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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
UBS Securities LLCUBStoxic securities abuses2016VA-AG$850,000
UBS AGUBSprice-fixing or anti-competitive practices2016WV-AG$325,000
Wells FargoWells Fargoconsumer protection violation2016WV-AG$8,000,000
Wells Fargo BankWells Fargoprivacy violation2016CA-AG$8,500,000
Western Sky Financial LLC, CashCall, Inc., WS Funding, LLC and Delbert Services Corp.CashCall Inc.consumer protection violation2016IN-AG$1,000,000
Western Sky Financial, CashCall Inc. and WS FundingCashCall Inc.consumer protection violation2016AR-AG$750,000
Allstate Insurance Co.Allstateinsurance violation2016CA-MULTI$600,000
Liberty Mutual Group, Inc.Liberty Mutual Insuranceconsumer protection violation2016CA-MULTI$925,000
US BankU.S. Bancorphousing code violation2016CA-LACA$13,500,000
Wells FargoWells Fargoconsumer protection violation2016CA-LACA$50,000,000
Wells Fargo BankWells Fargowage and hour violation2016WHD$38,230
Franklin Templeton Distributors, Inc.Franklin ResourcesFamily and Medical Leave Act2016WHD$23,252
TMX Finance, LLCTMX Financewage and hour violation2016WHD$6,353
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2016AK-INS$10,000
IberiaBank Mortgage Co.First Horizon Nationalconsumer protection violation2016AR-SEC$50,000
PrimeLending, A PlainsCapital CompanyHilltop Holdingsconsumer protection violation2016CA-DFPI$1,619,523
SunTrust Mortgage, Inc.Truist Financialmortgage abuses2016CA-DFPI$50,000
Highmark BCBSD Inc.Highmark Inc.insurance violation2016DE-INS$383,000
21st Century Centennial Insurance Co.Zurich Insuranceinsurance violation2016DE-INS$27,500
Progressive Northern Insurance Co.Progressiveinsurance violation2016DE-INS$7,000
HomeSite Insurance Co.American Family Insuranceinsurance violation2016DE-INS$15,000
Bankers Life and Casualty Co.CNO Financialinsurance violation2016DE-INS$55,500
United Services Automobile Association et al.USAAinsurance violation2016DE-INS$34,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2016DE-INS$487,000
State Farm Fire & Casualty Insurance Co. and State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2016DE-INS$28,000
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2016FL-OFR$28,000
Nationwide Life and Annuity Insurance Co.Nationwideinsurance violation2016FL-OFR$22,435
CashCall, Inc., Western Sky Financial, LLC, WS Funding, LLCCashCall Inc.payday lending violation2016FL-OFR$500,000
JPMorgan Chase & Co.JPMorgan Chaseinvestor protection violation2016IN-SEC$905,000
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLCJPMorgan Chaseinvestor protection violation2016IN-SEC$950,000
Farmers Insurance Company, Inc.Zurich Insuranceinsurance violation2016KS-INS$20,000
American General Life Insurance Co.American International Groupinsurance violation2016KS-INS$15,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2016KS-INS$20,000
LendingTree, LLCLendingTreeconsumer protection violation2016KY-FIN$25,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2016KY-FIN$6,000
Freedom Mortgage Corp.Freedom Mortgagemortgage abuses2016MA-BKG$2,000,000
Lincoln Life Assurance Company of BostonLincoln Nationalinsurance violation2016MD-INS$13,200
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2016MD-INS$18,000
Progressive Select Insurance Co.Progressiveinsurance violation2016MD-INS$18,000
Progressive Specialty Insurance Co.Progressiveinsurance violation2016MD-INS$22,500
Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2016MD-INS$60,000
Genworth Life Insurance Co.Genworth Financialinsurance violation2016MD-INS$37,800
Allied Property And Casualty Insurance Co. et al.Nationwideinsurance violation2016MD-INS$20,000
Nationwide General Insurance Co.Nationwideinsurance violation2016MD-INS$15,000
Progressive Classic Insurance Co. et al.Progressiveinsurance violation2016MD-INS$17,500
Erie Insurance ExchangeErie Indemnityinsurance violation2016MD-INS$5,000
Amica Mutual Insurance Co.Amica Mutual Insuranceinsurance violation2016MD-INS$7,500
Twin City Fire Insurance Co. et al.Hartford Financial Servicesinsurance violation2016MD-INS$10,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2016MD-INS$5,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2016MD-INS$10,000
Standard Fire Insurance Co. et al.Travelersinsurance violation2016MD-INS$7,500
