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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $388,129,347,579
Number of Records: 7,728
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$39,688,888,209277
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$14,370,701,61843
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
John Alden Life Insurance Co.Assurantinsurance violation2013AZ-DIFI$90,000
Union Security Insurance Co.Assurantinsurance violation2013AZ-DIFI$40,000
Time Insurance Co.Haven Holdingsinsurance violation2013AZ-DIFI$60,000
Unitrin Direct Insurance Co.Kemperinsurance violation2013AZ-DIFI$9,000
Unitrin Direct Property & Casualty Co.Kemperinsurance violation2013AZ-DIFI$18,000
Mercury Casualty Co.Mercury General Corporationinsurance violation2013AZ-DIFI$19,000
United Insurance Co.Kemperinsurance violation2013AZ-DIFI$23,000
National Union Fire Insurance Co.American International Groupinsurance violation2013CA-INS$5,991,132
Fidelity National Title Insurance Co. et al.Fidelity National Financialinsurance violation2013CA-INS$1,425,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2013CA-INS$360,522
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013CA-DFPI$33,520
Safeco Insurance CompanyLiberty Mutual Insuranceinsurance violation2013CA-INS$900,000
First American Title Insurance Co.First American Financialinsurance violation2013CO-INS$177,500
AllianceBernstein L.P.Equitable Holdingsinvestor protection violation2013CO-SEC$20,232
PHH Mortgage Corp. dba Century MortgageOcwen Financialconsumer protection violation2013CT-BKG$29,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013DC-DISB$15,000
Universal Property & Casualty Insurance Co.Universal Insurance Holdingsinsurance violation2013FL-OFR$1,260,000
GMAC Mortgage, LLC dba DitechAlly Financialconsumer protection violation2013IL-BKG$15,000
LPL Financial, LLCLPL Financialinvestor protection violation2013IN-SEC$14,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2013IN-SEC$8,500
Farmers Insurance Company, Inc.Zurich Insuranceinsurance violation2013KS-INS$50,000
Stonegate Mortgage Corp.Home Point Capitalconsumer protection violation2013KY-FIN$5,000
LPL Financial LLCLPL Financialinvestor protection violation2013MA-SEC$500,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2013MA-SEC$17,500,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013MA-SEC$400,000
Lincoln Financial Advisors Corp.Lincoln Nationalinvestor protection violation2013MA-SEC$100,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2013MA-SEC$30,000,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2013MA-BKG$25,000
Allstate Insurance Co.Allstateinsurance violation2013MD-INS$17,954
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2013MD-SEC$50,000
Phoenix Insurance Co. and Travelers Property Casualty Company of AmericaTravelersinsurance violation2013MD-INS$50,000
Allstate Indemnity Co. et al.Allstateinsurance violation2013MD-INS$18,000
SAFECO Insurance Company of America, Inc. et al.Liberty Mutual Insuranceinsurance violation2013MD-INS$195,000
Praetorian Insurance Co. and Stonington Insurance Co.QBE Insuranceinsurance violation2013MD-INS$10,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2013MD-INS$15,000
Peerless Indemnity Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2013MD-INS$5,000
Gerber Life Insurance Co.Western & Southern Financial Groupinsurance violation2013MD-INS$14,000
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2013MD-INS$20,000
United American Insurance Co.Globe Life Inc.insurance violation2013MD-INS$5,200
ACE American Insurance Co. et al.Chubb Limitedinsurance violation2013ME-INS$30,550
Zurich American Insurance Co. et al.Zurich Insuranceinsurance violation2013ME-INS$35,350
LendingClub CorporationLendingClub Corp.investor protection violation2013ME-SEC$45,000
Lincoln National Life Insurance Co. and Lincoln Financial GroupLincoln Nationalinsurance violation2013MN-FIN$150,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2013MN-FIN$5,000
AMCO Insurance Co.Nationwideinsurance violation2013MN-FIN$20,000
