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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
XL Specialty Insurance Co.AXAinsurance violation2021TX-INS$15,825
Travelers Indemnity Co.Travelersinsurance violation2021TX-INS$11,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2021TX-INS$5,000
XL Insurance America, Inc.AXAinsurance violation2021TX-INS$17,000
Accident Fund General Insurance Co.AF Groupinsurance violation2021TX-INS$6,500
Federal Insurance Co.Chubb Limitedinsurance violation2021TX-INS$19,000
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$6,200
Old Republic InsuranceOld Republic Internationalinsurance violation2021TX-INS$6,750
Protective Insurance Co.Progressiveinsurance violation2021TX-INS$8,500
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$9,500
Travelers Indemnity Co.Travelersinsurance violation2021TX-INS$23,500
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$7,000
Travelers Indemnity Co.Travelersinsurance violation2021TX-INS$5,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2021TX-INS$7,500
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$7,500
Ace American Insurance Co.Chubb Limitedinsurance violation2021TX-INS$5,000
QBE Insurance Corp.QBE Insuranceinsurance violation2021TX-INS$10,000
Standard Fire Insurance Co.Travelersinsurance violation2021TX-INS$7,500
Arch Insurance Co.Arch Capitalinsurance violation2021TX-INS$6,000
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2021TX-INS$9,000
Sagamore Insurance Co.Progressiveinsurance violation2021TX-INS$20,000
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$15,000
LM Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$40,000
New Hampshire Insurance Co.American International Groupinsurance violation2021TX-INS$6,000
Accident Fund General Insurance Co.AF Groupinsurance violation2021TX-INS$5,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2021TX-INS$5,000
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$14,000
Arch Insurance Co.Arch Capitalinsurance violation2021TX-INS$69,000
Hartford Fire Insurance Co.Hartford Financial Servicesinsurance violation2021TX-INS$5,000
Acadia Insurance Co.W.R. Berkleyinsurance violation2021TX-INS$8,250
Accident Fund National Insurance Co.AF Groupinsurance violation2021TX-INS$7,500
Buckeye Terminals, LLCIFM Investorsenvironmental violation2021VA-ENV$78,045
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2021WA-INS$100,000
Nationwide General Insurance Co.Nationwideinsurance violation2021WA-INS$35,000
Foremost Insurance Company Grand Rapids MichiganZurich Insuranceinsurance violation2021WA-INS$75,000
Transamerica Life Insurance Co.Aegoninsurance violation2021WA-INS$30,000
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2021WI-INS$10,000
Edward D. Jones & Co.Jones Financialemployment discrimination2021private lawsuit-federal$58,000,000
Affinity Insurance Services, Inc.Aoninsurance violation2021AK-INS$35,000
CUNA Brokerage Services, Inc.CUNA Mutualinvestor protection violation2021AR-SEC$50,000
Oscar Health Plan of CaliforniaOscar Health Inc.insurance violation2021CA-MHC$7,500
UBS AGUBSinvestor protection violation2021CFTC$500,000
Societe Generale S.A.Societe Generaleinvestor protection violation2021CFTC$1,500,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2021CFTC$84,320,000
Mizuho Capital Markets LLCMizuho Financialinvestor protection violation2021CFTC$1,500,000
Citibank, N.A.Citigroupinvestor protection violation2021CFTC$1,000,000
Navient Solutions, LLCNavientconsumer protection violation2021CT-BKG$25,400
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2021CT-INS$193,000
Great American Life Insurance CompanyMassachusetts Mutual Life Insuranceinsurance violation2021CT-INS$6,000
Trustmark National BankTrustmarkdiscriminatory practices (non-employment)2021CFPB(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
Progressive Direct Insurance CompanyProgressiveinsurance violation2021DE-INS$6,500
American General Life Insurance CompanyAmerican International Groupinsurance violation2021DE-INS$106,000
Synagro Northeast, LLCGoldman Sachsenvironmental violation2021EPA$373,660
The Gas Company, LLCMacquarieenvironmental violation2021EPA$230,000
Buckeye Pipe Line Co.IFM Investorsenvironmental violation2021EPA$4,350,000
