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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,816,534,046
Number of Records: 7,081
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$36,129,269,434222
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
Goldman Sachs$16,599,475,84889
NatWest Group PLC$13,515,546,85731
Credit Suisse$10,932,400,12651
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 iconAgencyPenalty Amount
Fidelity National Financial, Inc.Fidelity National Financialwage and hour violation2005WHD$778,391
Bank of AmericaBank of Americawage and hour violation2005WHD$12,824
Washington Mutual, Inc.JPMorgan Chasewage and hour violation2005WHD$404,982
Allied Home Mortgage Capital CorporationAmericus Mortgagewage and hour violation2005WHD$9,830
Towers PerrinWillis Towers Watsonwage and hour violation2005WHD$105,865
Towers, Perrin, Forrester & CrosbyWillis Towers Watsonwage and hour violation2005WHD$294,279
TIAATIAAwage and hour violation2005WHD$327,168
The First American Title Insurance, Co.First American Financialwage and hour violation2005WHD$24,067
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankwage and hour violation2005WHD$55,208
Goodrich Aviation Technical Services, Inc.Macquariewage and hour violation2005WHD$47,369
USAA InsuranceUSAAlabor relations violation2005NLRB$125,361
Watson Wyatt & Co.Willis Towers Watsonlabor relations violation2005NLRB$91,000
CINCINNATI BELL TELEPHONE A DIVISION OF BROADWINGMacquarielabor relations violation2005NLRB$5,000
Wheelabrator Westchester, L.P.Macquarielabor relations violation2005NLRB$13,000
CIT Group Inc.First Citizens BancSharesexport control violation2005BIS$74,800
The Bank of New YorkBank of New York Mellonanti-money-laundering deficiencies2005USAO$38,000,000
Riggs BankPNC Financial Servicesanti-money-laundering deficiencies2005USAO$16,000,000
Liberty MutualLiberty Mutual Insurancewage and hour violation2005private lawsuit-federal$6,400,000
Allstate InsuranceAllstatewage and hour violation2005private lawsuit-state$120,000,000
Countrywide FinancialBank of Americawage and hour violation2005private lawsuit-state$30,000,000
State FarmState Farm Insurancewage and hour violation2005private lawsuit-state$135,000,000
Combined Insurance Company of AmericaChubb Limitedemployment discrimination2005private lawsuit-federal$8,500,000
Ocwen FinancialOcwen Financialemployment discrimination2005private lawsuit-state$2,000,000
CIBC World Markets CorporationCanadian Imperial Bank of Commerceinvestor protection violation2005SEC$496,598
State Street Research & Management CompanyBlackRockinvestor protection violation2005SEC$585,743
Legg Mason Wood Walker, IncorporatedFranklin Resourcesinvestor protection violation2005SEC$1,000,000
U.S. Bank National AssociationU.S. Bancorpinvestor protection violation2005SEC$500,000
Prudential Equity Group, LLCPrudential Financialinvestor protection violation2005SEC$125,000
UBS Securities LLCUBSinvestor protection violation2005SEC$700,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLCBank of Americainvestor protection violation2005SEC$1,500,000
Credit Suisse First Boston, LLCCredit Suisseinvestor protection violation2005SEC$200,000
Fiserv Securities, Inc.Fidelity Investmentsinvestor protection violation2005SEC$15,000,000
J.P. Morgan Securities Inc.JPMorgan Chaseinvestor protection violation2005SEC$700,000
HSBC Bank USAHSBCbenefit plan administrator violation2005private lawsuit-federal$9,350,000
1st Financial Bank U.S.A.1st Financial Bank USAbanking violation2005WI-AG$43,142
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2005NJ-AG$5,000,000
Aon CorporationAonprice-fixing or anti-competitive practices2005MULTI-AG$190,000,000
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.consumer protection violation2005IL-AG$27,000,000
BB&T Leasing CompanyTruist Financialconsumer protection violation2005NY-AG$159,097
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commerceinvestor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Capital One BankCapital One Financialbanking violation2005WI-AG$80,032
CIT Group/Equipment Financing, Inc.First Citizens BancSharesconsumer protection violation2005MULTI-AG$10,000,000
CIT Technology Financing Services, Inc.First Citizens BancSharesconsumer protection violation2005NJ-AG$4,360,000
De Lage Landen Financial Services, Inc.Rabobankconsumer protection violation2005MULTI-AG$872,000
Federated Investors, Inc.Federated Hermesinvestor protection violation2005NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
HealthNow New YorkHighmark Inc.consumer protection violation2005NY-AG$5,000
