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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
Equitable Life and Casualty Insurance CompanyEquitable Holdingsinsurance violation2002OR-FIN$25,000
Fortis Insurance CompanyAssurantinsurance violation2002OR-FIN$42,500
Great American Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2002OR-FIN$10,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2002OR-FIN$30,000
AIU Insurance CompanyAmerican International Groupinsurance violation2002OR-FIN$10,000
Jackson National Life Insurance CompanyJackson Financialinsurance violation2002OR-FIN$10,000
Globe Life And Accident Insurance CompanGlobe Life Inc.insurance violation2002OR-FIN$5,000
Farmers Insurance GroupZurich Insuranceinsurance violation2002TX-INS$15,000,000
NEW YORK LIFE INSURANCE CONew York Life Insuranceinsurance violation2002VA-INS$13,500
UNITED AMERICAN INSURANCE CO.Globe Life Inc.insurance violation2002VA-INS$10,000
FIDELITY & GUARANTY LIFE INSURANCEFidelity National Financialinsurance violation2002VA-INS$15,000
AVEMCO INSURANCE COMPANYTokio Marineinsurance violation2002VA-INS$12,000
FORTIS INSURANCE CO., ET AL.Assurantinsurance violation2002VA-INS$27,000
NEW ENGLAND LIFE INSURANCE CO.Brighthouse Financialinsurance violation2002VA-INS$9,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2002VA-INS$27,000
PRINCIPAL LIFE INSURANCE CO.Principal Financialinsurance violation2002VA-INS$12,000
SAFECO INSURANCE CO. ET AL.Liberty Mutual Insuranceinsurance violation2002VA-INS$28,200
ALLSTATE INSURANCE COMPANYAllstateinsurance violation2002VA-INS$10,000
MUTUAL OF OMAHA INSURANCE CO.Mutual of Omahainsurance violation2002VA-INS$25,800
AMERICAN HERITAGE LIFE INSURANCE COAllstateinsurance violation2002VA-INS$15,000
AMICA MUTUAL INSURANCE COMPANYAmica Mutual Insuranceinsurance violation2002VA-INS$14,000
PRUDENTIAL INSURANCE COMPANYPrudential Financialinsurance violation2002VA-INS$15,000
Life Insurance Company of Georgia and Southland Life Insurance CompanyPrudential PLCinsurance violation2002MULTI-FIN$4,000,000
Unitrin Inc.Kemperinsurance violation2002MULTI-FIN$33,000,000
MetLifeMetLifediscriminatory practices (non-employment)2002NY-DFS$160,000,000
RR DONNELLEYChatham Asset Managementenvironmental violation2002PA-ENV$5,000
Vitol S.A.Vitolenvironmental violation2002CA-ARB$25,000
R.R. Donnelley & Sons CompanyChatham Asset Managementenvironmental violation2002CT-ENV$25,500
MBNABank of Americaenvironmental violation2002DE-ENV$225,000
HANOVER INSURANCE GROUPHanover Insuranceenvironmental violation2002MA-ENV$10,000
American Express Financial Advisors Inc.Ameriprise Financialinvestor protection violation2002FINRA$350,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Salomon Smith BarneyMorgan Stanleyinvestor protection violation2002FINRA$5,000,000
U.S. Bancorp Piper JaffrayPiper Sandlerinvestor protection violation2002FINRA$250,000
Interactive Brokers, L.L.C.Interactive Brokers Groupinvestor protection violation2002FINRA$230,000
Credit Suisse First Boston CorporationUBSinvestor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Knight Securities L.P.Virtu Financialinvestor protection violation2002FINRA$1,500,000
First American Financial Corp.First American Financialenvironmental violation2002CA-SCAQMD$6,500
R.R. DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2002OSHA$55,000
ALLSTATEAllstateworkplace safety or health violation2002OSHA$69,500
VITOL SA, INCVitolenvironmental violation2002EPA$95,000
Morgan Stanley Capital Group, Inc.Morgan Stanleyenvironmental violation2002EPA$7,500
Republic New York Securities CorporationHSBCinvestor protection violation2001CFTC$5,000,000
U.S. Trust CorporationBank of Americabanking violation2001FED$5,000,000
Salomon Smith BarneyMorgan Stanleyemployment discrimination2001EEOC$635,000
CNG FINANCIAL CORPORATIONCNG Financiallabor relations violation2001NLRB$6,000
Republic New York SecuritiesHSBCfraud2001USAO$569,000,000
Bank of AmericaBank of Americawage and hour violation2001private lawsuit-state$22,000,000
Farmers Insurance ExchangeFarmers Insurance Exchangewage and hour violation2001private lawsuit-state$90,009,208