Arthur J. Gallagher & Co.Arthur J. Gallagher & Co.employment discrimination2021EEOC$40,000
Santander Consumer USA Inc, dba Chrysler CapitalBanco Santanderconsumer protection violation2021DOJ_RIGHTS$134,282
Credit Suisse Group AGUBSfraud2021DOJ_CRIMINAL$175,500,000
USAA Casualty Insurance Company et al.USAAinsurance violation2021KS-INS$5,000
First American Title Insurance Company of LouisianaFirst American Financialinsurance violation2021LA-INS$5,000
National Union Fire Insurance Company of Pittsburgh, PaAmerican International Groupinsurance violation2021LA-INS$9,000
The Cincinnati Insurance CompanyCincinnati Financialinsurance violation2021MD-INS$96,980
American States Preferred Insurance CompanyLiberty Mutual Insuranceinsurance violation2021MD-INS$111,176
SAFECO Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2021MD-INS$196,044
American General Life Insurance CompanyAmerican International Groupinsurance violation2021MD-INS$32,250
ACE American Insurance Company and Insurance Company of North America, and ACE Fire Underwriters Insurance CompanyChubb Limitedinsurance violation2021MN-FIN$15,400
Great American Assurance CompanyAmerican Financial Groupinsurance violation2021MN-FIN$25,000
American Fire & Casualty CompanyLiberty Mutual Insuranceinsurance violation2021MO-INS$64,000
New York Life Insurance Company and New York Life Insurance and Annuity CorporationNew York Life Insuranceinsurance violation2021MT-FIN$10,000
Rocket Mortgage, LLC fka Quicken Loans, LLCRocket Companies Inc.consumer protection violation2021MULTI-AG$500,000
Old Republic National Title Insurance CompanyOld Republic Internationalinsurance violation2021NH-INS$10,000
Trustmark National BankTrustmarkbanking violation2021OCC$4,000,000
Washington Federal Bank, National AssociationWashington Federal Inc.banking violation2021OCC$2,500,000
Washington Federal Bank, National AssociationWashington Federal Inc.banking violation2021OCC$40,500
American Bankers Insurance Company of FloridaAssurantinsurance violation2021OR-FIN$20,000
Generali - U.S. Branch dba The General Insurance Company of Trieste & VeniceAssicurazioni Generaliinsurance violation2021OR-FIN$10,000
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2021PA-BKG$232,200
Allstate Property & Casualty Insurance Company, et al.Allstateinsurance violation2021RI-FIN$7,500
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2021SEC$1,207,000
WEX Inc.WEX Inc.investor protection violation2021SEC$350,000
Credit Suisse Group AGUBSForeign Corrupt Practices Act2021SEC$99,000,000
LPL Financial LLCLPL Financialinvestor protection violation2021SEC$891,202
XL Insurance America, Inc.AXAinsurance violation2021TX-INS$10,000
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$15,500
Great American Alliance Insurance CompanyAmerican Financial Groupinsurance violation2021TX-INS$7,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2021TX-INS$39,000
LM Insurance Corp.Liberty Mutual Insuranceinsurance violation2021TX-INS$11,500
Everest National Insurance CompanyEverest Re Groupinsurance violation2021TX-INS$5,500
Unitrin Direct Property & Casualty CompanyKemperinsurance violation2021TX-INS$7,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2021TX-INS$19,500
American Bankers Insurance Company of FloridaAssurantinsurance violation2021TX-INS$45,000
Safety National Casualty Corp.Tokio Marineinsurance violation2021TX-INS$39,000
Hartford Insurance Company of the Midwest et al.Hartford Financial Servicesinsurance violation2021TX-INS$120,000
Wells Fargo Bank, N.A.Wells Fargobanking violation2021USAO$72,600,000
Privilege Underwriters Reciprocal ExchangeTokio Marineinsurance violation2021VA-INS$19,295
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2021VA-SEC$10,000
Rocket Mortgage, LLC fka Quicken Loans, LLCRocket Companies Inc.consumer protection violation2021WA-FIN$87,500
American General Life Insurance CompanyAmerican International Groupinsurance violation2021WA-INS$10,000
Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2021WA-INS$10,000
Nationwide Life And Annuity Insurance Company et al.Nationwideinsurance violation2021WA-INS$5,000
Farmers Insurance Company of Washington et al.Zurich Insuranceinsurance violation2021WA-INS$20,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.