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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
Universal Underwriter Insurance Co.Zurich Insuranceinsurance violation2004MN-FIN$200,000
Fortis Insurance Co.Assurantinsurance violation2004MN-FIN$5,000
John Alden Life Insurance Co.Assurantinsurance violation2004MN-FIN$5,000
Foremost Insurance Co. at al.Zurich Insuranceinsurance violation2004MN-FIN$75,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2004MN-FIN$5,000
AmSouth Investment Services, Inc.Regions Financialinvestor protection violation2004MS-SEC$225,000
Seneca Ins Co. Inc.Fairfax Financial Holdingsinsurance violation2004MS-INS$5,000
Safety National Casualty Corp.Tokio Marineinsurance violation2004MS-INS$5,000
Seneca Insurance Co. Inc.Fairfax Financial Holdingsinsurance violation2004MS-INS$5,000
Fortis Insurance Co. et al.Assurantinsurance violation2004MT-FIN$70,000
Fortis Insurance Co.Assurantinsurance violation2004MT-FIN$65,000
Principal Life Insurance CompanyPrincipal Financialinvestor protection violation2004ND-SEC$30,000
Berthel Fisher and Company Financial Services Inc.Berthel Fisherinvestor protection violation2004ND-SEC$20,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2004ND-SEC$20,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2004ND-SEC$17,000
Morgan StanleyMorgan Stanleyinvestor protection violation2004NH-BSR$500,000
Allstate Life Insurance Co.Allstateinsurance violation2004NJ-DBI$15,000
AON Risk Services IncAoninsurance violation2004NJ-DBI$10,000
Hanover Insurance Co.Hanover Insuranceinsurance violation2004NJ-DBI$40,000
Selective Insurance Co. of AmericaSelective Insurance Groupinsurance violation2004NJ-DBI$25,000
State Farm Indemnity Co.State Farm Insuranceinsurance violation2004NJ-DBI$35,000
American General Financial Services Inc.OneMain Holdingsinsurance violation2004NJ-DBI$1,200,000
Credit AgricoleCredit Agricolebanking violation2004NY-DFS$5,000,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2004OR-FIN$10,000
Ragen Mackenzie Investment Services LLCWells Fargoinvestor protection violation2004OR-FIN$8,500
ING Life Insurance and Annuity CompanyVoya Financialinsurance violation2004OR-FIN$10,000
Affinity Insurance Services Inc.Aoninsurance violation2004PA-INS$5,000
Bristol West Insurance CompanyZurich Insuranceinsurance violation2004PA-INS$10,000
Travelers Indemnity Company of ConnecticutTravelersinsurance violation2004PA-INS$7,500
Great American Alliance Insurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$16,000
Great American Assurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$25,000
Great American Insurance Company of New YorkAmerican Financial Groupinsurance violation2004PA-INS$17,500
Great American Insurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$20,000
Great American Spirit Insurance CompanyAmerican Financial Groupinsurance violation2004PA-INS$25,000
Bankers Life and Casualty CompanyCNO Financialinsurance violation2004PA-INS$5,000
Allstate Life Insurance CompanyAllstateinsurance violation2004PA-INS$25,000
Hartford Casualty InsuranceHartford Financial Servicesinsurance violation2004PA-INS$30,000
Conseco Life Insurance CompanyCNO Financialinsurance violation2004SC-INS$6,000
Pruco Securities LLCPrudential Financialinvestor protection violation2004TX-SEC$10,000
PRUDENTIAL INSURANCE COMPANYPrudential Financialinsurance violation2004VA-INS$7,500
PRUCO LIFE INSURANCE COPrudential Financialinsurance violation2004VA-INS$7,500
MERRILL LYNCH PIERCE FENNER &Bank of Americainvestor protection violation2004VA-SEC$268,723
AMERICAN ZURICH INSURANCE COZurich Insuranceinsurance violation2004VA-INS$5,000
THE GUARDIAN LIFE INSURANCE COGuardian Life Insuranceinsurance violation2004VA-INS$27,000
FEDERAL INSURANCE CO., ET AL.Chubb Limitedinsurance violation2004VA-INS$65,000
CITIGROUP GLOBAL MARKETS INCCitigroupinvestor protection violation2004VA-SEC$72,486
PROTECTIVE LIFE INSURANCE CO.Dai-ichi Lifeinsurance violation2004VA-INS$10,000
LIBERTY MUTUAL INSURANCE CO., ET ALLiberty Mutual Insuranceinsurance violation2004VA-INS$37,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004WA-FIN$325,000
Conseco Health Insurance Co.CNO Financialinsurance violation2004WI-INS$11,000
Great American Insurance Co.American Financial Groupinsurance violation2004WI-INS$5,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2004WI-INS$5,000
