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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
Protective Insurance CompanyProgressiveinsurance violation2014SD-INS$7,500
American General Life Insurance CompanyAmerican International Groupinsurance violation2014SD-INS$15,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2014SD-INS$5,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2014SD-INS$10,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2014SD-INS$5,000
Selective Insurance Company of South CarolinaSelective Insurance Groupinsurance violation2014TN-INS$10,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2014TX-INS$20,000
Netherlands Insurance CompanyLiberty Mutual Insuranceinsurance violation2014TX-INS$6,801
Chubb Indemnity CompanyChubb Limitedinsurance violation2014TX-INS$5,725
Federal Insurance CompanyChubb Limitedinsurance violation2014TX-INS$37,597
Protective Insurance CompanyProgressiveinsurance violation2014TX-INS$10,965
Mitsui Sumitomo Insurance Company of AmericaMS&AD Insuranceinsurance violation2014TX-INS$5,977
Fidelity and Guaranty Insurance CompanyFidelity National Financialinsurance violation2014TX-INS$11,744
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2014TX-INS$15,905
Sentry InsuranceSentry Insuranceinsurance violation2014TX-INS$17,731
United States Fidelity and Guaranty CompanyTravelersinsurance violation2014TX-INS$13,307
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2014TX-INS$5,800
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2014TX-INS$6,662
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2014TX-INS$11,460
The Phoenix Insurance CompanyTravelersinsurance violation2014TX-INS$10,628
The Standard Fire Insurance CompanyTravelersinsurance violation2014TX-INS$9,795
The Travelers Indemnity CompanyTravelersinsurance violation2014TX-INS$19,442
Travelers Property and Casualty Company of AmericaTravelersinsurance violation2014TX-INS$17,012
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2014TX-INS$5,079
American Zurich Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$16,514
Zurich American Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$47,735
Safety National Casualty CorporationTokio Marineinsurance violation2014TX-INS$32,109
Peerless Insurance CompanyLiberty Mutual Insuranceinsurance violation2014TX-INS$15,500
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2014TX-INS$5,325
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2014TX-INS$56,000
Ace Fire Underwriters Insurance CompanyChubb Limitedinsurance violation2014TX-INS$14,615
Arch Insurance CompanyArch Capitalinsurance violation2014TX-INS$40,143
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2014TX-INS$30,599
Illinois National Insurance CompanyAmerican International Groupinsurance violation2014TX-INS$12,774
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2014TX-INS$29,981
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2014TX-INS$8,397
American Home Assurance CompanyAmerican International Groupinsurance violation2014TX-INS$7,848
Great American Alliance Insurance CompanyAmerican Financial Groupinsurance violation2014TX-INS$7,500
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2014TX-INS$19,000
Ace American Insurance CompanyChubb Limitedinsurance violation2014TX-INS$44,079
General Casualty Company of WisconsinQBE Insuranceinsurance violation2014TX-INS$7,000
QBE Insurance CorporationQBE Insuranceinsurance violation2014TX-INS$47,000
Travelers Casualty Insurance Company of AmericaTravelersinsurance violation2014TX-INS$10,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2014TX-INS$12,500
The Netherlands Insurance CompanyLiberty Mutual Insuranceinsurance violation2014TX-INS$24,000
American Guarantee and Liability Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$11,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2014TX-INS$14,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2014TX-INS$5,000
XL Specialty Insurance CompanyAXAinsurance violation2014TX-INS$8,500
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2014TX-INS$40,000
The Travelers Indemnity CompanyTravelersinsurance violation2014TX-INS$11,500
American Zurich Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$15,500
