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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
AMCO Insurance Co.Nationwideinsurance violation2016MO-INS$36,750
Depositors Insurance Co.Nationwideinsurance violation2016MO-INS$16,250
Nationwide Mutual Insurance Co.Nationwideinsurance violation2016MO-INS$51,250
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2016MS-SEC$4,743,815
Unigard Insurance Co.QBE Insuranceinsurance violation2016MT-FIN$25,000
AXA Equitable Life & Annuity Co.Equitable Holdingsinsurance violation2016MT-FIN$5,000
Unigard Insurance Co.QBE Insuranceinsurance violation2016MT-FIN$15,000
Hartford Life Insurance Co. and Hartford Life and Accident Insurance Co.Hartford Financial Servicesinsurance violation2016MT-FIN$50,000
Liberty Mutual Insurance Co.Liberty Mutual Insuranceinsurance violation2016MT-FIN$5,000
Western Sky Financial LLC et al.CashCall Inc.consumer protection violation2016NC-BKG$9,275,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2016NE-DOI$15,000
Great Plains Specialty Finance, Inc., d/b/a Check 'n goCNG Financialconsumer protection violation2016NE-DBF$5,100
Wells Fargo Advisors Financial Network, LLCWells Fargoinvestor protection violation2016NH-BSR$35,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2016NH-BSR$30,800
Prosper Funding LLC and Prosper Marketplace, Inc.Prosper Marketplaceconsumer protection violation2016NH-BKG$39,000
Waddell & Reed, Inc.Macquarieinvestor protection violation2016NH-BSR$900,000
Horizon Healthcare Services, Inc.Horizon Healthcare Servicesinsurance violation2016NJ-DBI$400,000
Transamerica Premier Life Insurance CompanyAegoninsurance violation2016NJ-DBI$75,000
Allstate Fire and Casualty Insurance CompanyAllstateinsurance violation2016NY-DFS$50,000
HealthNow New York Inc.Highmark Inc.insurance violation2016NY-DFS$750,000
Hartford Life Insurance CompanyHartford Financial Servicesinsurance violation2016NY-DFS$50,000
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2016NY-DFS$29,325
USAA Life Insurance Company of New YorkUSAAinsurance violation2016NY-DFS$10,000
TIAA-CREF Life Insurance CompanyTIAAinsurance violation2016NY-DFS$139,940
Companion Life Insurance CompanyBlueCross BlueShield of South Carolinainsurance violation2016NY-DFS$146,485
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2016NY-DFS$15,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2016NY-DFS$50,000
Agricultural Bank of ChinaAgricultural Bank of Chinaanti-money-laundering deficiencies2016NY-DFS$215,000,000
PHH Mortgage CorporationOcwen Financialmortgage abuses2016NY-DFS$28,000,000
BCS Insurance CompanyBCS Financial Corporationinsurance violation2016NY-DFS$100,000
Intesa Sanpaolo S.p.A.Intesa Sanpaoloanti-money-laundering deficiencies2016NY-DFS$235,000,000
Time Insurance CompanyHaven Holdingsinsurance violation2016OR-FIN$178,948
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2016OR-FIN$15,000
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2016PA-BKG$55,000
Janney Montgomery Scott LLCPenn Mutualinvestor protection violation2016PA-BKG$10,000
Edward D. Jones & Co. LPJones Financialinvestor protection violation2016PA-BKG$135,000
AGCS Marine Insurance CompanyAllianzinsurance violation2016PA-INS$10,000
USAA General Indemnity CompanyUSAAinsurance violation2016RI-FIN$15,000
Allstate Insurance CompanyAllstateinsurance violation2016RI-FIN$10,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsinvestor protection violation2016SC-SEC$175,000
National Union Fire Insurance Company of Pittsburgh, PAAmerican International Groupinsurance violation2016SC-INS$90,000
Auto-Owners Insurance CompanyAuto-Owners Insuranceinsurance violation2016SC-INS$7,356
Branch Banking and Trust CompanyTruist Financialinvestor protection violation2016SC-SEC$97,500
Transamerica Life Insurance CompanyAegoninsurance violation2016SD-INS$15,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2016SD-INS$15,000
American Memorial Life Insurance CompanyAssurantinsurance violation2016SD-INS$5,000
Time Insurance CompanyHaven Holdingsinsurance violation2016SD-INS$300,000
Union Security Insurance CompanyAssurantinsurance violation2016SD-INS$35,000
