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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
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$7,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$8,500
American Guarantee and Liability Insurance CompanyZurich Insuranceinsurance violation2015TX-INS$6,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2015TX-INS$15,000
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2015TX-INS$5,500
T.H.E. Insurance CompanyAXAinsurance violation2015TX-INS$11,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2015TX-INS$35,000
Ace American Insurance CompanyChubb Limitedinsurance violation2015TX-INS$15,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$15,000
Praetorian Insurance CompanyQBE Insuranceinsurance violation2015TX-INS$20,000
LIBERTY INSURANCE CORPORATIONLiberty Mutual Insuranceinsurance violation2015VA-INS$32,675
OLD REPUBLIC NATIONAL TITLE INSURANCE COOld Republic Internationalinsurance violation2015VA-INS$5,000
ALLSTATE INSURANCE COMPANYAllstateinsurance violation2015VA-INS$197,201
ESURANCE INSURANCE COMPANYAllstateinsurance violation2015VA-INS$50,508
AUTO OWNERS INSURANCE COMPANYAuto-Owners Insuranceinsurance violation2015VA-INS$114,217
WELLS FARGO ADVISORSWells Fargoinvestor protection violation2015VA-SEC$205,000
FEDERAL INSURANCE CO.,Chubb Limitedinsurance violation2015VA-INS$132,761
TNUS INSURANCE COMPANY ET AL.Tokio Marineinsurance violation2015VA-INS$120,233
PROGRESSIVE ADVANCED INSURANCE CO.Progressiveinsurance violation2015VA-INS$263,479
NATIONWIDE LIFE INSURANCE CO.Nationwideinsurance violation2015VA-INS$16,340
NEXT FINANCIAL GROUP, INC.Atria Wealth Solutionsinvestor protection violation2015VA-SEC$18,000
HCC LIFE INSURANCE COMPANYTokio Marineinsurance violation2015VA-INS$9,000
State Farm Fire & Casualty Company and State Farm Mutual Auto Insurance Co.State Farm Insuranceinsurance violation2015VT-FIN$29,750
Ocwen Loan Servicing LLCOcwen Financialprivacy violation2015VT-FIN$155,000
Time Insurance Company IiHaven Holdingsinsurance violation2015WA-INS$10,000
State Farm Fire & Casualty CompanyState Farm Insuranceinsurance violation2015WA-INS$30,000
Farmers Insurance Company Of WashingtonZurich Insuranceinsurance violation2015WA-INS$100,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2015WA-INS$300,000
Hartford Accident & Indemnity Company et al.Hartford Financial Servicesinsurance violation2015WA-INS$20,000
Transamerica Casualty Insurance CompanyAegoninsurance violation2015WA-INS$10,000
Allstate Indemnity Company et al.Allstateinsurance violation2015WA-INS$10,000
Bankers Standard Insurance CompanyChubb Limitedinsurance violation2015WA-INS$25,000
United Of Omaha Life Insurance CompanyMutual of Omahainsurance violation2015WA-INS$5,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2015WA-INS$110,000
National Union Fire Insurance Company Of Pittsburgh, PaAmerican International Groupinsurance violation2015WA-INS$200,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2015WA-INS$10,000
Hartford Accident & Indemnity CompanyHartford Financial Servicesinsurance violation2015WA-INS$15,000
AGCS Marine Insurance CompanyAllianzinsurance violation2015WA-INS$300,000
Ticor Title CompanyFidelity National Financialinsurance violation2015WA-INS$5,000
Farmers Insurance Company Of WashingtonZurich Insuranceinsurance violation2015WA-INS$300,000
Cash Call Inc. and Western Sky Financial LLCCashCall Inc.consumer protection violation2015WA-FIN$2,000,000
New Day Financial, LLC d/b/a NewDay USANew Day Financial LLCconsumer protection violation2015WA-FIN$120,000
American Modern Insurance Group Inc.Munich Reinsurance violation2015MULTI-FIN$6,000,000
Citigroup Global Markets Inc.Citigroupinvestor protection violation2015MULTI-FIN$1,965,000
LPL Financial LLCLPL Financialinvestor protection violation2015MULTI-FIN$1,425,000
New Day Financial, LLC d/b/a NewDay USANew Day Financial LLCinvestor protection violation2015MULTI-FIN$5,160,000
Prospect Mortgage LLCHomebridge Financial Servicesmortgage abuses2015MULTI-FIN$7,035,300
Capital OneCapital One Financialprivacy violation2015private lawsuit-federal$73,000,000
BUCKEYE TERMINALS LLC - HAMMONDIFM Investorsenvironmental violation2015IN-ENV$158,000
BUCKEYE PERTH AMBOY TERMINAL LLCIFM Investorsenvironmental violation2015NJ-ENV$13,000
IAC Spartanburg, Inc.Invescoenvironmental violation2015SC-ENV$58,000
Synagro of Texas-CDR, Inc.Goldman Sachsenvironmental violation2015TX-ENV$7,927
Barclays Capital, Inc.Barclaysinvestor protection violation2015FINRA$13,750,000
