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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
Encompass Insurance Co.Allstateconsumer protection violation2015MA-AG$25,000
Encore Capital Group, Inc.Encore Capital Groupconsumer protection violation2015NY-AG$675,000
Farmers Insurance Exchange, Truck Insurance Exchange and Fire Insurance ExchangeFarmers Insurance Exchangetelecommunications violation2015MO-AG$575,000
Five Star BankFinancial Institutions Inc.discriminatory practices (non-employment)2015NY-AG$150,000
Guardian LifeGuardian Life Insuranceinsurance violation2015MULTI-AG$2,000,000
HSBCHSBCconsumer protection violation2015MO-AG$825,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2015MULTI-AG$2,500,000
JP Morgan ChaseJPMorgan Chasemortgage abuses2015MA-AG$675,000
JPMorgan ChaseJPMorgan Chaseinvestor protection violation2015MULTI-AG$150,000,000
JPMorgan ChaseJPMorgan Chaseconsumer protection violation2015CA-AG$50,000,000
JPMorgan Chase BankJPMorgan Chasemortgage abuses2015MD-AG$400,000
LPL Financial LLCLPL Financialconsumer protection violation2015MULTI-AG$2,000,000
Nationwide InsuranceNationwideconsumer protection violation2015WV-AG$5,750,000
Pacific LifePacific Lifeinsurance violation2015MULTI-AG$2,450,000
Santander Bank, N.A.Banco Santanderconsumer protection violation2015NY-AG$500,000
Santander USA Holdings Inc.Banco Santanderconsumer protection violation2015MA-AG$5,400,000
TD Ameritrade, Inc.Charles Schwab Corp.investor protection violation2015MA-AG$160,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupconsumer protection violation2015MA-AG$430,000
Wells Fargo BankWells Fargomortgage abuses2015MA-AG$675,000
Wells Fargo BankWells Fargomortgage abuses2015MD-AG$13,800,000
Western Sky Financial, LLC and CashCall, Inc.CashCall Inc.consumer protection violation2015MI-AG$24,700,000
Western Sky Financial, LLC, WS Funding, LLC, CashCall, Inc., Delbert Services Corp.CashCall Inc.consumer protection violation2015MA-AG$259,115
Credit Agricole Corporate and Investment BankCredit Agricoleeconomic sanction violation2015NY-MANDA$156,000,000
Commerzbank AGCommerzbankeconomic sanction violation2015NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $171,000,000
Neovia Logistics ServicesGoldman Sachsaviation safety violation2015FAA$116,250
Guaranteed Rate INCGuaranteed Rate Inc.wage and hour violation2015WHD$184,423
Marsh USA Inc.Marsh & McLennaninsurance violation2015AK-INS$25,000
Citigroup Global Markets, Inc.Citigroupinvestor protection violation2015AK-DBS$35,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2015AZ-DIFI$58,000
Foremost Property & Casualty Insurance Co.Zurich Insuranceinsurance violation2015AZ-DIFI$21,000
Monumental Life Insurance Co.Aegoninsurance violation2015AZ-DIFI$57,000
Sentry Insurance A Mutual Co.Sentry Insuranceinsurance violation2015AZ-DIFI$20,000
Ocwen Loan Servicing, LLCOcwen Financialconsumer protection violation2015CA-DFPI$2,500,000
CashCall, Inc.CashCall Inc.payday lending violation2015CA-DFPI$1,000,000
Mercury Insurance CompanyMercury General Corporationinsurance violation2015CA-INS$1,000,000
Pruco Life Insurance Co.Prudential Financialinsurance violation2015CA-INS$8,000
RiverSource Life Insurance Co.Ameriprise Financialinsurance violation2015CA-INS$800,000
ACE Cash Express, Inc.ACE Cash Expresspayday lending violation2015CA-DFPI$22,500
LendingClub Corp.LendingClub Corp.investor protection violation2015CA-DFPI$46,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2015CO-INS$140,500
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2015CO-INS$66,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015CT-SEC$35,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsinvestor protection violation2015DE-SEC$685,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2015DE-SEC$105,000
Nationwide Mutual Insurance Co.Nationwideinsurance violation2015DE-INS$15,000
LPL Financial LLCLPL Financialinvestor protection violation2015DE-SEC$200,000
PayPal, Inc.PayPal Holdingsconsumer protection violation2015FL-OFR$14,500
American Express Travel Related Services Co, Inc.American Expressconsumer protection violation2015FL-OFR$9,000
Nationwide Life Insurance Co.Nationwideinsurance violation2015ID-INS$5,000