The Northwestern Mutual Life Insurance Co.Northwestern Mutualinsurance violation2013MN-FIN$150,000
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2013MN-FIN$1,000,000
Depositors Insurance Co.Nationwideinsurance violation2013MN-FIN$40,000
QBE Insurance Co.QBE Insuranceinsurance violation2013MN-FIN$5,000
American Security Insurance CompanyAssurantinsurance violation2013MN-FIN$5,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2013MO-INS$14,722
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherinvestor protection violation2013MO-SEC$80,000
Safety National Casualty Co.Tokio Marineinsurance violation2013MO-INS$61,250
Safety First Insurance Co.Tokio Marineinsurance violation2013MO-INS$12,250
Time Insurance Co. et al.Haven Holdingsinsurance violation2013MO-INS$1,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013MO-SEC$2,121,579
Tokio Marine & Nichido Fire Insurance Co.Tokio Marineinsurance violation2013MO-INS$29,750
LPL Financial LLCLPL Financialinvestor protection violation2013MO-SEC$185,000
Nationwide Agribusiness Insurance Co. and Farmland Mutual Insurance Co.Nationwideinsurance violation2013MO-INS$292,250
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2013MT-FIN$50,000
Arch Insurance Co.Arch Capitalinsurance violation2013MT-FIN$29,075
John Hancock Life Insurance Co.Manulife Financialinsurance violation2013MT-FIN$5,000
Travelers Casualty and Surety Co. et al.Travelersinsurance violation2013MT-FIN$5,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2013MT-FIN$50,000
Time Insurance CompanyHaven Holdingsinsurance violation2013NC-INS$524,000
Securian Financial Services, Inc.Securian Financialconsumer protection violation2013NE-DBF$5,500
Ameriprise Financial Services Inc.Ameriprise Financialconsumer protection violation2013NE-DBF$10,000
Edward D. Jones & Co., L.P.Jones Financialconsumer protection violation2013NE-DBF$12,500
Pruco Securities, LLCPrudential Financialinvestor protection violation2013NJ-BOS$100,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2013NJ-DBI$90,000
Western Sky Financial, LLC et al.CashCall Inc.consumer protection violation2013NV-BKG$50,000
HealthNow New York Inc.Highmark Inc.insurance violation2013NY-DFS$700,000
Assurant, Inc.Assurantinsurance violation2013NY-DFS$14,000,000
QBE Insurance Corp.QBE Insuranceinsurance violation2013NY-DFS$10,000,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2013NY-DFS$4,560,000
Seneca Insurance Company, Inc.Fairfax Financial Holdingsinsurance violation2013NY-DFS$50,000
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2013NY-DFS$150,000
Bank of Tokyo Mitsubishi-UFJ, LtdMitsubishi UFJ Financial Groupeconomic sanction violation2013NY-DFS$250,000,000
Transamerica Financial Life Insurance CompanyAegoninsurance violation2013NY-DFS$852,418
Prospect Mortgage, LLCHomebridge Financial Servicesmortgage abuses2013NY-DFS$3,427,155
Royal Bank of ScotlandNatWest Group PLCeconomic sanction violation2013NY-DFS$50,000,000
Allianz Life Insurance Company of New YorkAllianzinsurance violation2013NY-DFS$135,000
Allstate Insurance CompanyAllstateinsurance violation2013OR-FIN$50,000
Progressive Classic Insurance CompanyProgressiveinsurance violation2013OR-FIN$6,000
State Farm VP Management Corp.State Farm Insuranceinvestor protection violation2013PA-BKG$75,000
Homesite Insurance CompanyAmerican Family Insuranceinsurance violation2013RI-FIN$5,000
Safeco Insurance CompanyLiberty Mutual Insuranceinsurance violation2013SC-INS$8,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2013SD-INS$15,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2013SD-INS$5,000
Washington National Insurance CompanyCNO Financialinsurance violation2013SD-INS$125,000
Catlin Insurance Company Inc.AXAinsurance violation2013SD-INS$5,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2013SD-INS$5,000
Hartford Fire Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Sentinel Insurance Company Ltd.Hartford Financial Servicesinsurance violation2013SD-INS$5,000
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2013SD-INS$5,000
Property & Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2013SD-INS$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.