Macquarie Capital (USA) Inc.Macquarieinvestor protection violation2015FINRA$2,950,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldinvestor protection violation2015FINRA$7,300,000
Fidelity Brokerage Services LLCFidelity Investmentsinvestor protection violation2015FINRA$1,030,000
Deutsche Bank Securities Inc.Deutsche Bankinvestor protection violation2015FINRA$1,400,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2015FINRA$2,600,000
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2015FINRA$13,500,000
Stifel Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2015FINRA$2,900,000
Janney Montgomery Scott, LLCPenn Mutualinvestor protection violation2015FINRA$1,200,000
AXA Advisors, LLCEquitable Holdingsinvestor protection violation2015FINRA$600,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2015FINRA$963,534
MetLife Securities, Inc.MetLifeinvestor protection violation2015FINRA$649,748
Comerica SecuritiesComericainvestor protection violation2015FINRA$347,757
Ameritas Investment Corp.Ameritas Mutual Holding Companyinvestor protection violation2015FINRA$278,544
Santander Securities LLCBanco Santanderinvestor protection violation2015FINRA$6,421,000
UBS Financial Services Incorporated of Puerto RicoUBSinvestor protection violation2015FINRA$18,500,000
Charles Schwab & Co.Charles Schwab Corp.investor protection violation2015FINRA$2,000,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsinvestor protection violation2015FINRA$1,800,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2015FINRA$15,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialinvestor protection violation2015FINRA$8,700,000
LPL Financial LLCLPL Financialinvestor protection violation2015FINRA$6,300,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyinvestor protection violation2015FINRA$650,000
Scottrade, Inc.Charles Schwab Corp.investor protection violation2015FINRA$300,000
Morgan Stanley & Co. LLCMorgan Stanleyinvestor protection violation2015FINRA$2,000,000
LPL Financial LLCLPL Financialinvestor protection violation2015FINRA$11,700,000
RBC Capital MarketsRoyal Bank of Canadainvestor protection violation2015FINRA$1,434,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2015FINRA$3,750,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2015TX-PUC$6,000
Goldman SachsGoldman Sachsprice-fixing or anti-competitive practices2015private lawsuit-federal$67,000,000
Allianz Life Insurance Company of North AmericaAllianzconsumer protection violation2015private lawsuit-federal$251,000,000
Assurant Inc.Assurantconsumer protection violation2015private lawsuit-federal$900,000
Assurant Inc.Assurantconsumer protection violation2015private lawsuit-federal$70,000,000
Santander Consumer USA Inc.Banco Santanderconsumer protection violation2015private lawsuit-federal$199,407,884
Bank of America N.A.Bank of Americaconsumer protection violation2015private lawsuit-federal$34,500,000
Bank of America, N.A. (USA)Bank of Americaconsumer protection violation2015private lawsuit-federal$10,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaconsumer protection violation2015private lawsuit-federal$10,571,428
Capital One N.A.Capital One Financialconsumer protection violation2015private lawsuit-federal$7,334,000
Capital One N.A.Capital One Financialconsumer protection violation2015private lawsuit-federal$31,767,200
Capital One, N.A.Capital One Financialconsumer protection violation2015private lawsuit-federal$4,724,638
Citigroup Global Markets Inc.Citigroupconsumer protection violation2015private lawsuit-federal$78,333,333
Citigroup Global Markets Inc.Citigroupconsumer protection violation2015private lawsuit-federal$10,571,428
Citimortgage Inc.Citigroupconsumer protection violation2015private lawsuit-federal$2,200,000
Deutsche Bank Securities Inc.Deutsche Bankconsumer protection violation2015private lawsuit-federal$10,571,428
Fifth Third BancorpFifth Third Bancorpconsumer protection violation2015private lawsuit-federal$1,801,384
Goldman SachsGoldman Sachsconsumer protection violation2015private lawsuit-federal$78,333,333
Goldman, Sachs & Co.Goldman Sachsconsumer protection violation2015private lawsuit-federal$10,571,428
HSBC Mortgage Services Inc.HSBCconsumer protection violation2015private lawsuit-federal$900,000
J.P. Morgan Securities LLCJPMorgan Chaseconsumer protection violation2015private lawsuit-federal$10,571,428
JPMorgan Chase & Co.JPMorgan Chaseconsumer protection violation2015private lawsuit-federal$388,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.