Violation Tracker

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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 Companies	Total Penalty $	Number of Records
Bank of America	$87,286,650,890	328
JPMorgan Chase	$39,340,688,209	275
UBS	$31,069,299,125	179
Wells Fargo	$27,616,269,231	266
Citigroup	$26,945,611,792	181
Deutsche Bank	$20,011,467,563	99
Goldman Sachs	$17,729,358,987	111
NatWest Group PLC	$14,370,701,618	43
Morgan Stanley	$10,780,502,443	203
BNP Paribas	$10,363,464,666	23

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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Company	Current Parent	Primary Offense Type	Year	Agency	Penalty Amount
HARTFORD FIRE INSURANCE CO. ET AL	Hartford Financial Services	insurance violation	2001	VA-INS	$30,000
PROGRESSIVE AMERICAN INSURANCE CO.	Progressive	insurance violation	2001	VA-INS	$23,000
MONUMENTAL LIFE INSURANCE CO	Aegon	insurance violation	2001	VA-INS	$5,000
HARLEYSVILLE MUTUAL INSURANCE CO	Nationwide	insurance violation	2001	VA-INS	$21,000
AMERITAS LIFE INSURANCE CORP	Ameritas Mutual Holding Company	insurance violation	2001	VA-INS	$9,000
AMERICAN BANKERS LIFE ASSURANCE OF FLORIDA	Assurant	insurance violation	2001	VA-INS	$15,000
PACIFIC LIFE & ANNUITY COMPANY	Pacific Life	insurance violation	2001	VA-INS	$9,000
RELIASTAR LIFE INSURANCE CO	Voya Financial	insurance violation	2001	VA-INS	$9,000
FORTIS INSURANCE COMPANY	Assurant	insurance violation	2001	VA-INS	$57,000
Hartford Accident and Indemnity Co.	Hartford Financial Services	insurance violation	2001	WI-INS	$15,000
Progressive Northern Insurance Co.	Progressive	insurance violation	2001	WI-INS	$70,000
American Bankers Insurance Group Inc.	Assurant	insurance violation	2001	MULTI-FIN	$3,000,000
RR DONNELLEY & SONS CO	Chatham Asset Management	environmental violation	2001	IN-ENV	$15,800
RR DONNELLEY & SONS CO	Chatham Asset Management	environmental violation	2001	IN-ENV	$9,200
WHEELABRATOR GLOUCESTER COMPANY, L.P.	Macquarie	environmental violation	2001	NJ-ENV	$10,400
WHEELABRATOR GLOUCESTER COMPANY, L.P.	Macquarie	environmental violation	2001	NJ-ENV	$11,200
CUNA Brokerage Services, Inc.	CUNA Mutual	investor protection violation	2001	FINRA	$100,000
Prudential Securities Incorporated	Wells Fargo	investor protection violation	2001	FINRA	$20,000
J.P. Morgan Securities, Inc.	JPMorgan Chase	investor protection violation	2001	FINRA	$10,000
Schwab Capital Markets	UBS	investor protection violation	2001	FINRA	$12,000
Spear, Leeds & Kellogg	Goldman Sachs	investor protection violation	2001	FINRA	$10,000
E-Trade Securities	Morgan Stanley	investor protection violation	2001	FINRA	$90,000
Banc of America Securities LLC	Bank of America	investor protection violation	2001	FINRA	$40,000
Credit Suisse First Boston Corporation	UBS	investor protection violation	2001	FINRA	$25,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.	Bank of America	investor protection violation	2001	FINRA	$15,000
Chase Securities, Inc.	JPMorgan Chase	investor protection violation	2001	FINRA	$10,000
Josephthal & Co., Inc.	Oppenheimer Holdings	investor protection violation	2001	FINRA	$2,300,000
Stifel, Nicolaus & Company, Inc.	Stifel Financial	investor protection violation	2001	FINRA	$225,000
Prudential Securities, Inc.	Wells Fargo	investor protection violation	2001	FINRA	$10,000
First Union Brokerage Services, Inc.	Wells Fargo	investor protection violation	2001	FINRA	$32,500
