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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
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2015MO-INS$39,600
Standard Fire Insurance Co.Travelersinsurance violation2015MO-INS$89,000
State Farm Fire & Casualty Co.State Farm Insuranceinsurance violation2015MO-INS$85,750
American Home Assurance Co. et al.American International Groupinsurance violation2015MO-INS$1,250,000
Bankers Life and Casualty Co.CNO Financialinvestor protection violation2015MO-SEC$102,178
Security National Insurance Co.Zurich Insuranceinsurance violation2015MO-INS$16,090
Mid-Century Insurance Co.Zurich Insuranceinsurance violation2015MO-INS$87,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2015MO-INS$120,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2015MO-INS$23,500
American Family Mutual Insurance Co. and American Standard Insurance Co. of WisconsinAmerican Family Insuranceinsurance violation2015MO-INS$472,089
ProEquities, Inc.Dai-ichi Lifeinvestor protection violation2015MO-SEC$128,528
American Modern Home Insurance Co.Munich Reinsurance violation2015MO-INS$10,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2015MT-FIN$95,000
John Alden Life Insurance Co. and Time Insurance Co.Assurantinsurance violation2015MT-FIN$1,699,709
The Prudential Insurance Company of AmericaPrudential Financialinsurance violation2015MT-FIN$5,000
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2015NE-DBF$5,600
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2015NE-DBF$6,100
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2015NE-DBF$5,450
Ace Cash Express, Inc.ACE Cash Expressconsumer protection violation2015NE-DBF$20,500
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2015NE-DBF$9,050
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015NH-BSR$35,000
LPL Financial, LLCLPL Financialinvestor protection violation2015NH-BSR$750,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2015NH-BKG$75,000
Ameritas Life Insurance Corp.Ameritas Mutual Holding Companyinsurance violation2015NJ-DBI$2,524,290
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2015NJ-DBI$50,000
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2015NJ-DBI$10,000
Liberty MutualLiberty Mutual Insuranceinsurance violation2015NJ-DBI$25,000
Oppenheimer & Co.Oppenheimer Holdingsinvestor protection violation2015NM-SEC$215,000
American Family Home Insurance CompanyMunich Reinsurance violation2015NY-DFS$25,000
American Modern Home Insurance CompanyMunich Reinsurance violation2015NY-DFS$150,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2015NY-DFS$150,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2015NY-DFS$250,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015NY-DFS$100,000
Harleysville Worcester Insurance CompanyNationwideinsurance violation2015NY-DFS$76,500
Wells Fargo BankWells Fargoconsumer protection violation2015NY-DFS$4,000,000
Virginia Surety Company, Inc.Assurantinsurance violation2015NY-DFS$10,000
CommerzbankCommerzbankeconomic sanction violation2015NY-DFS$610,000,000
Ameritas Life Insurance Corp. of New YorkAmeritas Mutual Holding Companyinsurance violation2015NY-DFS$72,975
Combined Life Insurance Company of New YorkChubb Limitedinsurance violation2015NY-DFS$50,000
21st Century Centennial Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$36,500
21st Century National Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$25,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2015NY-DFS$600,000,000
AXA Art Insurance CorporationAXAinsurance violation2015NY-DFS$70,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2015NY-DFS$485,000,000
Bankers Conseco Life Insurance CompanyCNO Financialinsurance violation2015NY-DFS$10,270
Metropolitan Group Property and Casualty Insurance CompanyZurich Insuranceinsurance violation2015NY-DFS$30,000
Erie Insurance Company of New YorkErie Indemnityinsurance violation2015NY-DFS$21,000
Credit AgricoleCredit Agricoleeconomic sanction violation2015NY-DFS$385,000,000
Goldman SachsGoldman Sachsinvestor protection violation2015NY-DFS$50,000,000
Deutsche BankDeutsche Bankeconomic sanction violation2015NY-DFS$200,000,000
Nationwide Property & Casualty Insurance CompanyNationwideinsurance violation2015NY-DFS$7,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2015NY-DFS$90,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2015NY-DFS$150,000,000
New Day Financial LLC dba New Day USANew Day Financial LLCconsumer protection violation2015NY-DFS$1,000,000
MML Investors Services LLCMassachusetts Mutual Life Insuranceinvestor protection violation2015PA-BKG$100,000
QBE Insurance CorporationQBE Insuranceinsurance violation2015PA-INS$10,000
General Casualty Company of WisconsinQBE Insuranceinsurance violation2015PA-INS$50,000
Liberty Mutual Insurance GroupLiberty Mutual Insuranceinsurance violation2015RI-FIN$15,000
LendingClub CorporationLendingClub Corp.investor protection violation2015SC-SEC$150,000
Union Security Insurance CompanyAssurantinsurance violation2015SD-INS$7,500
Foremost Insurance Group et al.Zurich Insuranceinsurance violation2015SD-INS$750,000
Sentry Insurance GroupSentry Insuranceinsurance violation2015SD-INS$125,000
Nationwide Life Insurance CompanyNationwideinsurance violation2015SD-INS$10,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2015SD-INS$100,000
Illinois National Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$8,000
Travelers Casualty and Surety CompanyTravelersinsurance violation2015TX-INS$8,000
Travelers Indemnity CompanyTravelersinsurance violation2015TX-INS$10,000
AIG Property Casualty CompanyAmerican International Groupinsurance violation2015TX-INS$8,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2015TX-INS$20,000
The Travelers Indemnity CompanyTravelersinsurance violation2015TX-INS$10,000
ACE American Insurance CompanyChubb Limitedinsurance violation2015TX-INS$250,000
Travelers Indemnity Company et al.Travelersinsurance violation2015TX-INS$1,200,000
State Farm LloydsState Farm Insuranceinsurance violation2015TX-INS$352,500,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$34,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$19,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2015TX-INS$32,000
Safety National Casualty CorporationTokio Marineinsurance violation2015TX-INS$5,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2015TX-INS$9,000
State Farm Fire and Casualty CompanyState Farm Insuranceinsurance violation2015TX-INS$5,500
Stewart Title CompanyStewart Information Servicesinsurance violation2015TX-INS$50,000
Ace American Insurance CompanyChubb Limitedinsurance violation2015TX-INS$6,000
Ace American Insurance CompanyChubb Limitedinsurance violation2015TX-INS$16,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2015TX-INS$49,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2015TX-INS$6,000
Old Republic Insurance CompanyOld Republic Internationalinsurance violation2015TX-INS$5,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$9,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$90,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2015TX-INS$20,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2015TX-INS$6,000
American Home Assurance CompanyAmerican International Groupinsurance violation2015TX-INS$90,000
Arch Insurance CompanyArch Capitalinsurance violation2015TX-INS$19,000
TD Ameritrade Inc.Charles Schwab Corp.investor protection violation2015TX-SEC$400,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$34,000
Wausau Underwriters Insurance CompanyLiberty Mutual Insuranceinsurance violation2015TX-INS$8,000
Sentry InsuranceSentry Insuranceinsurance violation2015TX-INS$20,000
The Travelers Indemnity CompanyTravelersinsurance violation2015TX-INS$7,500
Ace American Insurance CompanyChubb Limitedinsurance violation2015TX-INS$9,900
Travelers Indemnity Company of ConnecticutTravelersinsurance violation2015TX-INS$60,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$15,200
American Zurich Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$7,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$7,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.