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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$388,802,802,308
Number of Records: 7,734
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$87,294,650,890329
JPMorgan Chase$39,688,888,209277
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$14,264,317,61841
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
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
PROGRESSIVE AMERICAN INSURANCE CO.Progressiveinsurance violation2001VA-INS$23,000
MONUMENTAL LIFE INSURANCE COAegoninsurance violation2001VA-INS$5,000
HARLEYSVILLE MUTUAL INSURANCE CONationwideinsurance violation2001VA-INS$21,000
AMERITAS LIFE INSURANCE CORPAmeritas Mutual Holding Companyinsurance violation2001VA-INS$9,000
AMERICAN BANKERS LIFE ASSURANCE OF FLORIDAAssurantinsurance violation2001VA-INS$15,000
PACIFIC LIFE & ANNUITY COMPANYPacific Lifeinsurance violation2001VA-INS$9,000
RELIASTAR LIFE INSURANCE COVoya Financialinsurance violation2001VA-INS$9,000
FORTIS INSURANCE COMPANYAssurantinsurance violation2001VA-INS$57,000
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2001WI-INS$15,000
Progressive Northern Insurance Co.Progressiveinsurance violation2001WI-INS$70,000
American Bankers Insurance Group Inc.Assurantinsurance violation2001MULTI-FIN$3,000,000
RR DONNELLEY & SONS COChatham Asset Managementhazardous waste violation2001IN-ENV$15,800
RR DONNELLEY & SONS COChatham Asset Managementhazardous waste violation2001IN-ENV$9,200
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieair pollution violation2001NJ-ENV$10,400
WHEELABRATOR GLOUCESTER COMPANY, L.P.Macquarieair pollution violation2001NJ-ENV$11,200
CUNA Brokerage Services, Inc.CUNA Mutualinvestor protection violation2001FINRA$100,000
Prudential Securities IncorporatedWells Fargoinvestor protection violation2001FINRA$20,000
J.P. Morgan Securities, Inc.JPMorgan Chaseinvestor protection violation2001FINRA$10,000
Schwab Capital MarketsUBSinvestor protection violation2001FINRA$12,000
Spear, Leeds & KelloggGoldman Sachsinvestor protection violation2001FINRA$10,000
E-Trade SecuritiesMorgan Stanleyinvestor protection violation2001FINRA$90,000
Banc of America Securities LLCBank of Americainvestor protection violation2001FINRA$40,000
Credit Suisse First Boston CorporationUBSinvestor protection violation2001FINRA$25,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2001FINRA$15,000
Chase Securities, Inc.JPMorgan Chaseinvestor protection violation2001FINRA$10,000
Josephthal & Co., Inc.Oppenheimer Holdingsinvestor protection violation2001FINRA$2,300,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2001FINRA$225,000
Prudential Securities, Inc.Wells Fargoinvestor protection violation2001FINRA$10,000
First Union Brokerage Services, Inc.Wells Fargoinvestor protection violation2001FINRA$32,500
Branch Banking & Trust CorporationTruist Financialcampaign finance violation2001FEC$22,000
MBNA Corp.Bank of Americaconsumer protection violation2001private lawsuit-federal$8,700,000
RR DONNELLEY & SONS COMPANYChatham Asset Managementworkplace safety or health violation2001OSHA$5,000
GARNER PRINTINGChatham Asset Managementworkplace safety or health violation2001OSHA$6,000
SPENCER PRESS OF MAINE, INC.Chatham Asset Managementworkplace safety or health violation2001OSHA$10,500
R. R. DONNELLEY AND SONS COMPANYChatham Asset Managementenvironmental violation2001EPA$11,344
Dain Rauscher IncorporatedRoyal Bank of Canadainvestor protection violation2000SEC$12,941,191
Goldman, Sachs & Co.Goldman Sachsinvestor protection violation2000SEC$5,200,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2000SEC$5,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyinvestor protection violation2000SEC$2,500,000
PaineWebber IncorporatedUBSinvestor protection violation2000SEC$26,200,000