Western Asset Management Co.Franklin Resourcesinvestor protection violation2001SEC$50,000
Legg Mason Fund Adviser, Inc.Franklin Resourcesinvestor protection violation2001SEC$50,000
ABN AMRO IncorporatedABN AMROinvestor protection violation2001SEC$200,000
Legg Mason Wood Walker, IncorporatedFranklin Resourcesinvestor protection violation2001SEC$50,000
Prudential Securities IncorporatedWells Fargoinvestor protection violation2001SEC$800,000
Bank of AmericaBank of AmericaFalse Claims Act and related2001AK-AG$35,600,000
Farmers Insurance GroupZurich Insurancediscriminatory practices (non-employment)2001OH-AG$4,300,000
FleetBoston Financial CorporationBank of Americaprivacy violation2001NY-AG$100,000
H&R Block Financial AdvisorsH&R Blockprivacy violation2001MO-AG$15,000
Progressive Insurance Company of OhioProgressiveconsumer protection violation2001IA-AG$127,500
Fidelity National Title Insurance Co.Fidelity National Financialinsurance violation2001CO-INS$17,250
Janney Montgomery Scott, Inc.Penn Mutualinvestor protection violation2001DE-SEC$210,909
COMMERCE AND INDUSTRY INSURANCE COMPANYAmerican International Groupinsurance violation2001FL-OFR$11,500
EMPLOYERS INSURANCE OF WAUSAU, A MUTUAL COMPANYLiberty Mutual Insuranceinsurance violation2001FL-OFR$23,075
GREAT AMERICAN ALLIANCE INSURANCE COMPANYAmerican Financial Groupinsurance violation2001FL-OFR$5,500
GREAT AMERICAN ASSURANCE COMPANYAmerican Financial Groupinsurance violation2001FL-OFR$12,500
STANDARD GUARANTY INSURANCE COMPANYAssurantinsurance violation2001FL-OFR$6,000
T.H.E. INSURANCE COMPANYAXAinsurance violation2001FL-OFR$15,000
WAUSAU BUSINESS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2001FL-OFR$14,625
WAUSAU UNDERWRITERS INSURANCE COMPANYLiberty Mutual Insuranceinsurance violation2001FL-OFR$26,325
ZENITH INSURANCE COMPANYFairfax Financial Holdingsinsurance violation2001FL-OFR$6,850
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2001FL-OFR$22,500
Bankers Life and Casualty Co.CNO Financialinsurance violation2001FL-OFR$10,500
Globe Life and Accident Insurance Co.Globe Life Inc.insurance violation2001FL-OFR$6,000
Sagamore Insurance Co.Progressiveinsurance violation2001KS-INS$20,000
United Services Automobile AssociationUSAAinsurance violation2001KS-INS$5,000
Hanover Insurance CompanyHanover Insuranceinsurance violation2001MA-INS$7,040
Fidelity & Guaranty Insurance CompanyFidelity National Financialinsurance violation2001MA-INS$21,037
Valley Forge Life Insurance CompanyPrudential PLCinsurance violation2001MA-INS$11,600
American Bankers Insurance Company of FloridaAssurantinsurance violation2001MA-INS$65,000
Sentry Insurance A Mutual CompanySentry Insuranceinsurance violation2001MA-INS$14,500
Washington National Life Insurance Co.CNO Financialinsurance violation2001ME-INS$10,000
Fortis Insurance Co. and Fortis Benefits Insurance Co.Assurantinsurance violation2001MN-FIN$5,000
Metropolitan Property and Casualty Insurance Co. et al.Zurich Insuranceinsurance violation2001MN-FIN$10,000
National Union Fire Insurance Company of Pittsburgh, Pa.American International Groupinsurance violation2001MN-FIN$7,500
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2001MN-FIN$75,000
Allstate Insurance Co.Allstateinsurance violation2001MN-FIN$10,000
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2001MN-FIN$6,000
US Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2001ND-SEC$23,250
Conseco Senior Health Insurance CompanyCNO Financialinsurance violation2001ND-INS$5,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2001NJ-DBI$25,100,000
CitigroupCitigroupdiscriminatory practices (non-employment)2001NY-DFS$1,000,000
U.S. Trust CorporationBank of Americaanti-money-laundering deficiencies2001NY-DFS$5,000,000
DAIRYLAND INSURANCE COSentry Insuranceinsurance violation2001VA-INS$8,500
AMERICAN GENERAL LIFEAmerican International Groupinsurance violation2001VA-INS$14,000
JEFFERSON PILOT LIFE INSURANCELincoln Nationalinsurance violation2001VA-INS$42,000
CONSECO HEALTH INSURANCE COMPANYCNO Financialinsurance violation2001VA-INS$19,000
HARTFORD FIRE INSURANCE CO. ET ALHartford Financial Servicesinsurance violation2001VA-INS$30,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.