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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,816,534,046
Number of Records: 7,081
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$83,354,221,356271
JPMorgan Chase$36,129,269,434222
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
Goldman Sachs$16,599,475,84889
NatWest Group PLC$13,515,546,85731
Credit Suisse$10,932,400,12651
Morgan Stanley$10,167,765,234190

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
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2018MO-INS$5,000
United Wisconsin Insurance Co.AF Groupinsurance violation2018MO-INS$5,000
LPL Financial LLCLPL Financialinvestor protection violation2018MS-SEC$40,000
Federal Insurance Co.Chubb Limitedinsurance violation2018MT-INS$20,000
Great Plains Specialty Finance, Inc., d/b/a Check 'n GoCNG Financialconsumer protection violation2018NE-DBF$9,000
American Family Insurance CompanyAmerican Family Insuranceinsurance violation2018NE-DOI$15,000
United States Fire Insurance CompanyFairfax Financial Holdingsinsurance violation2018NE-DOI$7,500
State Street Bank and Trust CompanyState Street Corp.investor protection violation2018NH-BSR$325,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyinvestor protection violation2018NH-BSR$983,284
Santander Securities, LLCBanco Santanderinvestor protection violation2018NH-BSR$31,562
Tokio Marine Kiln Syndicates Limited et al.Tokio Marineinsurance violation2018NJ-DBI$60,000
Mercury Indemnity Company of AmericaMercury General Corporationinsurance violation2018NJ-DBI$25,000
Oscar Garden State Insurance CorporationOscar Health Inc.insurance violation2018NJ-DBI$500,000
Western UnionWestern Unionanti-money-laundering deficiencies2018NY-DFS$60,000,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018NY-DFS$20,000
QBE Insurance Corp.QBE Insuranceinsurance violation2018NY-DFS$750,000
AIG Claims Inc.American International Groupinsurance violation2018NY-DFS$177,500
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2018NY-DFS$17,000,000
J P Morgan Securities LLCJPMorgan Chaseinsurance violation2018NY-DFS$11,750
Marsh USA IncMarsh & McLennaninsurance violation2018NY-DFS$12,950
Goldman Sachs Group Inc.Goldman Sachsforeign exchange market manipulation2018NY-DFS$54,750,000
William Penn Life Insurance CompanyLegal & General Group PLCinsurance violation2018NY-DFS$6,300,000
Chubb Ltd.Chubb Limitedinsurance violation2018NY-DFS$1,300,000
Deutsche Bank AGDeutsche Bankforeign exchange market manipulation2018NY-DFS$205,000,000
American Family Life Assurance Company of New York (AFLAC)Aflacinsurance violation2018NY-DFS$1,138,368
Transamerica Financial Life Insurance CompanyAegoninsurance violation2018NY-DFS$1,345,136
Sentinel Insurance CompanyHartford Financial Servicesinsurance violation2018NY-DFS$1,816,596
Selective Insurance CompaniesSelective Insurance Groupinsurance violation2018NY-DFS$4,666,268
HealthNow New York, Inc.Highmark Inc.insurance violation2018NY-DFS$118,583
Societe Generale SASociete Generaleeconomic sanction violation2018NY-DFS$420,000,000
National Integrity Life Insurance CompanyWestern & Southern Financial Groupinsurance violation2018NY-DFS$240,000
Oscar Insurance Corp.Oscar Health Inc.insurance violation2018NY-DFS$576,950
Barclays Bank PLCBarclaysworkplace whistleblower retaliation2018NY-DFS$15,000,000
John Hancock Life Insurance Company (U.S.A.)Manulife Financialinsurance violation2018OR-FIN$49,000
LifeWise Health Plan of OregonPremera Blue Crossinsurance violation2018OR-FIN$788,000
United Services Automobile AssociationUSAAinsurance violation2018OR-FIN$6,200
USAA General Indemnity CompanyUSAAinsurance violation2018OR-FIN$5,000
Standard Fire Insurance CompanyTravelersinsurance violation2018OR-FIN$71,200
Esurance Property and Casualty Insurance CompanyAllstateinsurance violation2018RI-FIN$233,963
Morgan Stanley Smith Barney LLCMorgan Stanleyinvestor protection violation2018RI-FIN$175,000
Allstate Fire & Casualty Insurance CompanyAllstateinsurance violation2018RI-FIN$60,000
Allstate Vehicle and Property Insurance CompanyAllstateinsurance violation2018SC-INS$10,000
Guardian Life Insurance Company of AmericaGuardian Life Insuranceinsurance violation2018SC-INS$10,000
Ameriprise Financial Services Inc.Ameriprise Financialinvestor protection violation2018SC-SEC$650,000
Hartford Life and Accident Insurance CompanyHartford Financial Servicesinsurance violation2018SD-INS$10,000
Transamerica Life Insurance CompanyAegoninsurance violation2018SD-INS$10,000
The General Automobile Insurance Company Inc.American Family Insuranceinsurance violation2018TX-INS$100,000