Branch Banking & Trust Corporation	Truist Financial	campaign finance violation	2001	FEC	$22,000
MBNA Corp.	Bank of America	consumer protection violation	2001	private lawsuit-federal	$8,700,000
RR DONNELLEY & SONS COMPANY	Chatham Asset Management	workplace safety or health violation	2001	OSHA	$5,000
GARNER PRINTING	Chatham Asset Management	workplace safety or health violation	2001	OSHA	$6,000
SPENCER PRESS OF MAINE, INC.	Chatham Asset Management	workplace safety or health violation	2001	OSHA	$10,500
R. R. DONNELLEY AND SONS COMPANY	Chatham Asset Management	environmental violation	2001	EPA	$11,344
Dain Rauscher Incorporated	Royal Bank of Canada	investor protection violation	2000	SEC	$12,941,191
Goldman, Sachs & Co.	Goldman Sachs	investor protection violation	2000	SEC	$5,200,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Bank of America	investor protection violation	2000	SEC	$5,000,000
Morgan Stanley & Co. Incorporated	Morgan Stanley	investor protection violation	2000	SEC	$2,500,000
PaineWebber Incorporated	UBS	investor protection violation	2000	SEC	$26,200,000
Prudential Securities Incorporated	Wells Fargo	investor protection violation	2000	SEC	$5,880,000
Salomon Smith Barney Inc.	Morgan Stanley	investor protection violation	2000	SEC	$45,000,000
Warburg Dillon Read LLC	UBS	investor protection violation	2000	SEC	$6,680,000
Josephthal & Co.	Oppenheimer Holdings	employment discrimination	2000	EEOC	$330,000
Cincinnati Bell Telephone and Cincinnati Bell Information Systems	Macquarie	employment discrimination	2000	EEOC	$1,000,000
First Union Bank	Wells Fargo	labor relations violation	2000	NLRB	$9,116
Fifth Third Bank	Fifth Third Bancorp	employment discrimination	2000	OFCCP	$440,000
Wachovia National Bank, N.A.	Wells Fargo	benefit plan administrator violation	2000	EBSA	$30,000,000
Liberty Mutual Insurance	Liberty Mutual Insurance	employment discrimination	2000	private lawsuit-state	$348,111
First Union Securities, Inc.	Wells Fargo	investor protection violation	2000	SEC	$408,931
Dean Witter Reynolds Inc.	Morgan Stanley	investor protection violation	2000	SEC	$476,702
Fahnestock & Co., Inc.	Oppenheimer Holdings	investor protection violation	2000	SEC	$20,000
Janney Montgomery Scott LLC	Penn Mutual	investor protection violation	2000	SEC	$100,000
Dreyfus Corporation	Bank of New York Mellon	investor protection violation	2000	SEC	$950,000
Dreyfus Corporation	Bank of New York Mellon	investor protection violation	2000	NY-AG	$2,000,000
Metropolitan Life Insurance Co.	MetLife	consumer protection violation	2000	MA-AG	$1,200,000
Metropolitan Property and Casualty Insurance Co.	Zurich Insurance	consumer protection violation	2000	MA-AG	$1,840,000
MONY Life Insurance Co.	Dai-ichi Life	consumer protection violation	2000	CT-AG	$250,000
Providian Financial Corp.	JPMorgan Chase	consumer protection violation	2000	CA-AG	$305,500,000
Providian Financial Corp.	JPMorgan Chase	consumer protection violation	2000	CT-AG	$1,600,000
State Farm	State Farm Insurance	consumer protection violation	2000	TX-AG	$3,100,000
Union Security Life Insurance Co	Assurant	consumer protection violation	2000	MA-AG	$1,000,000
US Bank	U.S. Bancorp	privacy violation	2000	MULTI-AG	$2,000,000
American Express Financial Advisors	Ameriprise Financial	investor protection violation	2000	AZ-CC	$125,000
Stewart Title Guaranty Co.	Stewart Information Services	insurance violation	2000	CO-INS	$25,000
