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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $364,987,502,767
Number of Records: 7,424
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$83,860,718,022283
JPMorgan Chase$36,735,865,891239
Citigroup$26,665,437,031170
Wells Fargo$25,943,801,143236
Deutsche Bank$19,684,396,13592
UBS$17,479,735,000115
Goldman Sachs$17,054,777,59197
NatWest Group PLC$14,007,380,19038
Credit Suisse$11,673,430,79257
Morgan Stanley$10,440,931,900196

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 icon . AgencyPenalty Amount
Federal Insurance Co.Chubb Limitedinsurance violation2008MO-INS$5,900
Allstate Insurance Co. et al.Allstateinsurance violation2008MO-INS$9,483
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008MS-SEC$150,000
Safety National Casualty Corp.Tokio Marineinsurance violation2008MS-INS$10,000
Countrywide Home Loans Inc.Bank of Americaconsumer protection violation2008NC-BKG$1,611,500
American General Financial Services, Inc.OneMain Holdingsconsumer protection violation2008NE-DBF$30,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2008NE-DBF$11,000
Cadaret, Grant & Co., Inc.Atria Wealth Solutionsinvestor protection violation2008NE-DBF$10,000
Household Finance CorpoationHSBCconsumer protection violation2008NE-DBF$55,000
MoneyGram Payment Systems, Inc.MoneyGram Internationalconsumer protection violation2008NE-DBF$6,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2008NH-BSR$3,400,000
John Alden Life Insurance CompanyAssurantinsurance violation2008NH-INS$450,000
Time Insurance CompanyHaven Holdingsinsurance violation2008NH-INS$450,000
Chicago Title Insurance CompanyFidelity National Financialinsurance violation2008NJ-DBI$20,000
Monumental Life Insurance CompanyAegoninsurance violation2008NJ-DBI$250,000
HealthNow New York Inc.Highmark Inc.insurance violation2008NY-DFS$1,050,000
Waddell & Reed Inc.Macquarieinvestor protection violation2008OK-SEC$10,000
Virginia Surety Company, Inc.Assurantinsurance violation2008OR-FIN$25,000
QBE Insurance CorporationQBE Insuranceinsurance violation2008OR-FIN$17,700
Bankers Life and Casualty CompanyCNO Financialinsurance violation2008OR-FIN$150,000
First American Title Insurance Company of OregonFirst American Financialinsurance violation2008OR-FIN$6,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2008OR-FIN$6,500
American International Insurance Group Inc.American International Groupinsurance violation2008PA-INS$9,125,400
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2008PA-INS$40,000
Aon Risk Services Central Inc.Aoninsurance violation2008PA-INS$5,000
Marsh USA Inc.Marsh & McLennaninsurance violation2008PA-INS$50,000
AIG National Insurance CompanyAmerican International Groupinsurance violation2008RI-FIN$10,000
Allstate Texas Lloyd'sAllstateinsurance violation2008TX-INS$71,300,000
Hartford Casualty Insurance Company et al.Hartford Financial Servicesinsurance violation2008TX-INS$21,000
Sentry InsuranceSentry Insuranceinsurance violation2008TX-INS$5,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2008TX-INS$6,000
A.G. Edwards & Sons Inc.Wells Fargoinvestor protection violation2008TX-SEC$5,000
Morgan Stanley & Co. Inc.Morgan Stanleyinvestor protection violation2008TX-SEC$400,000
Ace American Insurance CompanyChubb Limitedinsurance violation2008TX-INS$17,500
Ace American Insurance CompanyChubb Limitedinsurance violation2008TX-INS$14,875
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2008TX-INS$18,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2008TX-INS$18,000
Virginia Surety Company, Inc.Assurantinsurance violation2008TX-INS$7,000
Ace American Insurance Company et al.Chubb Limitedinsurance violation2008TX-INS$50,000
Ace American Insurance CompanyChubb Limitedinsurance violation2008TX-INS$37,500
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2008TX-INS$7,500
LPL Financial CorporationLPL Financialinvestor protection violation2008TX-SEC$5,000
AIU INSURANCE COMPANY ET AL.American International Groupinsurance violation2008VA-INS$100,000
AIG CASUALTY INSURANCE CO., ET AL.American International Groupinsurance violation2008VA-INS$10,000
Group Hospitalization and Medical Services, Inc.CareFirst of Marylandinsurance violation2008VA-INS$10,000
CAREFIRST BLUECHOICE, INC.CareFirst of Marylandinsurance violation2008VA-INS$5,000
AMERIPRISE FINANCIAL SERVICESAmeriprise Financialinvestor protection violation2008VA-SEC$780,000
ALLIED CASH ADVANCE VIRGINIACNG Financialconsumer protection violation2008VA-FIN$38,000
HARTFORD LIFE AND ANNUITY INSURANCEHartford Financial Servicesinsurance violation2008VA-INS$5,000