Liberty Mutual Fire Insurance Co. et al.Liberty Mutual Insuranceinsurance violation2016MD-INS$15,000
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MD-INS$38,000
Federal Insurance Co. et al.Chubb Limitedinsurance violation2016MD-INS$12,000
Selective Insurance Company of South Carolina et al.Selective Insurance Groupinsurance violation2016MD-INS$8,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2016MI-FIN$146,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2016MI-SEC$900,000
Prudential Insurance Company of AmericaPrudential Financialinsurance violation2016MN-FIN$5,000
AXA Equitable Life Insurance Co. et al.Equitable Holdingsinsurance violation2016MN-FIN$900,000
Jackson National Life Insurance Co.Jackson Financialinsurance violation2016MN-FIN$1,250,000
New York Life Insurance Co. et al.New York Life Insuranceinsurance violation2016MN-FIN$800,000
The Lincoln National Life Insurance Co.Lincoln Nationalinsurance violation2016MN-FIN$10,000
Genworth Life Insurance Co.Genworth Financialinsurance violation2016MN-FIN$7,500
Travelers Home and Marine Insurance Co.Travelersinsurance violation2016MN-FIN$10,000
American Modern Insurance Group, Inc. et al.Munich Reinsurance violation2016MN-FIN$1,000,000
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MN-FIN$15,000
Auto-Owners Insurance Co.Auto-Owners Insuranceinsurance violation2016MN-FIN$10,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2016MN-FIN$50,000
AXA Equitable Life Insurance Co.Equitable Holdingsinsurance violation2016MN-FIN$5,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2016MN-FIN$5,000
HCC Life Insurance Co.Tokio Marineinsurance violation2016MN-FIN$5,000
The Travelers Home and Marine Insurance Co.Travelersinsurance violation2016MN-FIN$15,000
Allstate Insurance Co.Allstateinsurance violation2016MN-FIN$5,000
John Hancock Life & Health Insurance Co.Manulife Financialinsurance violation2016MN-FIN$5,000
Allianz Life Insurance Company of North America et al.Allianzinsurance violation2016MN-FIN$550,000
American Security Insurance Company et al.Assurantinsurance violation2016MN-FIN$5,000,000
Federal Insurance Co.Chubb Limitedinsurance violation2016MO-INS$84,500
Pacific Indemnity Co.Chubb Limitedinsurance violation2016MO-INS$15,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2016MO-INS$47,500
Ace Property and Casualty Insurance Co.Chubb Limitedinsurance violation2016MO-INS$47,500
Ace Fire Underwriters Insurance Co.Chubb Limitedinsurance violation2016MO-INS$47,500
Ace American Insurance Co.Chubb Limitedinsurance violation2016MO-INS$47,500
Morgan Keegan & Company, Inc.Raymond James Financialinvestor protection violation2016MO-SEC$850,000
United States Fire Insurance Co.Fairfax Financial Holdingsinsurance violation2016MO-INS$444,000
Hartford Fire Insurance Co.Hartford Financial Servicesinsurance violation2016MO-INS$62,541
Hartford Accident and Indemnity Co.Hartford Financial Servicesinsurance violation2016MO-INS$62,541
Hartford Casualty Insurance Co.Hartford Financial Servicesinsurance violation2016MO-INS$62,541
Hartford Underwriters Insurance Co.Hartford Financial Servicesinsurance violation2016MO-INS$62,541
Hartford Insurance Company of the MidwestHartford Financial Servicesinsurance violation2016MO-INS$62,541
Twin City Fire Insurance Co.Hartford Financial Servicesinsurance violation2016MO-INS$62,541
Arch Insurance Co.Arch Capitalinsurance violation2016MO-INS$145,000
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MO-INS$81,500
Liberty Insurance Corp.Liberty Mutual Insuranceinsurance violation2016MO-INS$8,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2016MO-INS$7,000
Travelers Indemnity Company of AmericaTravelersinsurance violation2016MO-INS$20,000
Travelers Property and Casualty Company of AmericaTravelersinsurance violation2016MO-INS$19,000
Phoenix Insurance Co.Travelersinsurance violation2016MO-INS$21,000
Fidelity and Guaranty Insurance Co.Fidelity National Financialinsurance violation2016MO-INS$115,250
Zurich American Insurance Co. et al.Zurich Insuranceinsurance violation2016MO-INS$250,000
Travelers Casualty Insurance Company of America et al.Travelersinsurance violation2016MO-INS$16,000
AMCO Insurance Co.Nationwideinsurance violation2016MO-INS$36,750
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.