Commonwealth Land Title Insurance Co.	Fidelity National Financial	insurance violation	2000	CO-INS	$20,750
American Heritage Life Insurance Co.	Allstate	insurance violation	2000	FL-OFR	$12,750
Protective Life Insurance Co.	Dai-ichi Life	insurance violation	2000	FL-OFR	$8,750
Conseco Senior Health Insurance Co.	CNO Financial	insurance violation	2000	FL-OFR	$5,500
Allianz Life Insurance Company of North America	Allianz	insurance violation	2000	FL-OFR	$14,000
Conseco Life Insurance Co.	CNO Financial	insurance violation	2000	FL-OFR	$5,625
American General Life and Accident Insurance Co.	American International Group	insurance violation	2000	KS-INS	$23,400
New Hampshire Insurance Co.	American International Group	insurance violation	2000	KS-INS	$10,375
National Union Fire Insurance Company of Pittsburgh, Pennsylvania	American International Group	insurance violation	2000	KS-INS	$10,375
Scottsdale Insurance Company	Nationwide	insurance violation	2000	MA-INS	$26,208
National Casualty Company	Nationwide	insurance violation	2000	MA-INS	$6,500
Philadelphia Indemnity Insurance Company	Tokio Marine	insurance violation	2000	MA-INS	$7,040
United of Omaha Life Insurance Co.	Mutual of Omaha	insurance violation	2000	ME-INS	$6,000
Indiana Insurance Co.	Liberty Mutual Insurance	insurance violation	2000	MN-FIN	$25,000
Auto-Owners Insurance Co.	Auto-Owners Insurance	insurance violation	2000	MN-FIN	$15,000
Provident Life and Accident Insurance Co.	Unum	insurance violation	2000	NC-INS	$80,000
Guardian Life Insurance Company of America	Guardian Life Insurance	insurance violation	2000	NY-DFS	$250,000
Nationwide Mutual Insurance Company	Nationwide	insurance violation	2000	OR-FIN	$10,000
Merrill Lynch Life Insurance Company	Bank of America	insurance violation	2000	SC-INS	$5,000
Standard Fire Insurance Company	Travelers	insurance violation	2000	SC-INS	$10,000
Mid-Century Insurance Co. of Texas	Zurich Insurance	insurance violation	2000	TX-INS	$11,000,000
American Express Financial Advisors Inc.	Ameriprise Financial	investor protection violation	2000	TX-SEC	$9,000
Principal Life Insurance Co.	Principal Financial	insurance violation	2000	WA-INS	$100,000
Gerber Life Insurance Co.	Western & Southern Financial Group	insurance violation	2000	WA-INS	$350,000
AIG Warranty Guard, Inc.	American International Group	insurance violation	2000	WI-INS	$100,000
National Union Fire Insurance Company of Pittsburgh, PA	American International Group	insurance violation	2000	WI-INS	$15,000
Liberty Insurance Underwriters Inc.	Liberty Mutual Insurance	insurance violation	2000	WI-INS	$10,000
American General	American International Group	insurance violation	2000	MULTI-FIN	$7,500,000
American General Life Insurance	American International Group	discriminatory practices (non-employment)	2000	private lawsuit-federal	$214,000,000
BUCKEYE PIPELINE CO LLP	IFM Investors	environmental violation	2000	NJ-ENV	$14,000
WHEELABRATOR GLOUCESTER COMPANY, L.P.	Macquarie	environmental violation	2000	NJ-ENV	$11,600
Fleet National Bank	Bank of America	environmental violation	2000	RI-ENV	$18,034
Morgan Stanley & Co. Inc.	Morgan Stanley	investor protection violation	2000	FINRA	$200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.	Bank of America	investor protection violation	2000	FINRA	$97,000
E-TRADE Securities, Inc.	Morgan Stanley	investor protection violation	2000	FINRA	$20,000