-INS$6,000
American Economy Insurance CompanyLiberty Mutual Insuranceinsurance violation2009VA-INS$8,000
VICTORIA FIRE AND CASUALTY INSURANCENationwideinsurance violation2009VA-INS$7,500
Travelers Property Casualty Co. of AmericaTravelersinsurance violation2009VA-INS$6,000
American General Financial ServicesOneMain Holdingsconsumer protection violation2009WA-FIN$74,984
Freedom Mortgage Corp.Freedom Mortgageconsumer protection violation2009WA-FIN$52,791
Conseco Health Insurance Co.CNO Financialinsurance violation2009WI-INS$20,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2009MULTI-FIN$720,000
Morgan Stanley & Co.Morgan Stanleyinvestor protection violation2009MULTI-FIN$8,500,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2009MULTI-FIN$525,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2009MULTI-FIN$1,900,000
John Hancock Life Insurance CompanyManulife Financialdiscriminatory practices (non-employment)2009private lawsuit-federal$24,400,000
BUCKEYE PIPELINEIFM Investorsenvironmental violation2009IL-ENV$82,845
BUCKEYE PARTNERSIFM Investorsenvironmental violation2009IL-ENV$354,540
BUCKEYE PORT READING TERMINALIFM Investorsenvironmental violation2009NJ-ENV$7,000
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsenvironmental violation2009NJ-ENV$9,550
BUCKEYE PORT READING TERMINAL LLCIFM Investorsenvironmental violation2009NJ-ENV$9,700
BUCKEYE PORT READING TERMINAL LLCIFM Investorsenvironmental violation2009NJ-ENV$8,200
MetLife Securities, Inc.MetLifeinvestor protection violation2009FINRA$1,200,000
ScottradeCharles Schwab Corp.anti-money-laundering deficiencies2009FINRA$600,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2009FINRA$600,000
Citigroup Global MarketsCitigroupinvestor protection violation2009FINRA$425,000
UBS SecuritiesUBSinvestor protection violation2009FINRA$268,000
Deutsche BankDeutsche Bankinvestor protection violation2009FINRA$152,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualinvestor protection violation2009FINRA$200,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2009FINRA$150,000
Credit Suisse Securities (USA), LLCUBSinvestor protection violation2009FINRA$275,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2009FINRA$100,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2009FINRA$150,000
UBS Financial Services, Inc.UBSinvestor protection violation2009FINRA$100,000
KeyBanc Capital Markets, Inc.KeyCorpinvestor protection violation2009FINRA$425,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2009FINRA$275,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.