Indemnity Insurance Company of North AmericaChubb Limitedinsurance violation2016SD-INS$5,000
Hartford Accident and IndemnityHartford Financial Servicesinsurance violation2016SD-INS$10,000
Broadspire Services Inc.Crawford & Co.insurance violation2016TN-INS$10,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2016TN-SEC$30,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2016TX-INS$5,000
The Travelers Indemnity CompanyTravelersinsurance violation2016TX-INS$9,000
The Travelers Indemnity Company of ConnecticutTravelersinsurance violation2016TX-INS$7,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$12,500
LPL Financial LLCLPL Financialinvestor protection violation2016TX-SEC$95,000
The Standard Fire Insurance CompanyTravelersinsurance violation2016TX-INS$5,000
Fidelity and Guaranty Insurance CompanyFidelity National Financialinsurance violation2016TX-INS$12,000
Unitrin County Mutual Insurance CompanyKemperinsurance violation2016TX-INS$10,000
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2016TX-INS$13,000
Twin City Fire Insurance CompanyHartford Financial Servicesinsurance violation2016TX-INS$9,500
American Home Assurance CompanyAmerican International Groupinsurance violation2016TX-INS$20,000
Scottrade Inc.Charles Schwab Corp.investor protection violation2016TX-SEC$100,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2016TX-INS$13,571
Fireman's Fund Insurance CompanyAllianzinsurance violation2016TX-INS$15,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$12,500
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2016TX-INS$21,500
Sentry InsuranceSentry Insuranceinsurance violation2016TX-INS$12,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2016TX-INS$18,000
Liberty Mutual Fire Insurance CompanyLiberty Mutual Insuranceinsurance violation2016TX-INS$8,000
Zurich American Insurance CompanyZurich Insuranceinsurance violation2016TX-INS$35,012
Berkley National Insurance CompanyW.R. Berkleyinsurance violation2016TX-INS$8,000
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2016TX-INS$17,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$10,200
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$70,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$6,500
Lincoln National Life Insurance CompanyLincoln Nationalinsurance violation2016TX-INS$100,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$5,500
Illinois National Insurance CoAmerican International Groupinsurance violation2016TX-INS$24,250
QBE Insurance CorporationQBE Insuranceinsurance violation2016TX-INS$21,565
The Travelers Indemnity Co. of ConnecticutTravelersinsurance violation2016TX-INS$18,000
Old Republic Insurance CoOld Republic Internationalinsurance violation2016TX-INS$28,921
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2016TX-INS$8,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2016TX-INS$117,500,000
American Fire and Casualty CoLiberty Mutual Insuranceinsurance violation2016TX-INS$20,000
AIG Assurance CompanyAmerican International Groupinsurance violation2016TX-INS$51,750
AIG Property Casualty CompanyAmerican International Groupinsurance violation2016TX-INS$55,800
AIU Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$27,180
American Home Assurance CompanyAmerican International Groupinsurance violation2016TX-INS$9,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$6,000
Charles Schwab & Co. Inc.Charles Schwab Corp.investor protection violation2016TX-SEC$125,000
American States Insurance CompanyLiberty Mutual Insuranceinsurance violation2016TX-INS$27,500
Federal Insurance CompanyChubb Limitedinsurance violation2016TX-INS$16,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2016TX-INS$62,000
Old Republic National Title Insurance CompanyOld Republic Internationalinsurance violation2016TX-INS$7,500
Marsh USA, Inc.Marsh & McLennaninsurance violation2016TX-INS$6,500
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2016TX-FIN$23,608
Arch Insurance CompanyArch Capitalinsurance violation2016TX-INS$32,500
Hartford Casualty Insurance CompanyHartford Financial Servicesinsurance violation2016TX-INS$19,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2016TX-INS$45,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.