Prudential Securities IncorporatedWells Fargoinvestor protection violation2000SEC$5,880,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2000SEC$45,000,000
Warburg Dillon Read LLCUBSinvestor protection violation2000SEC$6,680,000
Josephthal & Co.Oppenheimer Holdingsemployment discrimination2000EEOC$330,000
Cincinnati Bell Telephone and Cincinnati Bell Information SystemsMacquarieemployment discrimination2000EEOC$1,000,000
First Union BankWells Fargolabor relations violation2000NLRB$9,116
Fifth Third BankFifth Third Bancorpemployment discrimination2000OFCCP$440,000
Wachovia National Bank, N.A.Wells Fargobenefit plan administrator violation2000EBSA$30,000,000
Liberty Mutual InsuranceLiberty Mutual Insuranceemployment discrimination2000private lawsuit-state$348,111
First Union Securities, Inc.Wells Fargoinvestor protection violation2000SEC$408,931
Dean Witter Reynolds Inc.Morgan Stanleyinvestor protection violation2000SEC$476,702
Fahnestock & Co., Inc.Oppenheimer Holdingsinvestor protection violation2000SEC$20,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2000SEC$100,000
Dreyfus CorporationBank of New York Melloninvestor protection violation2000SEC$950,000
Dreyfus CorporationBank of New York Melloninvestor protection violation2000NY-AG$2,000,000
Metropolitan Life Insurance Co.MetLifeconsumer protection violation2000MA-AG$1,200,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceconsumer protection violation2000MA-AG$1,840,000
MONY Life Insurance Co.Dai-ichi Lifeconsumer protection violation2000CT-AG$250,000
Providian Financial Corp.JPMorgan Chaseconsumer protection violation2000CA-AG$305,500,000
Providian Financial Corp.JPMorgan Chaseconsumer protection violation2000CT-AG$1,600,000
State FarmState Farm Insuranceconsumer protection violation2000TX-AG$3,100,000
Union Security Life Insurance CoAssurantconsumer protection violation2000MA-AG$1,000,000
US BankU.S. Bancorpprivacy violation2000MULTI-AG$2,000,000
American Express Financial AdvisorsAmeriprise Financialinvestor protection violation2000AZ-CC$125,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2000CO-INS$25,000
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2000CO-INS$20,750
American Heritage Life Insurance Co.Allstateinsurance violation2000FL-OFR$12,750
Protective Life Insurance Co.Dai-ichi Lifeinsurance violation2000FL-OFR$8,750
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2000FL-OFR$5,500
Allianz Life Insurance Company of North AmericaAllianzinsurance violation2000FL-OFR$14,000
Conseco Life Insurance Co.CNO Financialinsurance violation2000FL-OFR$5,625
American General Life and Accident Insurance Co.American International Groupinsurance violation2000KS-INS$23,400
New Hampshire Insurance Co.American International Groupinsurance violation2000KS-INS$10,375
National Union Fire Insurance Company of Pittsburgh, PennsylvaniaAmerican International Groupinsurance violation2000KS-INS$10,375
Scottsdale Insurance CompanyNationwideinsurance violation2000MA-INS$26,208
National Casualty CompanyNationwideinsurance violation2000MA-INS$6,500
Philadelphia Indemnity Insurance CompanyTokio Marineinsurance violation2000MA-INS$7,040
United of Omaha Life Insurance Co.Mutual of Omahainsurance violation2000ME-INS$6,000
Indiana Insurance Co.Liberty Mutual Insuranceinsurance violation2000MN-FIN$25,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2000MN-FIN$15,000
Provident Life and Accident Insurance Co.Unuminsurance violation2000NC-INS$80,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2000NY-DFS$250,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2000OR-FIN$10,000
Merrill Lynch Life Insurance CompanyBank of Americainsurance violation2000SC-INS$5,000
Standard Fire Insurance CompanyTravelersinsurance violation2000SC-INS$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.