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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $395,312,528,119
Number of Records: 8,003
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$87,320,969,499333
JPMorgan Chase$40,164,908,209281
UBS$31,275,299,125181
Wells Fargo$27,618,169,231268
Citigroup$27,081,211,792183
Deutsche Bank$20,015,467,563100
Goldman Sachs$17,919,491,249115
NatWest Group PLC$14,264,317,61841
Morgan Stanley$10,924,502,443207
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
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
TOKIO MARINE KILN SYNDICATES, LTD.Tokio Marineinsurance violation2018VA-INS$7,500
SELECTIVE INSURANCE CO. ET AL.Selective Insurance Groupinsurance violation2018VA-INS$10,000
LINCOLN FINANCIAL SECURITIESLincoln Nationalinvestor protection violation2018VA-SEC$20,000
MERCURY CASUALTY COMPANYMercury General Corporationinsurance violation2018VA-INS$173,650
ACADIA INSURANCE COMPANY ET ALW.R. Berkleyinsurance violation2018VA-INS$91,793
THE GENERAL AUTOMOBILE INSURANCE CO.American Family Insuranceinsurance violation2018VA-INS$66,996
LIBERTY MUTUAL FIRE INSURANCELiberty Mutual Insuranceinsurance violation2018VA-INS$108,053
PROGRESSIVE NORTHERN INSURANCE CO.Progressiveinsurance violation2018VA-INS$1,818,318
USAA CASUALTY INSURANCE CO ET AL.USAAinsurance violation2018VA-INS$4,396,720
ELEPHANT INSURANCE COMPANYAdmiral Groupinsurance violation2018VA-INS$79,017
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2018VT-FIN$120,000
Berkley National Insurance CompanyW.R. Berkleyinsurance violation2018WA-INS$10,000
Ticor Title CompanyFidelity National Financialinsurance violation2018WA-INS$10,000
Unum Life Insurance Company Of AmericaUnuminsurance violation2018WA-INS$7,000
Hartford Insurance Company The MidwestHartford Financial Servicesinsurance violation2018WA-INS$20,000
Metropolitan Life Insurance CompanyMetLifeinsurance violation2018WA-INS$7,000
American Strategic Insurance CorpProgressiveinsurance violation2018WA-INS$10,000
American Family Mutual Insurance Company S.I.American Family Insuranceinsurance violation2018WA-INS$10,000
Washington National Insurance CompanyCNO Financialinsurance violation2018WA-INS$7,500
Crestbrook Insurance CompanyNationwideinsurance violation2018WA-INS$50,000
Fidelity & Guaranty Life Insurance CompanyFidelity National Financialinsurance violation2018WA-INS$5,000
Amica Mutual Insurance CompanyAmica Mutual Insuranceinsurance violation2018WA-INS$20,000
Horace Mann Insurance CompanyHorace Mann Educators Corp.insurance violation2018WA-INS$10,000
Credit Acceptance CorporationCredit Acceptance Corp.insurance violation2018WA-INS$30,000
Nationwide Agribusiness Insurance CompanyNationwideinsurance violation2018WA-INS$25,000
State Farm Life Insurance CompanyState Farm Insuranceinsurance violation2018WA-INS$10,000
American Automobile Insurance CompanyAllianzinsurance violation2018WA-INS$10,000
Allstate Life Insurance CompanyAllstateinsurance violation2018MULTI-FIN$150,000
American Family Life Insurance Company of ColumbusAflacinsurance violation2018MULTI-FIN$2,500,000
HCC Life Insurance Company et al.Tokio Marineinsurance violation2018MULTI-FIN$5,000,000
LPL Financial LLCLPL Financialinvestor protection violation2018MULTI-FIN$26,000,000
MLD Mortgage Inc. dba The Money StoreMLD Mortgage Inc. dba The Money Storeconsumer protection violation2018MULTI-FIN$720,000
Nationwide Mutual Insurance CompanyNationwideinsurance violation2018MULTI-FIN$725,000
Travelers Indemnity CompanyTravelersdiscriminatory practices (non-employment)2018private lawsuit-federal$450,000
Nuveen Services LLCTIAAwage and hour violation2018IL-DOL$27,983
FIRST MIDWEST BANKOld National Bancorpwage and hour violation2018IL-DOL$15,000
ZURICH AMERICAN INS COZurich Insurancewage and hour violation2018IL-DOL$13,865
PRUDENTIAL INS CO OF AMERPrudential Financialenvironmental violation2018PA-ENV$9,000
Buckeye Albany Terminals, LLCIFM Investorsenvironmental violation2018NY-ENV$15,750
Synagro Woonsocket, LLCGoldman Sachsenvironmental violation2018RI-ENV$175,000
Buckeye Texas HUB LLCIFM Investorsenvironmental violation2018TX-RRC$6,000
Morgan Stanley Smith Barney LLCMorgan Stanleyanti-money-laundering deficiencies2018FINRA$10,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americasecurities issuance or trading violation2018FINRA$5,990,530
UBS Financial Services Inc. and UBS Securities LLCUBSanti-money-laundering deficiencies2018FINRA$5,000,000
LPL Financial, LLCLPL Financialinvestor protection violation2018FINRA$2,750,000
Interactive Brokers LLCInteractive Brokers Groupinvestor protection violation2018FINRA$5,500,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinaanti-money-laundering deficiencies2018FINRA$5,300,000
Fifth Third Securities, Inc.Fifth Third Bancorpinvestor protection violation2018FINRA$6,000,000
Wedbush Securities Inc.Wedbush Securitiesinvestor protection violation2018FINRA$1,500,000
El Paso Electric CompanyJPMorgan Chaseutility service violation2018TX-PUC$20,000
Bank of America N.A.Bank of Americaprice-fixing or anti-competitive practices2018private lawsuit-federal$187,500,000
Bank of America N.A.Bank of Americaprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupprice-fixing or anti-competitive practices2018private lawsuit-federal$10,500,000
Bank of Tokyo-Mitsubishi UFJ, Ltd.Mitsubishi UFJ Financial Groupprice-fixing or anti-competitive practices2018private lawsuit-federal$30,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2018private lawsuit-federal$120,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2018private lawsuit-federal$384,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2018private lawsuit-federal$30,000,000
Barclays Bank PLCBarclaysprice-fixing or anti-competitive practices2018private lawsuit-federal$29,000,000
Barclays PLCBarclaysprice-fixing or anti-competitive practices2018private lawsuit-federal$94,000,000
BNP Paribas GroupBNP Paribasprice-fixing or anti-competitive practices2018private lawsuit-federal$115,000,000
BNP Paribas SABNP Paribasprice-fixing or anti-competitive practices2018private lawsuit-federal$33,500,000
Citibank N.A.Citigroupprice-fixing or anti-competitive practices2018private lawsuit-federal$130,000,000
Citigroup Inc.Citigroupprice-fixing or anti-competitive practices2018private lawsuit-federal$402,000,000
Citigroup Inc.Citigroupprice-fixing or anti-competitive practices2018private lawsuit-federal$42,000,000
Credit Suisse AGUBSprice-fixing or anti-competitive practices2018private lawsuit-federal$50,000,000
Deutsche BankDeutsche Bankprice-fixing or anti-competitive practices2018private lawsuit-federal$240,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2018private lawsuit-federal$170,000,000
Deutsche Bank AGDeutsche Bankprice-fixing or anti-competitive practices2018private lawsuit-federal$190,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.