Zurich American Insurance CompanyZurich Insuranceinsurance violation2014TX-INS$5,500
Ace American Insurance CompanyChubb Limitedinsurance violation2014TX-INS$45,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2014TX-INS$6,500
Accident Fund General Insurance CompanyAF Groupinsurance violation2014TX-INS$28,000
Arch Insurance CompanyArch Capitalinsurance violation2014TX-INS$10,000
The Netherlands Insurance CompanyLiberty Mutual Insuranceinsurance violation2014TX-INS$6,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2014TX-INS$9,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2014TX-INS$89,000
Protective Insurance CompanyProgressiveinsurance violation2014TX-INS$9,000
Chubb Indemnity Insurance CompanyChubb Limitedinsurance violation2014TX-INS$9,000
Phoenix Insurance CompanyTravelersinsurance violation2014TX-INS$5,750
Everest National Insurance CompanyEverest Re Groupinsurance violation2014TX-INS$25,000
Property and Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2014TX-INS$8,000
First American Title Insurance Company:First American Financialinsurance violation2014UT-INS$73,000
Fidelity National Title Insurance Company & Chicago Title Insurance CompanyFidelity National Financialinsurance violation2014UT-INS$222,500
Transamerica Life Insurance CompanyAegoninsurance violation2014UT-INS$45,000
GENWORTH LIFE AND ANNUITY INSGenworth Financialinsurance violation2014VA-INS$13,000
SENTINEL INSURANCE COMPANY LTDHartford Financial Servicesinsurance violation2014VA-INS$22,891
VICTORIA FIRE AND CASUALTY CO.Nationwideinsurance violation2014VA-INS$72,400
ALLIED PROPERTY & CASUALTY INSURANCENationwideinsurance violation2014VA-INS$16,201
ALLIED PROPERTY & CASUALTY INSURANCENationwideinsurance violation2014VA-INS$5,530
PRUDENTIAL INSURANCE COMPANYPrudential Financialinsurance violation2014VA-INS$5,000
Nationwide Property and Casualty Insurance CompanyNationwideinsurance violation2014VA-INS$225,800
CMFG LIFE INSURANCE COMPANYCUNA Mutualinsurance violation2014VA-INS$21,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2014VA-SEC$9,500
TIME INSURANCE COMPANYHaven Holdingsinsurance violation2014VA-INS$19,000
NATIONAL UNION FIRE INSURANCEAmerican International Groupinsurance violation2014VA-INS$8,000
UBS Financial Services Inc.UBSinvestor protection violation2014VT-FIN$325,000
Transamerica Casualty Insurance CompanyAegoninsurance violation2014WA-INS$20,000
Unitrin Auto And Home Insurance CompanyKemperinsurance violation2014WA-INS$20,000
Combined Insurance Company Of AmericaChubb Limitedinsurance violation2014WA-INS$5,000
Life Insurance Company Of The SouthwestNational Life Groupinsurance violation2014WA-INS$17,500
Fidelity & Guaranty Life Insurance CompanyFidelity National Financialinsurance violation2014WA-INS$10,000
CashCall, Inc.CashCall Inc.consumer protection violation2014WA-FIN$6,390,670
Fifth Third Mortgage Co.Fifth Third Bancorpconsumer protection violation2014WA-FIN$228,626
Academy Mortgage Corp.Academy Mortgage Corp.consumer protection violation2014WA-FIN$17,760
The Hanover Insurance Co.Hanover Insuranceinsurance violation2014WI-INS$5,000
J.P. Morgan SecuritiesJPMorgan Chaseinvestor protection violation2014MULTI-FIN$2,800,000
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2014MULTI-FIN$2,800,000
Bank of America CorporationBank of Americaprivacy violation2014private lawsuit-federal$32,083,905
Vitol, Inc.Vitolair pollution violation2014CA-ARB$70,000
Imperial-Savannah LPLouis Dreyfuswater pollution violation2014GA-ENV$14,750
BUCKEYE PIPE LINE & WEST SHORE PIPE LINEIFM Investorsenvironmental violation2014IL-ENV$125,000
Louisiana Generating, LLCMacquarieenvironmental violation2014LA-ENV$46,962
BUCKEYE PIPE LINE CO LINDEN STATIONIFM Investorsair pollution violation2014NJ-ENV$5,000
Buckeye Albany Terminal LLCIFM Investorsenvironmental violation2014NY-ENV$36,000
Wells Fargo Advisors and Wells Fargo Advisors Financial NetworkWells Fargoanti-money-laundering deficiencies2014FINRA$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2014FINRA$2,440,000
Barclays Capital Inc.Barclaysinvestor protection violation2014FINRA$5,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.