Zurich American Insurance Co.Zurich Insuranceinsurance violation2015ID-INS$5,000
Stewart Title Co.Stewart Information Servicesinsurance violation2015IN-INS$59,400
Prosper MarketplaceProsper Marketplaceinvestor protection violation2015IN-SEC$13,957
Raymond James & Associates, Inc.Raymond James Financialinvestor protection violation2015IN-SEC$475,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2015KS-INS$81,000
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2015KS-INS$10,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2015KY-FIN$25,000
PennyMac Loan Services, LLCPennyMac Financial Servicesconsumer protection violation2015KY-FIN$20,000
Cash America International, Inc.FirstCashconsumer protection violation2015KY-FIN$116,998
Homeward Residential, Inc.Ocwen Financialconsumer protection violation2015KY-FIN$10,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2015MA-SEC$2,500,000
LPL Financial LLCLPL Financialinvestor protection violation2015MA-SEC$250,000
AIG Property Casualty Co.American International Groupinsurance violation2015MD-INS$22,500
Jackson National Life Insurance Co.Jackson Financialinsurance violation2015MD-INS$8,200
The Standard Fire Insurance Co.Travelersinsurance violation2015MD-INS$8,000
The Standard Fire Insurance Co.Travelersinsurance violation2015MD-INS$10,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2015MD-INS$11,800
Transamerica Life Insurance Co.Aegoninsurance violation2015MD-INS$16,300
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2015MD-INS$20,000
Liberty Mutual Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2015MD-INS$5,500
Allstate Insurance Co.Allstateinsurance violation2015MD-INS$5,000
Homesite Insurance Company of the MidwestAmerican Family Insuranceinsurance violation2015MD-INS$5,000
Unitrin Direct Property & Casualty Co. et al.Kemperinsurance violation2015MD-INS$5,000
Federal Insurance Co. et al.Chubb Limitedinsurance violation2015MD-INS$25,000
Empire Fire and Marine Insurance Co. et al.Zurich Insuranceinsurance violation2015MD-INS$8,000
American Automobile Insurance Co.Allianzinsurance violation2015MD-INS$5,000
Fireman's Fund Insurance Co.Allianzinsurance violation2015MD-INS$5,000
Metropolitan Life Insurance Co.MetLifeinsurance violation2015MD-INS$9,800
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2015MD-INS$10,000
Unum Life Insurance Company of AmericaUnuminsurance violation2015MD-INS$35,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2015MD-FIN$353,286
LM General Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2015MD-INS$8,000
Hartford Accident and Indemnity Co. et al.Hartford Financial Servicesinsurance violation2015MD-INS$15,000
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2015MD-INS$26,020
Penn Mutual Life Insurance Co.Penn Mutualinsurance violation2015MD-INS$10,400
Western Sky Financial, LLC and CashCall, Inc.CashCall Inc.consumer protection violation2015MI-FIN$2,200,000
Esurance Property and Casualty Insurance Co.Allstateinsurance violation2015MN-FIN$60,000
The Hanover Insurance Co.Hanover Insuranceinsurance violation2015MN-FIN$7,500
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2015MN-FIN$5,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2015MN-FIN$22,500
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2015MN-FIN$10,000
American General Life Insurance Co.American International Groupinsurance violation2015MN-FIN$10,000
Genworth Mortgage Insurance Corp.Genworth Financialinsurance violation2015MN-FIN$90,000
John Hancock Life Insurance Co. (USA) et al.Manulife Financialinsurance violation2015MN-FIN$900,000
Transamerica Premier Life Insurance Co.Aegoninsurance violation2015MN-FIN$5,000
Selective Insurance Company of AmericaSelective Insurance Groupinsurance violation2015MN-FIN$15,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2015MN-FIN$10,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2015MN-FIN$7,500
Philadelphia Indemnity Insurance Co.Tokio Marineinsurance violation2015MN-FIN$5,000
USAA Casualty Insurance Co.USAAinsurance violation2015MN-FIN$50,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2015MN-FIN$17,500
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2015MO-INS$39,600
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.