STATE FARM FIRE, ET AL.State Farm Insuranceinsurance violation2008VA-INS$35,000
ALLIED HOME MORTGAGE CAPITALAmericus Mortgageconsumer protection violation2008VA-FIN$5,000
CITIGROUP GLOBAL MARKETSCitigroupinvestor protection violation2008VA-SEC$22,000
Conseco Senior Health Insurance Co.CNO Financialinsurance violation2008WI-INS$100,000
Travelers Casualty & Surety Company of AmericaTravelersinsurance violation2008WI-INS$30,000
Universal Underwriters Service Corp.Zurich Insuranceinsurance violation2008WI-INS$10,000
Bank of AmericaBank of Americainvestor protection violation2008MULTI-FIN(*)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
Conseco Senior Health Insurance Company and Bankers Life and Casualty CompanyCNO Financialinsurance violation2008MULTI-FIN$2,342,728
Credit Suisse Securities (USA) LLCCredit Suisseinvestor protection violation2008MULTI-FIN$15,000,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $15,000,000
Goldman SachsGoldman Sachsinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $22,500,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Merrill LynchBank of Americainvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $35,000,000
Prosper Marketplace, Inc.Prosper Marketplaceinvestor protection violation2008MULTI-FIN$1,000,000
RBC Capital Markets CorporationRoyal Bank of Canadainvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $9,800,000
UBS Securities LLC and UBS Financial Services Inc.UBSinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $150,000,000
Wachovia Securities LLCWells Fargoinvestor protection violation2008MULTI-FIN(*)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
LOUIS DREYFUS CITRUS INCLouis Dreyfusenvironmental violation2008FL-DEP$21,000
IFCO SYSTEMS NORTH AMERICA, INC.Triton Investments Advisersenvironmental violation2008FL-DEP$15,000
MANULIFE FINANCIALManulife Financialenvironmental violation2008MA-ENV$18,030
SYNAGRO-PATAPSCO PELLETIZERGoldman Sachsenvironmental violation2008MD-ENV$27,000
BUCKEYE PIPELINE CO LLPIFM Investorsenvironmental violation2008NJ-ENV$10,000
BROADRIDGE FINANCIAL SOLUTIONS INCBroadridge Financial Solutionsenvironmental violation2008NJ-ENV$6,500
E-Trade Securities, LLCMorgan Stanleyinvestor protection violation2008FINRA$500,000
CIBC World Markets Corp.Canadian Imperial Bank of Commerceinvestor protection violation2008FINRA$350,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2008FINRA$300,000
BNY Mellon Capital Markets, LLCBank of New York Melloninvestor protection violation2008FINRA$250,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2008FINRA$700,000
SunTrust Robinson Humphrey, Inc.Truist Financialinvestor protection violation2008FINRA$1,650,000
Comerica Securities, Inc.Comericainvestor protection violation2008FINRA$750,000
SunTrust Investment Services, Inc.Truist Financialinvestor protection violation2008FINRA$300,000
Prudential SecuritiesWells Fargoinvestor protection violation2008FINRA$1,050,000
UBS Financial Services, Inc.UBSinvestor protection violation2008FINRA$1,000,000
Pruco SecuritiesPrudential Financialinvestor protection violation2008FINRA$100,000
Merrill LynchBank of Americainvestor protection violation2008FINRA$250,000
Oppenheimer & Co.Oppenheimer Holdingsinvestor protection violation2008FINRA$4,500,000
Banc One Securities CorporationJPMorgan Chaseinvestor protection violation2008FINRA$225,000
CIBC World Markets Corp.Canadian Imperial Bank of Commerceinvestor protection violation2008FINRA$200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2008FINRA$200,000
Thomas Weisel Partners, LLCStifel Financialinvestor protection violation2008FINRA$200,000
UBS Securities, LLCUBSinvestor protection violation2008FINRA$200,000
Bear, Stearns & Co., Inc.JPMorgan Chaseinvestor protection violation2008FINRA$150,000
BMO Capital Markets Corp.Bank of Montrealinvestor protection violation2008FINRA$150,000
Cowen and Company, LLCToronto-Dominion Bankinvestor protection violation2008FINRA$150,000
Deutsche Bank Securities, Inc.,Deutsche Bankinvestor protection violation2008FINRA$150,000
RBC Capital Markets Corp.Royal Bank of Canadainvestor protection violation2008FINRA$150,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.investor protection violation2008FINRA$50,000
Piper Jaffray & Co.Piper Sandlerinvestor protection violation2008FINRA$100,000
COUNTRYWIDE FINANCIAL CORPORATION,Bank of Americawage and hour violation2008CA-LCO$5,164
IFCO SYSTEMS NORTH AMERICA INCTriton Investments Advisersworkplace safety or health violation2008OSHA$5,400
IMPERIAL SUGAR COMPANY; IMPERIAL-SAVANNAH, L.P.Louis Dreyfusworkplace safety or health violation2008OSHA$4,050,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.