AmSouth Investment Services Inc.Regions Financialinvestor protection violation2004MULTI-FIN$225,000
Cincinnati Life Insurance CompanyCincinnati Financialinsurance violation2004MULTI-FIN$216,750
WFS Financial, Inc.Wells Fargodiscriminatory practices (non-employment)2004private lawsuit-federal$4,550,000
General Motors Acceptance Corp.Ally Financialdiscriminatory practices (non-employment)2004private lawsuit-federal$9,600,000
Cincinnati Life Insurance CompanyCincinnati Financialdiscriminatory practices (non-employment)2004private lawsuit-state$1,900,000
Flagstar BankNew York Community Bancorpdiscriminatory practices (non-employment)2004private lawsuit-federal$1,100,000
SYNAGRO CTL LLCGoldman Sachsenvironmental violation2004PA-ENV$20,000
Pro Line Printing, Inc.Chatham Asset Managementenvironmental violation2004CT-ENV$11,125
WHEELABRATOR RIDGE ENERGY, INC.Macquarieenvironmental violation2004FL-DEP$19,000
THE HENNEGAN COMPANYChatham Asset Managementenvironmental violation2004KY-ENV$70,000
GOODRICH AVIATION TECH SRV INCMacquarieenvironmental violation2004WA-ENV$9,000
H&R Block Financial Advisors, Inc.H&R Blockinvestor protection violation2004FINRA$825,000
Knight Securities, L.P.Virtu Financialinvestor protection violation2004FINRA$12,500,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$275,000
Morgan Stanley DW IncMorgan Stanleyinvestor protection violation2004FINRA$336,510
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2004FINRA$1,600,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2004FINRA$700,000
Wachovia Securities LLCWells Fargoinvestor protection violation2004FINRA$650,000
Prudential Equity Group LLCPrudential Financialinvestor protection violation2004FINRA$550,000
Raymond James Financial Services Inc.Raymond James Financialinvestor protection violation2004FINRA$400,000
Metropolitan Life Insurance Co.MetLifeinvestor protection violation2004FINRA$375,000
NYLife Securities, Inc.New York Life Insuranceinvestor protection violation2004FINRA$350,000
Edward Jones & Co., LPJones Financialinvestor protection violation2004FINRA$300,000
Chase Investment Services Corp.JPMorgan Chaseinvestor protection violation2004FINRA$250,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2004FINRA$250,000
MML Investor Services, Inc.Massachusetts Mutual Life Insuranceinvestor protection violation2004FINRA$250,000
Banc of America Investment Services Inc.Bank of Americainvestor protection violation2004FINRA$200,000
ING Financial Partners, Inc.Voya Financialinvestor protection violation2004FINRA$200,000
New England SecuritiesMetLifeinvestor protection violation2004FINRA$200,000
Allstate Financial Services LLCAllstateinvestor protection violation2004FINRA$150,000
RBC Dain Rauscher, Inc.Royal Bank of Canadainvestor protection violation2004FINRA$150,000
Wells Fargo Investments, LLCWells Fargoinvestor protection violation2004FINRA$150,000
World Group Securities, Inc.Aegoninvestor protection violation2004FINRA$150,000
Jefferson Pilot Securities CorporationLincoln Nationalinvestor protection violation2004FINRA$125,000
SunAmerica Securities, Inc.American International Groupinvestor protection violation2004FINRA$100,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$250,000
Credit Suisse First Boston, L.L.C.UBSinvestor protection violation2004FINRA$50,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2004FINRA$15,000
Schwab Capital Markets, L.P.UBSinvestor protection violation2004FINRA$70,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2004FINRA$16,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsinvestor protection violation2004FINRA$75,000
UBS Securities, L.L.C.UBSinvestor protection violation2004FINRA$10,000
SG Cowen, LLCToronto-Dominion Bankinvestor protection violation2004FINRA$800,000
Morgan Stanley DW Inc.Morgan Stanleyinvestor protection violation2004FINRA$2,200,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2004FINRA$5,000,000
Deutsche Bank Securities, Inc.Deutsche Bankinvestor protection violation2004FINRA$5,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2004FINRA$5,000,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2004FINRA$250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2004FINRA$250,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.