Permanent General Assurance CorporationAmerican Family Insuranceinsurance violation2018TX-INS$70,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$53,750
Zurich American Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$42,000
Security National Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$40,000
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2018TX-INS$13,500
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2018TX-INS$19,500
Safety National Casualty CorporationTokio Marineinsurance violation2018TX-INS$23,500
Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2018TX-INS$8,500
Ace American Insurance CompanyChubb Limitedinsurance violation2018TX-INS$22,000
Granite State Insurance CompanyAmerican International Groupinsurance violation2018TX-INS$22,000
Trumbull Insurance CompanyHartford Financial Servicesinsurance violation2018TX-INS$20,000
XL Insurance America, Inc.AXAinsurance violation2018TX-INS$32,000
Federal Insurance CompanyChubb Limitedinsurance violation2018TX-INS$7,000
Hartford Underwriters Insurance CompanyHartford Financial Servicesinsurance violation2018TX-INS$9,000
Liberty Insurance CorporationLiberty Mutual Insuranceinsurance violation2018TX-INS$5,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2018TX-INS$20,000
The Standard Fire Insurance CompanyTravelersinsurance violation2018TX-INS$27,855
Travelers Casualty and Surety CompanyTravelersinsurance violation2018TX-INS$11,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018TX-INS$10,000
Time Insurance CompanyHaven Holdingsinsurance violation2018TX-INS$125,000
Arch Insurance CompanyArch Capitalinsurance violation2018TX-INS$7,000
Employer's Insurance Company of WausauLiberty Mutual Insuranceinsurance violation2018TX-INS$12,000
Chubb Lloyds Insurance Company of TexasChubb Limitedinsurance violation2018TX-INS$55,000
Unitrin County Mutual Insurance CompanyKemperinsurance violation2018TX-INS$25,000
Time Insurance CompanyHaven Holdingsinsurance violation2018TX-INS$15,000
United Services Automobile Association et al.USAAinsurance violation2018TX-INS$40,000
Esurance Property and Casualty Insurance CompanyAllstateinsurance violation2018TX-INS$12,500
Accident Fund General Insurance CompanyAF Groupinsurance violation2018TX-INS$75,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2018TX-INS$10,000
American Zurich Insurance CompanyZurich Insuranceinsurance violation2018TX-INS$18,000
LM Insurance CorporationLiberty Mutual Insuranceinsurance violation2018TX-INS$42,000
Property and Casualty Insurance Company of HartfordHartford Financial Servicesinsurance violation2018TX-INS$65,000
XL Specialty Insurance CompanyAXAinsurance violation2018TX-INS$30,000
Travelers Property Casualty Company of AmericaTravelersinsurance violation2018TX-INS$14,500
Accident Fund General Insurance CompanyAF Groupinsurance violation2018TX-INS$6,400
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2018TX-INS$19,800
Accident Fund National Insurance CompanyAF Groupinsurance violation2018TX-INS$19,100
National Interstate Insurance CompanyAmerican Financial Groupinsurance violation2018TX-INS$10,000
Colonial County Mutual Insurance Company and Titan Insurance Services Inc.Nationwideinsurance violation2018TX-INS$50,000
Cincinnati Insurance CompanyCincinnati Financialinsurance violation2018TX-INS$30,000
Ace American Insurance CompanyChubb Limitedinsurance violation2018TX-INS$7,500
Marsh & McLennan Agency LLCMarsh & McLennaninsurance violation2018TX-INS$7,600
Arthur J. Gallagher Risk Management Services, Inc.Arthur J. Gallagher & Co.insurance violation2018TX-INS$6,300
Jefferson National Life Insurance CompanyNationwideinsurance violation2018TX-INS$15,000
Oscar Insurance CompanyOscar Health Inc.insurance violation2018TX-INS$75,000
Ace American Insurance CompanyChubb Limitedinsurance violation2018TX-INS$9,000
The Insurance Company of the State of PennsylvaniaAmerican International Groupinsurance violation2018TX-INS$8,400
The Travelers Indemnity CompanyTravelersinsurance violation2018TX-INS$7,500
The Travelers Indemnity Company of ConnecticutTravelersinsurance violation2018TX-INS$20,000
Catlin Insurance Company Inc.AXAinsurance violation2018UT-INS$100,000
Lawyers Title CompanyFidelity National Financialinsurance violation2018UT-INS$93,500
Allstate Indemnity CompanyAllstateinsurance violation2018UT-INS$5,000
American Family Mutual Insurance CompanyAmerican Family Insuranceinsurance violation2018UT-INS$39,400
GRANITE STATE INSURANCE CO.American International Groupinsurance violation2018VA-INS$152,318
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.