Marsh & McLennan Companies, Inc.Marsh & McLennanprice-fixing or anti-competitive practices2005MULTI-AG$850,000,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2005NJ-AG$10,000,000
Midland Credit Management, Inc.Encore Capital Groupconsumer protection violation2005WV-AG$3,500,000
Morgan Stanley DWMorgan Stanleyinvestor protection violation2005DE-AG$700,000
Nationwide Life InsuranceNationwideconsumer protection violation2005MA-AG$650,000
St. Paul Travelers Companies Inc.Travelersinvestor protection violation2005NM-AG$67,500,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceconsumer protection violation2005TX-AG$10,000,000
State Farm Mutual Insurance CompanyState Farm Insuranceconsumer protection violation2005MULTI-AG$41,000,000
SunTrust BankTruist Financialbanking violation2005WI-AG$10,107
U.S. BancorpU.S. Bancorpconsumer protection violation2005CA-AG$2,600,000
Unum Life Insurance Co.UnumFalse Claims Act and related2005MA-AG$650,000
Wells Fargo Financial Leasing, Inc.Wells Fargoconsumer protection violation2005MULTI-AG$10,000,000
Western Union Financial ServicesWestern Unionconsumer protection violation2005MULTI-AG$8,529,000
Willis Group Holdings Ltd.Willis Towers Watsonprice-fixing or anti-competitive practices2005NY-AG$50,000,000
Israel Discount Bank of New YorkIsrael Discount Bankanti-money-laundering deficiencies2005NY-MANDA$8,500,000
Watson Wyatt & CompanyWillis Towers WatsonFalse Claims Act and related2005USAO$689,828
Prudential Equity Group, Inc.Prudential Financialinvestor protection violation2005AL-SEC$45,000
Morgan Keegan & Co.Raymond James Financialinvestor protection violation2005AL-SEC$100,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005AZ-CC$1,000,000
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2005CA-INS$425,000
Coast National Insurance Co.Zurich Insuranceinsurance violation2005CA-INS$120,000
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2005CA-INS$175,000
American Bankers Insurance Company of Florida et al.Assurantinsurance violation2005CA-INS$250,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2005CA-MHC$5,000
California Physicians' Service dba Blue Shield of CaliforniaCalifornia Physicians' Serviceinsurance violation2005CA-MHC$100,000
Stewart Title of California, Inc.Stewart Information Servicesinsurance violation2005CA-INS$750,000
Kemper Investors Life Insurance Co. et al.Kemperinsurance violation2005CA-INS$21,000
Allstate Insurance Co.Allstateinsurance violation2005CA-INS$34,000,000
Wells Fargo Financial California, Inc.Wells Fargoconsumer protection violation2005CA-DFPI$1,621,010
Infinity Insurance Co. et al.Kemperinsurance violation2005CA-INS$600,000
American Title Co. dba Ticor Title Company of AmericaFidelity National Financialinsurance violation2005CA-INS$1,200,000
Amco Insurance Co. and Allied Property and Casualty Insurance Co.Nationwideinsurance violation2005CA-INS$20,000
Unum Life Insurance Company of America et al.Unuminsurance violation2005CA-INS$8,598,503
Fidelity National Title Insurance Co. et al.Fidelity National Financialinsurance violation2005CA-INS$13,300,000
Harleysville Mutual Insurance Co.Nationwideinsurance violation2005CA-INS$100,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2005CO-SEC$259,227
Federal Insurance Co.Chubb Limitedinsurance violation2005CO-INS$16,000
Commerce and Industry Insurance Co.American International Groupinsurance violation2005CO-INS$6,000
Allstate Insurance Co.Allstateinsurance violation2005CO-INS$10,500
Wilmington Trust Co.M&T Bankinvestor protection violation2005DE-SEC$50,000
Amex Assurance Co.American Expressinsurance violation2005FL-OFR$12,500
Axa Re Property and Casualty Insurance Co.AXAinsurance violation2005FL-OFR$15,000
Scottsdale Insurance Co.Nationwideinsurance violation2005FL-OFR$5,000
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2005FL-OFR$7,500
State Farm Florida Insurance Co.State Farm Insuranceinsurance violation2005FL-OFR$5,000
United Casualty Insurance Company of AmericaKemperinsurance violation2005FL-OFR$17,500
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
Safeco Insurance Company of America et al.Liberty Mutual Insuranceinsurance violation2005FL-OFR$35,350
Ticor Title Insurance Co.Fidelity National Financialinsurance violation2005FL-OFR$50,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2005IL-SEC$7,500
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2005IL-SEC$10,000
Safeco Insurance Co. of AmericaLiberty Mutual Insuranceinsurance violation2005IN-INS$5,000
American Automobile Insurance CompanyAllianzinsurance violation2005MA-INS$9,000
Aon Risk Services Inc. of PennsylvaniaAoninsurance violation2005MA-INS$19,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.